LOCALLY ADMINISTERED PROJECTS

TRAINING

TRAINING GOAL

Administrative Practices

Process/Procedures

Roles

Requirements

Where to find needed info

Put a face with a name

WE ARE HERE TO HELP!!

HTTP://WWW.NCDOT.GOV/DOH/SAFETY/SPPM/WSM.

PDF

LOCAL GOVERNMENT AGENCY DUTIES

Provide daily contract administration.

Provide project documentation in accordance with the Department’s policy and

procedures and in accordance with Federal regulations.

Ensure that the private engineering firm utilized for construction administration is

prequalified to perform Construction Engineering and Inspection by NCDOT. Also,

ensure the technicians who perform the testing for project acceptance possess the

appropriate certifications.

Ensure Disadvantaged Business Enterprise/Minority Business Enterprise/Women

Business Enterprise compliance. Submit DBE-IS forms with invoices to document

Disadvantaged Business Enterprise/Minority Business Enterprise/Women Business

Enterprise program compliance.

Contact RE or DOT Representative when Supplemental Agreements or Claims need review

and approval.

Contact RE or DOT Representative prior to performing any work outside the original

scope of the project or when there are questions regarding the Department’s policy and

procedures.

Present project invoices to the RE or other assigned Division staff for reimbursement of

costs as included in the Project Agreement. Invoices should include all appropriate

documentation and project records to support the invoice payment request.

The Contract is let now

what?

PRECONSTRUCTION CONFERENCE

Schedule a date where everyone can be at the meeting – utility company, design team, environmental agency, subcontractors etc.

Send the contractor a letter requesting the following be brought to the meeting:

A Progress Schedule

List of Project Personnel (Project Manager, Traffic Control, Erosion Control Coordinator.)

List of Material Suppliers

List of Subcontractors

List of Company Officials Authorized to Execute Change Orders

Discussion should be open conversation with everyone being given the opportunity to express his or her views and ask questions.

SUBCONTRACTS

What is a subcontract agreement? https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR3%20R86%20thru%20RR121%202013.pdf Pg. 111

How is a subcontract agreement documented? https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR3%20R86%20thru%20RR121%202013.pdf Pg. 111 & 112

What is my role? https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR3%20R86%20thru%20RR121%202013.pdf Pg. 112

Where do I check bidder prequalification's? https://partner.ncdot.gov/VendorDirectory/default.html

Where do I check DBE certification? https://partner.ncdot.gov/VendorDirectory/default.html

Form SAF Rev. 2A Rev. 5-2012

Contract No.:

WBS Element: County:

APPROVAL IS REQUESTED TO SUBLET THE FOLLOWING ITEMS OF WORK ON THIS PROJECT TO:

Retainage Certification

Subcontractor Name and Address

Retainage Certification

2nd Tier-1 Subcontractor Name and Address

Line Code

NumberItem Description

Portion

(●)

Partial

(♦)

Sub

or

2nd Tier

Quantity UOMCP

*

DBE/MBE/WBE

Unit Price

DBE/MBE/WBE

Sublet Amount

Subcontract

Unit Price

Total Subcontract

Amount

Indicates a Portion of Work (●) Indicates a Partial Item ( ♦ ) DBE/MBE/WBE Amount Subcontract Amt.

SUBCONTRACT CERTIFICATION (applies only to Federal projects)

The Contractor / Subcontractor certifies that the subcontract is in writing and that FHWA 1273, "Required Contract Provisions," have been included

in the subcontract / 2nd tier subcontract in its entirety.

Contractor: APPROVED:

Signature: Date

Title: Resident Engineer Date

Subcontractor:

Signature: Date

Title:

2nd

Tier

Subcontractor

:Signature: Date

Title:

Approved with the understanding that the Contractor will be responsible for the

satisfactory performance and completion of the work in compliance with the

terms of the contract and that all payments will be made to the Contractor.

Reporting No.

SUBCONTRACT APPROVAL FORM

Reporting No.

Subcontract Request Number:F.A. No.:

T.I.P. No.:

SUBCONTRACTS

The SAF shows work committed to a subcontractor

Does the Contractor have to use the subcontractors shown if they are not DBE?

