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2017

OFFICE ENGINEERS
GUIDANCE
(WITH SITEMANGER)
References for our use:

Construction Administration Manual (CAM) NYS Standard Specifications


Construction Inspection Manual (CIM) OSHA Manual
Safety and Health Plan Prestressed Concrete Construction Manual
Contract Plans and Proposal Standard Sheets
Environmental Procedures Steel Construction Manual
Pay Item Catalog Eng. Instructions, Bulletins and Directives
Manual of Uniform Traffic Control Devises (MUTCD) Materials Bureau Approved List
OFFICE ENGINEER TRAINING

Table of Contents

CHAPTER 1: Office Organization and Correspondence


Introduction
Project Start-up
o Highlight project plans and proposal
o Initial Letters
o Initial Inventory
Office Protocol
o Engineering Sign-in Sheet
o Daily/Weekly Work Schedule
o Notifications
o Answering Machine
o Bulletin Board
Project Files
o Establish Correspondence Files
o Minutes of Meeting
o As-Builts / Record Plans
o Shop Drawings

CHAPTER 2: Project Reports


DWR - Daily Work Reports
Information to be recorded
Checking (Inspectors) Daily Work Reports
o Specification Compliance
o Compare Inspectors Report with Plans
o Track Payments against Project Documents
Engineers Daily Diary
Required Daily Information
o Weather reference DWR
o Inspection Staff- Sign-in Sheet
o WZTC

CHAPTER 2R: Reference Documentation


OFFICE ENGINEER TRAINING

Table of Contents- continued

CHAPTER 3: Material Acceptance Procedure and Documentation


Material Acceptance Procedures
Required Documentation
o Specification
o Approved list
Types of Acceptance
o Manufactures Cert
o Delivery Tickets
o Bar marks
o BR forms
QAF Quality Adjustment Factor
o Payments
o Charges

CHAPTER 3R: Reference Documentation

CHAPTER 4: Civil Rights


EBO (Equitable Business Opportunity)
References
Contract Compliance
D/M/WBE Utilization
AAP 19
AAP 20 and CONR 89 (Part 1 & Part 2)
AAP 33
Project Files
Prompt Payment
Commercially Useful Function (CUF)

CHAPTER 5: Department of Labor (DOL) Requirements


Payrolls
Wage Rate Interviews

CHAPTER 5R: Reference Documentation

CHAPTER 6: Stockpile (Partial) Payments


Requirements
Specification
Process

CHAPTER 6R: Reference Documentation


OFFICE ENGINEER TRAINING

Table of Contents- continued

CHAPTER 7: Contract Payments


Triggers for Progress Payment (Estimate)
o Time
Required Documentation
o EEO Requirements
o Payrolls
o Required Certifications
o Approval dates
o Monthly Fuel, Asphalt & Steel Price Adjustments
All DWRs present and authorized
All DWR quantities checked
Enter material certifications if missing
Run a pre-estimate (working copy) CONR 22 report
End the Estimate Period
Forward copy of CONR 22 to Contractor

CHAPTER 7A: Fuel, Asphalt and Steel Adjustment

CHAPTER 8: Environmental Documentation


Asbestos
Contaminated Soil
Hazardous Waste Manifest
Lead-Based Paint
SPDES
Environmental Forms

CHAPTER 9: Change Orders 101


AEW (Authorization of Extra Work)
FCP (Field Change Payment)
CO (Change Order)
FAW (Force Account Work)

CHAPTER 9R: Reference Documentation


OFFICE ENGINEER TRAINING

Table of Contents- continued

CHAPTER 10: Extra Time

Extension of Time/Time Adjustment


Engineering & Inspection Charges
Liquidated Damages

CHAPTER 11: Project Close Out


Preliminary Final Procedures
Final Process
Final Acceptance
Final Payment
Book Set-up
Final Estimate Book
Complexity of Job
As-Builts & Record Plans

CHAPTER 11A: Uncompleted Work Agreements


Landscape Items
o Planting
o Seeding
Striping
Other
CHAPTER 1
OFFICE ORGANIZATION AND CORRESPONDENCE

I
THIS SHEET IS INTENTIONALLY BLANK

II
PROJECT START-UP
Receive Plans, Proposals, and Engineers work up, to familiarize yourself with the project
o Highlight pertinent information in the plans
o Tab special notes, special specification and other pertinent information in proposal
o Tab different sections of Contract Plans for easy access

Contact the Projects Designers, ROW Group, Landscaper and others that were involved with the
design for any pertinent background information, or specific concerns.

Attend preconstruction meeting, set up by Regional Office


o Exchange of documents between Contractor and EIC
o Discussion of Project specific details
o Obtain EEO requirements information

With Contractor, assist the Engineer In Charge in locating and setting up Field Office, adhere to
Field office Specifications

Initial Letters/Memos to be sent once Project begins:


o Internal Memos:
Travel Restrictions ~ to Permits Dept. Travel Restrictions (HC 104) -
https://www.dot.ny.gov/main/business-center/contractors/construction-division/construction-
repository/HC_104.pdf
o If your project will have any travel restrictions, notification must be given to the permits
department so that no permits will be issued. In addition, all lane restrictions must be
reported to the CARS system, via Construction or Traffic & Safety group (whether through
the field office or the Region) as they occur.
Bridge Posting ~ to Structures Dept Travel Restrictions (HC 104) -
https://www.dot.ny.gov/main/business-center/contractors/construction-division/construction-
repository/HC_104.pdf
o If there is a bridge on your project that will be closed, you may be required to fill out a
bridge posting/closure/opening report and submit it to the bridge inspection department at
the closing/opening of the bridge.
Contract Information Sheet ~ to Regional Construction Office
o Use the Custom Template in Site-Manager and print out the Business Object report via
Admin Reports
Emergency Phone Numbers for Project ~ to Regional Construction Office
(i.e. Police, Fire Department, Hospital, etc. near work site)
Use the Custom Template in Site-Manager and print out the Business Object report via Admin
Reports
To the Contractor:
Review of Contractors Project Schedule, send appropriate letter
Approval or Disapproval Schedule Letters - https://www.dot.ny.gov/main/business-
center/contractors/construction-division/forms-manuals-computer-applications-general-
information/project-start-up
Specific language required, use letters from Fillable Forms