Where are committed DBE’s listed and what do you mean by committed? • Material Suppliers

• Manufacturers

• 2nd tier subcontracting

• Trucking

What if the SAF DBE % is > the goal

SUBCONTRACTS

• Who needs originals? https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR3%20R86%20th

ru%20RR121%202013.pdf Pg. 113

• Who needs copies?

• Why?

• What percentage of the subcontracted work can the

prime assist on? https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR3%20R

86%20thru%20RR121%202013.pdf Pg. 115

DBE PROGRAM

Goals

MBE/WBE v. DBE

DBE participation that exceeds the goal

Check certified DBE

https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR3%20R86%20thru%20RR121%202013.pdf Pg. 116

DBE REPLACEMENT

DBE’s may be replaced for performance related issues, not for Contractor convenience.

Prime Contractor should attempt to replace DBE with another DBE.

Good Faith Effort

Prime Contractor should make efforts to recoup any lost participation due to replacement elsewhere on the project.

http://www.ncdot.org/doh/operations/dp_chief_eng/constructionunit/formsmanuals/rf-1.pdf

DBE TRACKING

Participation recorded on DBE-IS form and submitted with each request for payment.

Non-committed DBE participation should be recorded.

If no work was performed by DBE’s during a monthly period, the DBE-IS Form should still be submitted indicating “None” or “0”.

http://www.ncdot.org/doh/forms/files/DBE-IS.xls

SUPPLEMENTAL AGREEMENTS

When is a SA needed?

When can SA work begin?

How are prices developed?

Contractor

Contract administrator

How do I document the need for a SA?

Who approves SA work?

https://connect.ncdot.gov/projects/construction/Construction%20Manual/Constructional%20Manual%20Records%20and%20Reports%20R122%20thru%20R244%202012.pdf pg. 123

SUPPLEMENTAL AGREEMENT WORKFLOW

Gather information

Meet with Contractor to negotiate

Prepare the SA & print all information and

attach to file copy of SA

Make Sure NCDOT is involved

Someone identifies

an issue not

covered in the

contract document.

The Contractor

notifies the

Agency/Rep prior to

performing the work,

that there is extra work

involved

The Agency/Rep

investigates

and…

HOW?

Agrees that there is

additional

compensation due,

requests a price and

begins investigating

the costs

Notifies the Contractor in

writing that they disagree about

this being compensable. Also

advises the contractor to

proceed in accordance with

104-8 if they still think

additional compensation is due

The contractor files

notice of intent

Agency,

Contractor

and NCDOT

negotiate

costs

SA is executed

FA notice

issued

Work performed

Agency/Rep notifies

NCDOT

NCDOT

investigates and

responds to

Agency/Rep

Contractor files

notice of intent and

files claim upon

completion

NCDOT and Agency

notifies Contractor that

this is compensable

Contractor

reconsiders

and agrees

with

Agency/Rep

DIARIES

Why is documentation important? Pg. 78

What do I document? Pg. 57 - 60

What does it take to make a project diary? Pg. 76

Operations

Separating equipment per operation

Inspection details

Conversations

https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR2%20R33%20thru%20R85%202013.pdf Pg. 57 - 85

INSPECTORS DAILY REPORT

INSPECTORS DAILY REPORT

INSPECTORS DAILY REPORT

PROJECT DIARY

Project Inspector to Complete

Collect and Review Daily

Reports

Signature and Initials

Complete Daily Summary of

delays and disputed work

PROJECT DIARY

DIARIES – HINTS FOR GOOD DAILY REPORTING

Begin working on your diary early in the day

Capture personnel and equipment as it arrives

Record information directly on your form, not on a “scratch” sheet.

Use the “inspection details” sections of the Construction Manual

Actually measure, test and touch work items and record those results

Refrain from “observed”, “witnessed” and other non-action words and replace them with “probed and the rod embedded 6” etc.

CERTIFIED PAYROLLS

When is one required? Weekly submissions by Prime Contractor required for all Federal-Aid contracts

What should be on the payroll? Employees Name, Address, Employee ID #, Classification, Hourly Wages Paid, Hours Worked, Deductions made and Actual Wages Paid.

What is my role when a payroll is submitted? Compare to Daily Inspection Reports for reasonable accuracy.

What if a payroll shows a discrepancy?