Page 2 of16
PROJECT START-UP (continued)
Acknowledgement of Health and Safety Plan Schedule Letters -
https://www.dot.ny.gov/main/business-center/contractors/construction-division/forms-manuals-
computer-applications-general-information/project-start-up
Specific language required, use letter from Fillable Forms
Listing State Owned Equipment Schedule Letters - https://www.dot.ny.gov/main/business-
center/contractors/construction-division/forms-manuals-computer-applications-general-
information/project-start-up
SEAT Management Computer Equipment
Survey/Testing Equipment
Any other

Verify that the stakeout service has been notified BY CONTRACTOR for a stake out for any
excavation work. NOTE: Stakeout is ONLY good for 10 days, so several notifications may be
needed. Remember not all utilities (NYSDOT Signals for example) are members of Dig Safely or
other regional services; they will need to be notified separately.

Project Inventory of Pre-Construction conditions


o Some projects may be using stakeless survey/GPS to locate existing features this
would be through a request to your regional survey/construction survey group

At the very least, the following needs to be checked/verified/measured:


o Existing signs (condition and location) Inventory -
https://www.dot.ny.gov/main/business-center/contractors/construction-
division/forms-manuals-computer-applications-general-information/materials
o Pavement markings (station and symbol)
o Guide rail (measure locations to be removed) Inventory -
https://www.dot.ny.gov/main/business-center/contractors/construction-
division/forms-manuals-computer-applications-general-information/materials
o Mailboxes (number and locations)
o Water & gas/valve boxes, manholes (location and count)
o Trees for removal/protection (verify count and location)
o Driveway/ sidewalk condition prior to construction - PHOTOGRAPH!

Important:
Anything that is slated for removal should be verified and counted/measured, and photographed if needed.

Photograph anything historic (i.e.: carriage steps, hitching posts, slate sidewalks, etc.)

* Photo/video project BEFORE the start of construction *

Page 3 of16
OFFICE SET-UP

Obtain needed supplies from Construction Office for non-consultant projects. (MURK forms,
office supplies, etc.)

Line up testing equipment (including forms/supplies) and needed survey equipment for project.

Verify that a set of English Standard Sheets are in the field office. If you need Project specific
sheets, contact your Regional Construction Office for assistance.
o Engineering Force Sign-In Sheet. Project Start up -
https://www.dot.ny.gov/main/business-center/contractors/construction-division/forms-
manuals-computer-applications-general-information/project-start-up
o All State or Consultant staff on the project must sign in and sign out.
Include temporary staff
Once an inspector is signed in they are to begin DWRs for Contract
Must be established for every project (project specific)
Needs to be kept up to date
Must be placed in file folder

Emergency Staff Notification Sheet (Custom Template in SiteManager)


o Use the Template in Site-Manager and print out the Business Object report via Admin
Reports
o The emergency number/notification sheet(s) should be filed and accessible to the EIC,
Resident Engineer and Office Engineer.
o Update as needed
o NO LONGER Optional

Record answering machine with outgoing message, a suggestion is:


You have reached the New York State Department of Transportation Field Office for
Contract Dxxxxxx, description of project. We are unable to answer your call at this time,
please leave your name, telephone number, and a brief message and we will return your
call as soon as possible. Thank you.

Designate a set of large plans and label them Record Plans or As Built IN RED INK
(should have two sets of large plans in office & one to Contractor)

Designate a set of small plans and label them Office Plans (use these for tracking completed
payments)

Verify that notification regarding the project has been sent to, but not limited to:

Town/Village/City/County Officials, Fire/Emergency/911 dispatch, State Police/County


Sheriff/Local Police, Schools, Travel Advisory Officials, Regional Public Relations,
Maintenance Residencies, DPW (if county or town facility), and adjacent property owners.

Label all Project Books (any bound information) with If found return to... label.

Prepare Initial Entry forms (ROW 114A) for all affected Properties, THESE MUST BE SENT TO
REAL-ESTATE AS SOON AS CONTRACTOR HAS MADE FIRST ENTRY ON A PARCEL.

Page 4 of16
OFFICE SET-UP (continued)
Daily Work Schedule Project Start up - https://www.dot.ny.gov/main/business-
center/contractors/construction-division/forms-manuals-computer-applications-general-
information/project-start-up
o Receive a daily schedule from the contractor (usually established at preconstruction meeting)
Some projects may receive a weekly as opposed to a daily schedule, only
upon concurrence from the Engineer In Charge
o Have schedule filled out by EIC or Resident Engineer for work assignments
o Daily work schedule should be posted either the afternoon before or the morning of the
date of work prior to the start of operations
o At the end of the day, place in folder for reference
o Daily work schedule assists in assignments, recording weather/temperatures, and keeping
track of inspection staff.

Bulletin Board (Field Office) - Bulletin Board - https://www.dot.ny.gov/main/business-


center/contractors/construction-division/forms-manuals-computer-applications-general-
information/bulletin-board
The bulletin board is to be established in the field office and placed in an area visible to all
inspection and office staff.
The bulletin board is to be set up as per CAM Section 96 under Part III (Engineers Field Office
Bulletin Board).
Most posters are available on the Office of Construction website. If there are any issues with
attaining the EEO, Safety or Environmental posters, contact your Regional representative for
assistance.