Write letter to Contractor asking for explanation

https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%2001%20

General%20Requirements%202013.pdf Pg. 50 - 56

CERTIFIED PAYROLL

WAGE RATE INTERVIEWS

Minimum of one interview required per calendar quarter.

Must conduct at least one interview with Prime Contractor and all Subcontractors utilized throughout the life of the project.

Compare Interview with Certified Payrolls to ensure consistency.

WAGE RATE INTERVIEWS

Contract Number: ___________

Division and County: ________________

Prime or Subcontractor: _______________________

Company Name: __________________

North Carolina Department of Transportation

Subject: Interview of Wages and Hours

First and Last Name: ________________________________________________

Street Address ________________________________________

City: _______________________________ State _____________________

Zip Code: _______________________

Telephone Number: ___________________________________

Name of Company your employer: _____________________________

How long have you worked for this company? ____________________________

Date you were hired? __________________________________________

Job Classification ______________________________________

Hourly Wage _____________________________

Are you paid by check or paid in cash? _________________________

Are taxes deducted from your pay? ________________________

Who pays you? _______________________________________________

Do you work more than 40 hours per week? ___________________

Do you receive over-time pay for working more than 40 hours? __________

Who is your supervisor? _______________________________________

https://connect.ncdot.gov/projects/construction/Construction%20Manual/Constr

uction

%20Manual%2001%20General%20Requirements%202013.pdf Pg. 62

How many hours did you work last week? _________________________

My employer has my permission to review this information. ____________

Signature: ______________________________________________

Date: ___________________________________________________

Interviewer : __________________________________ Dat:e ___________________

Interviewer evaluation:

Are certified payrolls required for this project? _______________________

*Exempt projects are those located on a roadway classified as a local road or rural minor collector. If this

is an exempt project, do not complete the remainder of this form.

Is the employee properly classified for work performed? ________________

Is this classification included in the contract? __________________________

What is the wage rate required by the contract? ________________________

Does the certified payroll information submitted by contractor agree with the information provided by the

employee interviewed? _________________

Does it agree with the contract wage requirements? _________________

List the week ending of the payroll checked: _________________________

Name of the payroll checker: _________________________________________

SOURCE DOCUMENTATION

There will be a source document for each pay item included in a contract.

All entries pertaining to pay items should be originally entered in a bound book (pay record book), ticket book, or on a specified form.

Entries should be made when measurements are taken and not copied from scratch notes to a bound book at a later date.

There should be no erasures.

PAY RECORD BOOKS

All entries & computation are to include sufficient detail so they can be identified, checked, and verified by others.

The date & initials of the individual making an entry should be shown for each entry. Entries are made on the date work was performed so it can be cross-referenced with the diary.

Index of pay items & numbered pages required.

All computations will be checked & initialed.

PAY RECORD BOOKS

A list of names & initials of each individual who enters information or initials entries should be placed in the front of each book.

A “REMARKS” section should be used to provide additional information for the entry.

Each page should have a “Page Total”.

Each line item should have a “Project Total”.

Document when a line item isn’t used.

PAY RECORD BOOKS

If a spreadsheet is being used, changes should be tracked and not just deleted / corrected. Save both spreadsheets so changes are easily identifiable OR note changes in the spreadsheet.

Significant figures are critical. –Ex. Clearing & Grubbing has a $40,000 Unit Price for 0.5 acres. 0.15 ac C&G = $6,000. If rounded to 0.2 ac, you would pay $8,000. Difference = $2,000

PD Pay App #4 2,840 1/4/18 JBM

PD Pay App #3 186.5 12/1/07 JBM

Someone other than inspector

should be checking

TICKET BOOKS

Used when material is to be paid for on a weight basis.

Scales are to be certified by NC Dept. of Ag.

Scales must be operated by a NC Public Weighmaster & a certified weight certificate must be issued in the form of a ticket.

Tickets for each day should be bound separately with the total for the day shown on the front cover for each line item.

TICKET BOOKS

Upon receipt, inspector should make sure the ticket is legible and the following information has been listed on the ticket:

Project number, the date & time the ticket is issued, the type of material, the gross weight of the vehicle, the tare weight of the vehicle, the net weight of the material, the location of the quarry / plant, the name of the Contractor, the stamp or number of the weighmaster, and the signature or initials of the public weighmaster in ink.