Bulletin Board (Contractor) - Bulletin Board - https://www.dot.ny.gov/main/business-


center/contractors/construction-division/forms-manuals-computer-applications-general-
information/bulletin-board
The bulletin board is to be established in the Contractors field office and placed in an area visible
to all field staff/employees and office staff.
The bulletin board is to be set up as per CAM Section 96 under Part II.
The bulletin board for the Contractor is to be verified by NYSDOT that it has been placed in a
visible spot and all postings are exhibited.
o Use checklist for verification

Note: There are instances where a stationary structure does not exist for a field office (the EIC is using
his/her vehicle as the office) it is suggested that the EIC keep a folder in the car of all pertinent
bulletin board information for easy reference.

Page 5 of16
PROJECT FILES

Establish Correspondence Files (File Folders)


(Reference CAM Section 90)

Establish a correspondence log via Site-Manager as per the Engineer In Charge and Resident
Engineer
o Use Reports from Business Objects (print out periodically to update)
Contract Info
Correspondence Log
o File as per file listing (establish only those files pertinent to the project)

Establish a list of abbreviations for correspondence log, where applicable.

Adhere a copy of active list of files to front of fire proof cabinet(s).

CORRESPONDENCE FILES

The following are generic if your Region has established a filing system in addition to these they should
be utilized, not all files will be utilized on all projects and you should only maintain files pertinent to your
project.

NAME FILE DESCRIPTION

ACCIDENT REPORTS All vehicular and pedestrian accidents that occur on the project site
are filed in date order. Reminder: EIC/RE to record any accident in
the remarks section of the project diary.

ASBESTOS PROJECT RECORD All asbestos submittals, notifications to Labor Department and EPA
are to be filed here.

ASPHALT PLANT APPROVALS The letters from the contractor requesting the approval of each
asphalt plant are filed here along with the letter from the regional
office approving the specific plant. It is recommended that the
approval letter be stapled on top of the request for the plant. Any
changes that are submitted and the resulting action should be stapled
on top of the original submission as latest approval.

ASPHALT TICKETS & PLANT All asphalt plant reports (BR forms) are filed in the
REPORTS appropriate item folder in date order, most recent on top. The daily
asphalt tickets should be stapled behind the respective plant report in
sequential order.

COLD PATCH CERTIFICATION All cold patch certifications with the respective daily cold patch
delivery ticket are to be attached (stapled) in sequential order behind
the certification.

Page 6 of16
CORRESPONDENCE FILES (continued)

NAME FILE DESCRIPTION

CONCRETE CYLINDER All BR 300 reports are filed in date order.


REPORTS

CONCRETE MIX The mix proportion printout should be obtained from the
DESIGN technical services group after the plant is approved. This is required
for special mixes.

CONCRETE PLANT All letters requesting approval of specific concrete plants


APPROVALS filed in date order. If a plant is subsequently unapproved, the letter
notifying the contract of the plant=s unacceptability should be
stapled on top of the original letter approving the plant.

CONCRETE TICKETS & Concrete plant reports (BR forms) with respective daily
PLANT REPORTS concrete tickets attached (stapled) in sequential order
behind the plant report. The plant reports should be filed in
date order.

CONFORMED PROPOSAL The proposal, agreement, and completed HC201 (itemized


(AWARD PACKAGE) proposal) that was received with the EIC package at the start of the
project, low-bid item analysis (bid sheets), tabulation of bids and
vendor ranking (spread report), and all prevailing wages during the
life of the contract.
(Every Project is to have this package)

CONSULTANT ESTIMATES Each consultant estimate should be filed in numerical order with the
transmittal memo sent to the Regional Office, not needed as a final
record but only for the duration of the contract, unless otherwise
noted by the regional office.

CORRESPONDENCE FILES All general correspondence, incoming and outgoing. (All


correspondence is to be numbered and cross referenced where
applicable and include SN from Site-Manager.

CORRESPONDENCE LOG All correspondence logged on contract. Printout of Business Objects


Report, established in Site-Manager.

DISPUTED WORK FILE All related disputed work correspondence and documents between
the contractor and the State are filed in date order as well as in the
correspondence file.

EEO D/M/WBE FILE CONR-89, and any correspondence pertaining to D/M/WBEs or


Rev. AAP19 & 20.

EMERGENCY CONTACTS All contact sheets for the contractor, key project staff and other
emergency contact information shall be filed here.

Page 7 of16
CORRESPONDENCE FILES (continued)

NAME FILE DESCRIPTION

ENGINEERING CHARGES On State inspected projects; the original charge sheets for a period
are submitted to the construction (area) supervisor for transmittal to
payroll for calculation. The completed forms are returned to you for
input as a charge to the contractor. The monthly estimate to Albany
shall include two (2) copies of these charge sheets. On Consultant
projects, charges for State personnel are as noted above. Charges
for consultant personnel are calculated based on the rates of the
consultant and added to the State personnel charges. At the
completion of the contract, a summary table is prepared for all
charges. The original and two (2) copies of the summary table and
charge sheets for each estimate period previously submitted are
submitted to contracts along with the final.

ENVIRONMENTAL All issues pertaining to environmental documentation (ie. SPEDES


Permit, ECOPAC, Hazardous Waste Manifests, etc.) should be filed
in this folder.

EXTENSION OF TIME All correspondence concerning each extension of time is filed


together. Each grouping should consist of the application, and any
follow up correspondence. Additional extensions of time are to be
filed in date order in this folder.

FINAL This is a working folder and should not be filed at the end of the
project. During the project any documentation received for the Final
should be placed in this folder for easy access and retrieval when
compiling the final for the project.

FHWA INSPECTION REPORTS All FHWA inspection reports and related correspondence are filed
together. Additional inspection reports are filed in date order.

FORCE ACCOUNT WORK This is a working file and the documentation for a force
(FAW) account is to be transferred to the corresponding CO file when the
FAW is submitted.

INSURANCE FILE A copy of the contractor=s certificate of insurance. All notices to the
contractor advising him/her to renew all or portions of his/her
insurance and subsequent new certificates of insurance are filed in
date order. Subcontractors insurance in their file.

INVENTORY - EXISTING Inventory of all existing signs, pavement markings, guide rail, trees,
driveways, etc. on job site, within project limits, at the time of award
of the contract.

Page 8 of16
CORRESPONDENCE FILES (continued)

NAME FILE DESCRIPTION

ITEM(S) Every Project should have item folders as noted.


All evidence of acceptability, catalog cuts, and miscellaneous
information pertaining to a specific item including work-ups and
studies. One folder is used per item except for items that can be
grouped by families (like items with identical
requirements/documentation).

LABOR LAW VIOLATIONS All labor law violation reports and follow-up correspondence are
filed by each incident. Multiple violations are to be filed in date
order.

MINUTES TO MEETING FILE All minutes of meetings filed in date order.

ORIGINAL ENGINEERS The design engineers estimate that is provided at the


ESTIMATE beginning of the project is filed here. Additional design work-
ups/clarifications provided as the project progresses can be stored
here or in their respective item folders.

OVERTIME DISPENSATION The contractors request for overtime dispensation and the States
approval or disapproval is filed here. All subsequent requests are
filed here in date order.

PAVEMENT CORES Core reports (concrete and/or asphalt pavement).

PAYROLLS The contractors payrolls and compliance statements for himself and
each subcontractor are submitted for each week they work any
amount of time on the project. A separate folder is used for the
contractor and each subcontractor. The payrolls are filed in date
order in folders in alphabetical order.

PERMITS A copy of all permits for private or public work on the project site
are filed in date order and any accompanying memorandums or
transmittals.

PERMITS - DEC All DEC permits are filed in date order.

PERSONNEL FILE Any documentation on State personnel assigned to project sent from
Regional Office.

PHOTO/VIDEO LOG Photographs, disk (with log) and/or video cassette of project

PUNCH LIST All construction punch lists given to the contractors with transmittal
letters are filed in date order

Page 9 of16
CORRESPONDENCE FILES (continued)

NAME FILE DESCRIPTION

RECORD PLANS Any changes or revisions to plans stipulated on DWR, copy of


DWR should be placed here for future reference when updating
record plans (can be print-out of PDF preview).

RELEASES ROW/DRIVEWAY HC 199 (request for re-establishment of approaches to private lands)

ROW 114 FORMS A copy of the 114a.type memos generated by the computer. These
memos/forms are sent to the real estate group for temporary
occupancy or temporary easement of properties.

ROW-MAP All ROW maps are stored in this folder. If the maps do not fit the
folders, they can be rolled and stored in a box similar to record and
working plans.

SAFETY & HEALTH Copies of the contractor & consultants hazardous communication
program, health & safety plan and applicable State bulletins. Also,
any other contractor related health and safety communications.

SAFETY - MATERIAL DATA The material safety data sheets provided by the contractor
SHEETS for all chemicals used on the project are filed alphabetically in this
file, as well as in pertinent item folders.

SAFETY TAILGATE Minutes of all tailgate meetings


MEETINGS

SALVAGED MATERIALS All salvaged material receipts filed in item and date order.

SAMPLING & TESTING All BE 249, BR 250, and SM 464 reports.


REPORTS (Recommend placing with corresponding item in item folder)

SCHEDULES Project schedules: CPM, weekly, monthly etc.

SHOP DRAWING LOG Log of shop drawing submissions for each applicable item, filed and
posted on the wall for all inspectors to view.

SHOP DRAWINGS All correspondence and shop drawing submissions filed per item
with approved shop drawing on top.

SOIL BORINGS The soil boring reports that are obtained from the design or soils
group are stored in this folder. These should be obtained at the
beginning of the project.

Page 10 of16
CORRESPONDENCE FILES (continued)

NAME FILE DESCRIPTION

SOIL TEST RECORDS All compaction and gradation test reports filed in date order and
broken down by item number if applicable.

STOCKPILE(PARTIAL)PAYMNT Where applicable the contractor is paid up to 85% of material costs


for specific items, this is a partial payment. The certificate of title or
bill of sale, a release of liens, the request by the contractor to the
construction supervisor for partial payment and the State=s approval.
Note: Evidence of acceptability are filed in their respective item
folders.

SUBCONTRACTOR APPROVAL All subcontractor approvals, CONR 89, and subsequent


modifications to the original submissions. Each form is given a
number by the contracts section, the forms should be filed
sequentially by this number, not by the subcontractors name.
Note: A copy of the summary chart should be attached to the inside
front of this folder for first and last day of work and subcontractors
item numbers -can print out from Reports.

SUPPLIER SUBMISSIONS Letters of material suppliers, manufacturers, or fabricators submitted


by the contractor to the EIC/Resident Engineer, listed by item and
specific material. A copy of any correspondence rejecting any
material supplier is attached to that specific suppliers submission,
on top.

SURVEY NOTES All survey notes taken by the State, consultant, or field personnel.
Any computer forms used are to be kept in this file.