TICKET BOOKS

MATERIALS RECEIVED REPORTS

What Items Are Received?

The Material Received Report (MRR) (M&T Form 251) should be completed when any material received on the project is to be incorporated into the construction on a temporary or permanent basis.

Exceptions- Material items that are delivered and accompanied by a ticket with a Weigh Master stamp, such as Quarried Materials and Asphalt. These tickets will be placed in a Ticket Book as the source documentation for the product

Most material items that are delivered to the project will be accompanied by a Bill of Lading, Invoice, or a Packing Slip. This documentation should clearly identify the item as well as the quantity that was received.

Make sure to place certifications, tags, identification numbers to MRR.

Filling Out A Material Received Report

Common Errors

MATERIALS RECEIVED

Contractors will need to furnish a material certification for certain materials items that are incorporated into the project.

These type of material certifications can be found in Section 106-3 of the Standard Specifications for Roads and Structures.

106-3 CONTRACTOR FURNISHED CERTIFICATION The Contractor shall furnish the Department material certifications obtained from the producer, supplier, or an approved independent testing laboratory for the following types of materials, unless otherwise directed by the Engineer. (A) Materials required to meet criteria documented by tests that are normally performed during the production process. (B) Materials that are required to meet specifications other than those published by AASHTO, ASTM, or the Division of Highways. (C) Materials produced at locations that are not within routine travel distance for Department representatives. (D) Materials required to meet criteria documented by tests involving special equipment not readily available to Department representatives. (E) Any other special material when so directed by the Engineer. (F) Material certifications of one of the following types shall be furnished for pre-tested materials. The specific type of material certification for each material shall be in accordance with the schedule maintained by the Materials and Tests Unit. Copies of this schedule may be obtained from the Materials and Tests Unit

MATERIALS RECEIVED

The following Link will help you to determine

the type of certification that may be required.

http://www.ncdot.org/doh/operations/dp_chief_

eng/constructionunit/formsmanuals/constructio

n/Div10.pdf

MATERIALS SAMPLING AND TESTING

All sampling and testing on site should be done by a NCDOT Certified

Technician

Documentation of all test results/information must be recorded on

approved forms (i.e. 903s, 250s, 913s, quantity tickets, daily reports, etc.)

Any precast or prestressed concrete items must be approved/stamped by

NCDOT Materials and Tests Unit

All consultant documentation must be turned over to NCDOT at project

completion

Follow the Minimum Sampling Guide

MATERIALS AND TESTS WEBPAGE

Minimum Sampling Guide https://apps.dot.state.nc.us/vendor/approvedproducts/MinimumSamplingGuide.aspx

Materials And Test Approved Resources Website https://apps.dot.state.nc.us/vendor/approvedproducts/Default.aspx

Qualified Products List https://apps.ncdot.gov/Products/QPL/

NCDOT Std Specifications for Roads and Structures https://connect.ncdot.gov/resources/Specifications/Specification%20Resour

ces/2012%20Standard%20Specifications.pdf

INDEPENDENT ASSURANCE TESTING

Required by FHWA

Performed by Materials and Tests Unit or their representative

See minimum sampling guide for materials which require IA testing

Prior to construction contact Area Materials Engineer for assistance

PAY ESTIMATES

PARTIAL PAY ESTIMATES

Scheduling the Monthly Estimate

Monthly end dates

Dollar Value

Quantities are checked

Special estimates

https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR4%20R122%20thru%20R246%202013.pdf Pg. 188

FINAL INSPECTION

A final inspection is scheduled

Who attends?

Who accepts the project?

Who notifies the Contractor of the completion of recommendations and final acceptance?

When should the final be scheduled?

What are common punch list items?

When is the project accepted?

https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR2%20R33%20thru%20R85%202013.pdf Pg. 42 - 46

CLAIMS

CLAIMS

Typically initiated by the Contractor seeking additional compensation or contract time.

Contractor claims for additional compensation must be made in accordance with Article 104-8(B) for consideration.

Contractor claims for additional contract time must be made in accordance with Article 108-10(B)3 or 108-10(B)4.

PROCESS FOR CLAIM RESOLUTION

Agency should notify NCDOT engineer to discuss claim issues once identified.