TRANSMITTAL LETTERS A copy of all transmittal letters including the contractors transmittal
letters for payrolls, EEO forms, material acceptance, etc. are filed
here in date order. The actual information being transmitted is filed
in the respective files. Exception to this is that shop drawing
transmittals must be in the appropriate shop drawing folder.

UTILITY FILE All utility permits, drawings, plans, sketches and correspondence
concerning utility work on the project is filed in this folder.

WAGE RATES A copy of wage rate interview forms completed during the life of
the contract in date order.

WELDER DOCUMENTATION A copy of welder certification card for each welder used on the
project.

Page 11 of16
ABBREVIATIONS FOR CORRESPONDENCE LOG FOR Dxxxxxx
A Albany
AC Albany Construction
AM Albany Materials
AS Albany Structures
CO Contractor
DPW Dept. of Public Works
FO Field Office
HP Highway Patrol
LIRR Long Island Railroad
NYSDEC New York State Dept. of Environmental Conservation
NYSDOL New York State Dept. of Labor
NYSDOT New York State Dept. of Transportation
RC Regional Construction
RCA Regional Consultant Agreements
RCO Regional Contracts
RD Regional Design
REODC Regional Equal Opportunity Development and Compliance
RL Regional Landscape
RM Regional Materials
RS Regional Structures
RSAFE Regional Safety

The above abbreviations are a suggestion if your Region has established a system of abbreviations those
should be utilized, but the abbreviation list should be placed in the filing system and on the cabinets for
easy reference.

Page 12 of16
LIST OF ACTIVE FILES FOR Dxxxxxx
Asphalt/Fuel Reports A1
Asphalt Plant Approvals A2
Asphalt Plant Tickets A3

Cold Patch Certification C1


Concrete Cylinder Reports C2
Concrete Mix Design C3

Disputed Work D1
Delays D2

Engineering Charges E1
Extension of Time E2

EEO Training Reports EEO1


EEO Correspondence EEO2

The above active file designations are a suggestion if your Region has established a system of
abbreviations those should be utilized, but the active list should be placed in the filing system and on the
cabinets for easy reference.

Page 13 of16
MEETINGS

Keep minutes to all pertinent meetings on site or with EIC.


o Pre-construction
o Pre-paving
o Pre-Erection
o Pre-Demolition
o Health and Safety
o Any other pertinent meetings on project
o Sample of attendance sheet (Construction Forms - Project Start Up)

AS-BUILT RECORD PLANS


(Reference CAM, Sections 90, 91 and 93)

Keep a file of field changes (ie. use Finals Folder)

Keep up Record Plans in red pencil through out the duration of the project (for use in revising
the As-Builts which are to be penned in black ink)

The draft Record Plans (red pencil) are to be turned in as Draft As-Built Record Plans
along with As-Built Record Plans (penned in black ink).

PHOTOGRAPHS
(Reference CAM Section 90)

Prior to construction preconstruction photos are to be taken of the site.

Keep a photo log / index of all photos taken (pre-construction, progress, and post construction
photos).

o Suggest to keep thumbnail photo sheets of all photos and index / label/ number them
and detail if they are preconstruction, progress or post construction photos.

Organize & store photos using Microsoft PowerPoint.


o If photos are not individually printed, a log should be kept on each photo taken and the
direction and location of the photo.

Use the presenter notes in PowerPoint to provide Location, Subject, Photographer and other
pertinent remarks for each photograph.
o Store PowerPoint files on ProjectWise in the appropriate Construction/Office folder

Remember to photograph:
o Historic item(s) on project.
o Check with Environmental Specialist
o Pre-existing drainage issues
o Take during wet conditions

Page 14 of16
SHOP DRAWINGS
(Reference CAM, Section 105-16)

Establish a shop drawing log Construction Forms - https://www.dot.ny.gov/main/business-


center/contractors/construction-division/forms-manuals-computer-applications-general-
information/contract-payments
Distribute as necessary and review in house for site conditions

Return to contractor for reproduction, correction, re-submission and file

Post copy of log for inspectors to see status

ASSURE that the inspectors are using only APPROVED shop drawings

Assure contractor submits approved reproductions to Main Office Structures when necessary
(without this submission the project will not be accepted)

The majority of approved shop drawings will have a transmittal letter or memo with them
there may be instances where the project may receive an e-mail notifying you of an approved
drawing this is sufficient as long as it refers to a shop drawing number and date of approval
and you have a copy of the reference drawing with the date that is referenced in the e-mail.

All shop drawings must be stamped and signed approved by the appropriate reviewing group
in order to be considered approved.

Page 15 of16
Accessing the Blue Book Web Site

1. Tag IntraDOT site through VDI or desk top Icon

2. Tag Organization tab

3. Select Office of Construction

4. Select Link to Blue Book Web

Note: There are three links of tutorials below the Link to Blue Book Web to help you learn how to use
the new version of the Blue Book.

Construction website- https://www.dot.ny.gov/main/business-center/contractors/construction-division

Construction Forms- https://www.dot.ny.gov/main/business-center/contractors/construction-


division/forms

Construction Forms Project Logs - https://www.dot.ny.gov/main/business-


center/contractors/construction-division/forms-manuals-computer-applications-general-
information/contract-payments

Pay Item Catalog - https://www.dot.ny.gov/main/business-center/engineering/specifications/pay-item-


catalog

Travel Restrictions (HC 104) - https://www.dot.ny.gov/main/business-center/contractors/construction-


division/construction-repository/HC_104.pdf

Schedule Letters - https://www.dot.ny.gov/main/business-center/contractors/construction-division/forms-


manuals-computer-applications-general-information/project-start-up

Inventory - https://www.dot.ny.gov/main/business-center/contractors/construction-division/forms-
manuals-computer-applications-general-information/materials

Project Start up - https://www.dot.ny.gov/main/business-center/contractors/construction-division/forms-


manuals-computer-applications-general-information/project-start-up

Bulletin Board - https://www.dot.ny.gov/main/business-center/contractors/construction-division/forms-


manuals-computer-applications-general-information/bulletin-board

Page 16 of16
CHAPTER 2
PROJECT REPORTS

I
THIS SHEET IS INTENTIONALLY BLANK

II
Reviewing (INSPECTORS) DAILY WORK REPORTS (DWR)
It is extremely important that the Office Engineer review the DWRs for MURK compliance. Meet
with your staff (and EIC if applicable) and review the expectations for their reports PRIOR to the start
of work. The Reports are supposed to state what the inspector did to check the contractors work, verify
that this is being reported. DWRs are typed in SiteManager.

Basic DWR requirements:


o Weather block is complete
o Contractor/Sub Contractors work hours for the day are recorded in military time
o All attached sheets to DWR have full signature of inspector & checked
o Proper templates are used, and all required information recorded (i.e. concrete, asphalt,
computation work-ups)
o Correct Item numbers are recorded against, and quantities are
transferred correctly to the payment field.

The body of the report should:


o Be OBJECTIVE not subjective and state what work was performed by the contractor,
how it was performed (ie. According to plans, specs., etc.) /Remarks in SM under work
item.
o Include a summary of the Work Zone Traffic Control used for the days operation(s),
including lane closures, safety equipment used, or other pertinent information
o Report results of any tests or checks made by the inspector
o Include the specific location of work
o Note any directives given to the contractor, or delays
o Note any changes from the plans (after EIC approval) including location.
STATE REASON WHY!
o Report any training efforts on the project

Office Engineers Duties to check payments (tip use DWR preview in Diary):
o Compare work operation against plans & Design workups, specifications
o Proper Categories and Engineering Shares are used
o Proper pay limits/lines used
o Quantities paid interim or final (as applicable) as directed by OE or EIC
o Proper item numbers recorded against for work performed
o All calculations are to be verified and checked by someone other than the person
writing the DWR if attachment/ when available, use appropriate template in SM
indicate how measurements were obtained: ie.
Field measured, contract plans, standard sheets,
etc. (initial appropriate spaces)
o Verify that no previous payment for same location & item exists

Suggest: Check job stamp & initial any attachments before being attached to DWR & place
original in a file.

If errors are found on the reports, notify the inspector as soon as possible, and have them
make the correction.

Page1of11


Reviewing (INSPECTORS) DAILY WORK REPORTS (continued)

Track the payments on Office Plans to verify that double payments are not made.
Use data tables, profiles, plan sheets, etc. available in the plans, to aid in this
process. This is a very important step and often the last defense against a double
payment. It is well worth the effort, especially when you are finaling a project, and
completing the Record Plans. THIS IS CRITICAL!

Upon completion of your review:


o Notify the Resident Engineer (Consultant inspected projects) and EIC of DWRs
ready for authorization by:
o Noting in Remarks under #1 DWR Complete which DWRs for the day are ready
for authorization.
o Once reviewed and signed by RE/EIC, they are locked down.

Interim Quantity ~vs~ Final Quantity on a DWR

Quantity reporting can be made as either Interim or Final;


either choice will make payment to the contractor.

Material certification requirements are still in place for interim as well as final payments.

The following is how to determine when to use interim quantity, all other conditions would
dictate using final quantity to record quantity for payment.

Interim:
Used when a final measurement can not be obtained at the close of a payment
period, such as: embankment, large excavations, large drainage runs, etc.; in order
to pay for work completed by the Contractor, but not final measured or computed.
This would be an estimated amount that would be deducted from the interim
quantity upon completion of final measurements and paid in the final quantity.

o Can be used for drainage structures; initial box, with any risers, would be paid
for under interim quantity, and when the frame and grate is placed, a final
measurement would be entered under final quantity.
the interim quantity would be deducted at the time the final quantity is
entered on the DWR.

Can be used for a progress payment eligible item. The entire amount would be
entered as a final quantity as a positive number, and the progress amount would
be entered as an interim quantity as a negative number.
Example: Item 304.15 - Progress Eligible
75% at placement and the remaining 25% at final grade
Say total placed = 100 CM
Record on DWR:
Final Quantity = +100.00 CM
Interim Quantity = -25.00 CM
Page2of11


Reviewing (INSPECTORS) DAILY WORK REPORTS (continued)

Upon final grading, a positive +25.00 would be entered under Interim Quantity

This is a favored method to keep track of Progress Payments, to assure that they
have all been paid in full and not overpaid.

Reports under DWR tab in Business Objects will list all items that currently have an interim quantity.
From there you can view/print the item history for the item in question and see when interim quantities
exist and if they need to be final quantity.

PROJECT DOCUMENTATION

CAM Manual Section 90 - https://www.dot.ny.gov/main/business-center/contractors/construction-


division/forms-manuals-computer-applications-general-information/murk_1a

Site-Manager has a number of tabs that are used to enter information into a DWR.

1. DWR Info.
Contract D number
Date
Temperature and Weather for their operation(s)
Remarks
#1 DWR Complete Note Complete when the DWR is complete and ready for review.
#2 WZTC Record the Work Zone Traffic Control for the Contractors operation(s) inspected. Note
procedure used, indicate any problems encountered and remedies to them. Do not use oversimplified,
one word remark Satisfactory. Provide a brief description of WZTC including location, and details.
#3 General Remarks Enter remarks that do not pertain to a work item, including any discussions
with Contractor personnel or other relevant topics (e.g. permit work, utility work, etc.). Record
Subcontractors first day of work.
#4 Contrctr Work Hours (military time) Record Contractor and/or Subcontractor times.
#5-16 are not used for typical Inspectors DWRs but rather for the EIC Diary or a Resident Engineers
DWR

Contractors tab
o Select the Prime and/or Subcontractor(s) who are performing the work being recorded
and their personnel (Labor).
o Record under Remarks for Contractor personnel if the shift is either greater than or less
than the standard eight hour day, noting those hours.