Contractor submits claim on Contractor Claim Submittal Form(Form CCSF).

Municipality reviews claim and makes recommendation on Claim Resolution Forms(ACRF-2 ARRA).

Agency along with NCDOT will process and make final recommendation.

Agency will notify the contractor of decision.

IMPORTANT ITEMS TO CONSIDER

It is the contractor’s responsibility to document his claim thoroughly and provide justification for his request.

When reviewing a claim, your project diaries and other records must support your recommendation.

Time considerations are only made if there is a legitimate delay to the controlling operation on the project that is outside the contractor’s control.

MORE IMPORTANT THING TO CONSIDER

The Municipality may not grant time, additional compensation, or waive liquidated damages without following established procedures.

Awarding additional contract time and or waiving LD’s without justification creates an unfair bid advantage to the contractor and is the same as giving them money.

Risk forfeiture of FHWA funding for not following procedures.

BUY AMERICA

When does “Buy America” apply?

Blanket certification

I have a blanket certification so why should I review materials as they arrive?

What is unique about fasteners?

What if a portion of an item is foreign steel and the rest is American steel?

https://connect.ncdot.gov/resources/Specifications/Specification%20Resources/2012%20Standard

%20Specifications.pdf Pg. 1-49

FINAL ESTIMATE

All source documents used for payment, pay adjustments, and the As-built Plans submitted for checking.

The Agency will perform a 100% check of every calculation of quantities.

The Agency will advise the Owner of any changes that are required prior to payment of the Final Estimate. NCDOT should also be advised of the final quantities and be in agreement of payment.

AS BUILT PLANS

A set of plans should be designated for recording construction changes and completion of items of work.

Plan changes should be kept up to date & the information can be transferred to a “clean set” to be submitted with Final Estimate.

Examples: actual pipe lengths, additional drainage structures, actual pile lengths, actual tip elevation for drilled shafts, final footing dimensions, etc.

REIMBURSEMENT

Source Documents for Payment

Partial Payments (Monthly Estimates)

Final Estimate

As-built Plans

PROJECT VISITS/ REVIEWS

Resident Engineer / Project Manager Review

Spot Check of Project Requirements Attend Monthly Construction Meetings

Progress Schedule

Claim Issues

Review Erosion Control Measures

Documentation Review Pay Record Books Daily Inspection Reports (Diaries)

DBE Utilization

Technician Certifications are Active

Materials Received

Minimum Sampling

Is project being constructed in a reasonable method

PITFALLS

Technicians performing tests did not have proper certifications Just because Engineering Firm is on Approved list does not mean individual technicians are qualified (certified)

4yr. College Degree, FE (EIT) or PE does not qualify

NCDOT certifications required

Pay Record Books were not used, only Diaries Need to have a traceable system

Had to find quantities in diaries to justify the payments Using Pay Record Books provides a single reference and avoids potential duplication of payment

Testing was not performed adequately

Supplemental Agreements executed without NCDOT/ FHWA concurrence

Just because Engineering Firm is on prequalified list, doesn’t mean inspection staff is certified.

No Records (Pay Record Books or a reasonable method to justify payment) resulted in loss of Federal and State participation

MOST IMPORTANT RULE OF THUMB

Documentation Requirements -

Make sure you know what is required to be kept and documented for the project (be familiar with your Municipal Agreement, the NCDOT Construction Manual, NCDOT M&T’s Minimum Sampling Guide, NCDOT’s Local Programs Manual, etc.)

FHWA Authorization Date -

Any work that’s done before FHWA’s Project Authorization has been signed is ineligible for reimbursement

Make sure you have a Notice To Proceed letter from NCDOT before beginning work

MORE IMPORTANT RULES

LPA must invoice NCDOT at least once every six (6) months to keep the project active

The FHWA Final Voucher date starts your records retention period

NCDOT will notify the LPA of the FHWA Final Voucher date beginning the records retention period

Records are to be kept for three (3) years after the FHWA Final Voucher date

After the three (3) year retention period is met, the LPA may destroy the records

MICKLEY ROAD

LINCOLNTON RAIL TRAIL

CONOVER STATION

?

CONTACTS

Ritchie Hearne, Division 10

(704) 983-4422

Jackie McSwain, Division 12

(704) 480-9027