Contractor Equipment tab


o Record all Equipment used by the Prime and/or Subcontractor(s) performing the work.
o Record under remarks for Contractor Equipment if the shift is either greater than or less
than the standard eight hour day, noting those hours.
o Record specific type of equipment under Remarks for Force Account operations.
o Record all operating equipment as well as non-operating equipment (idle).

Page3of11


Reviewing (INSPECTORS) DAILY WORK REPORTS (continued)

Work Items tab


o Select the correct Work Item in the correct Category (Fiscal Share). The Description of
Work is displayed.
o Record quantity in the Placed Quantity field (as per spec. to nearest whole #, tenth or
hundredth).
o Enter the Engineering Share if applicable (OE/EIC directs).
o Select the Contractor performing the work item.
o Enter the location of the operation: drainage structure number, ramp name, street name,
mile marker, pour number, or other description to assist in retrieval of information.
o Select Final or Interim quantity (if Work in Progress select Interim).

Record in the Remarks any information that will be of value in the documentation of the
quality of materials, work processes, and any other activity:
o Describe what work was being performed for the item listed.
o Note any inspection of materials placed or received.
o Check measurements or tests made by the inspector or others. Enter location of checks
and tests and frequency.
o Reference pay quantities to delivery tickets, measurements, sketches, computations or
other source documents.
o Whenever possible, compute quantities via templates. If no template is available for
the item, attach supporting field measurements and computations to the DWR.
o Neatly draw and clearly label sketches, indicating which measurements are field
measurements and attach the sketch(s) to the work item tab. Note in the remarks that a
sketch is attached.
o If work on a contract pay item is incomplete, or the item is progress payment eligible,
note that the work is in progress and record a zero quantity so that the Contractors work
on that item is documented. Note that completed quantities will be recorded on a later
DWR. Cross reference subsequent DWRs back so that inspection of the entire scope of
the contract pay item is documented.
Note work or materials rejected, the contract pay item and reason(s).

Specialized Operations
Due to the unique record keeping requirements for certain work operations templates have
been associated to the following specialized operations (work items) and are required to be used.
When an Inspector is assigned to one of these operations they are to fill out the associated
template under that work item to record delivery, temperatures, tests and any other pertinent
information required for the operation.

Concrete Pavement
Structural Concrete
Asphalt Pavement

Page4of11


Reviewing (INSPECTORS) DAILY WORK REPORTS (continued)

If a template is not available, upon Regional (RCE) concurrence, the current MURK form may
be attached to the work item for information and must be noted in the remarks.
MURK 1RR Railroad Force Account
MURK 3 Concrete Pavement DWR (See CIM Section 501)
MURK 4 Asphalt Concrete DWR (See CIM Section 402)
MURK 5 Structural Concrete DWR (See CIM Sections 555/557)
MURK 6 SPDES Stormwater Inspection Report (See CIM Section 209)

PROJECT DOCUMENTATION

CAM Manual Section 90 (Highlights Only)

CONSTRUCTION INSPECTION IS DONE TO ENSURE AND CONFIRM THAT EACH CONTRACT


REQUIREMENT IS MET AND THESE FACTS SHOULD BE DOCUMENTED IN THE RECORDS. THE
RECORDS SHOULD INDICATE WHAT WORK WAS ACCOMPLISHED, WHAT CHECKS OR TESTS
WERE MADE AND THE RESULTS OF THE CHECKS OR TESTS.
<<< NOT JUST AS PER PLANS AND SPECIFICATIONS>>>

THE DAILY WORK REPORT WILL BE THE SOURCE RECORD FOR ALL ITEMS OF
WORK.
<<<THIS IS THE ONLY SOURCE OF DOCUMENTATION FOR FIELD ACTIVITIES TO BE
COMPLETED>>>

THIS REPORT IS TO BE COMPLETED BY THE END OF EACH DAY BY ALL FIELD


ENGINEERING PERSONNEL WHO ARE IN CONTRACT INSPECTION WORK AND IS TO BE
TURNED IN BY THE BEGINNING OF THE NEXT WORK DAY.
<<<SET UP REASONABLE TIME, STICK TO IT!>>>

ALL ATTACHED SHEETS MUST BE STAMPED (JOB STAMPED) AND SIGNED BY THE
INSPECTOR. <<< FULL SIGNATURE AT BOTTOM>>>

THE FIRST DAY A SUBCONTRACTOR ARRIVES ON THE JOB SITE, THE INSPECTOR SHOULD
CHECK THAT THE SUB IS APPROVED BY THE DEPARTMENT AND NOTE THAT ON THE DWR.
<<< HIGHLIGHT AND STATE APPROVED SUB .. ALSO NOTE LAST DAY IF KNOWN>>>

THE START AND COMPLETION TIME OF THE OPERATION BEING INSPECTED


<<< PRIME AND SUBCONTRACTOR(S)>>>

INDICATE WHAT MEASUREMENTS WERE FIELD MEASUREMENTS


<<< NOTE SOURCE OF ALL MEASUREMENTS>>>

INSPECT MATERIALS PLACED OR RECEIVED, PRIOR TO USE, TO CONFIRM


ACCEPTABILITY
<<<COPY OF MATERIAL ACCEPTANCE PAGE WITH DWR IS VERY HELPFUL, PHOTO COPIES OF
LABELS, ETC>>>

CHECK MEASUREMENTSLOCATIONS AND TEST TO BE CITED AND FREQUENCY


NOTED <<<DEPTH CHECKS, TEMP. CHECKS, ETC>>>

Page5of11


CHECK SPECIFICATION METHOD OF MEASUREMENT AND BASIS OF PAYMENT
<<<NOTE PERCENTAGES IF APPLICABLE, UNITS, INCOMPLETES>>>

PROJECT DOCUMENTATION (Continued)


MEASUREMENTS & SKETCHES TO DOCUMENT SPECIFICATION COMPLIANCE AND
QUANTITIES THE QUANTITIES FOR WHICH PAYMENT IS MADE MUST BE DOCUMENTED
IN THE PROJECT RECORDS
<<<USE DETAILS & TABLES FROM PLANS, STANDARD SHEETS, AND PROPOSALS ETC. DEVELOP
CHECKLISTS TO AID ALL ASPECTS OF SPECIFICATION COMPLIANCE, MAKE SURE EVERY ITEM
THAT PAYMENT IS BEING MADE FOR IS EXPLAINED IN THE DWR>>>

UNCOMPLETED WORK WHEN OPERATION IS NOT COMPLETED THE DAY IT IS STARTED,


THE INSPECTOR NOTES THAT, WHEN COMPLETE, QUANTITIES WILL APPEAR ON LATER
DWR. SUBSEQUENT DWRS SHOULD BE CROSSED REFERENCED BACK SO THAT INSPECTION
OF THE ENTIRE OPERATION FOR THE PAY ITEM IS TIED TOGETHER.
<<<WHEN PAYMENT IS MADE, NOTE THE DAY/DAYS THAT YOU PUT ZERO DOLLAR
PAYMENTS WORK IN PROGRESS IN ORDER TO FINISH THE WORK THIS IS AN AUDIT TRAIL>>>

LENGTH AND CAUSE OF ANY DELAYS NEED TO BE REPORTED, DESCRIBE ANY


OCCURENCES THAT DELAYED ANY OPERATION INCLUDING WHO, WHEN, WHY, HOW
LONG
<<<THIS INFORMATION IS VERY VALUABLE IF A DELAY CLAIM IS SUBMITTED>>>

NOTE ORDERS GIVEN TO THE CONTRACTOR, WHOM THEY WERE GIVEN TO, AND WHAT
MEASURES WERE TAKEN BY THE CONTRACTOR TO RESPOND, ANY WORK OR MATERIALS
REJECTED AND REASONS
<<<INFORM THE FOREMAN, STATE FOREMANS NAME, IF MATERIALS ARE THE ISSUE TRY TO GET
THE FOREMAN TO SIGN TICKET>>>

PROCEDURES USED FOR WORK ZONE TRAFFIC CONTROL, REFERENCE PLANS,


PROPOSAL OR MANUAL OF TRAFFIC DEVICES INDICATE PROBLEMS
ENCOUNTERED AND REMEDIES
<<<EXTREMELY IMPORTANT>>>

ALWAYS:
9 BOLDLY NOTE CHANGES FROM PLAN FOR TRACKING PURPOSES AND
RECORD PLANS, INCLUDE REASON FOR THE CHANGE
9 IDENTIFY (L), (W), & (D) ON CALCULATIONS
9 JUST STATE THE FACTS

NEVER:

9 MAKE PAYMENT FOR ANYTHING THAT IS NOT THOROUGHLY EXPLAINED IN


THE TEXT OF THE REPORT
9 INCLUDE YOUR OPINION

Page6of11


OTHER TOPICS FOR DWR
LANE RENTAL AGREEMENTS:

Make sure the lane rental item requires material acceptance enter the lump sum value (1.00) on a
DWR at the beginning of the project do NOT enter any material certifications for the item
this will cause it to be a status B.

As lane rentals are made, enter them daily as a negative value.

If the Contract has ended and there is still quantity remaining (the difference between the lump sum
value and the lane rentals), you will now enter visual acceptance for the remainder of the quantity.

If during the life of the Contract the value of the item hits zero, you will now begin to make
charges to the Contractor, these will continue for the life of the Contract.

Page7of11


THIS SHEET IS INTENTIONALLY BLANK

Page8of11


ENGINEERS DAILY CONTRACT DIARY
(Reference CAM Section 90)

Diary entries are to start with either the preconstruction meeting or first day of work.
o The first day of work is to be within 10 days of the date of the award letter (the date the
letter was written and not the award date noted in the body of the letter). The first day of
work is usually the start of the field office item (which could be the task of locating the
field office). Also list first and last day of work for Subcontractors.

Engineering force sign-in sheet


o Log personnel assigned to contract
o Keep original in file to be handed in at final.

Make sure Resident Engineer (Consultant inspected projects) and EIC keep diary up to date.
RE uses their DWR as diary.

Some EICs will request that the OE write in the Work Zone Traffic Control.
o The WZTC must be noted for every day of work; not applicable (NA) is unacceptable.
If there is no WZTC then it should be noted that there was no WZTC for that day. IE:
No lane closure required this date, where closures are listed, a statement should
follow: All necessary WZTC equipment in place and functioning properly.

E-mail pertinent to the contract is to be included in the diary. E-mail received from xxxx on
xxxxx about xxxxxx or E-mail sent to xxxx on xxxxx about xxxxxx.

NOTE: The Contractors first day of work will be 10 days of award by OSC. Notification by the
Department will not be required due to award being posted on the OSC Open Book website.

Page9of11


Diary Entries
Contract diary entries are not locked in Site-Manager until contract final acceptance. If a previous
contract diary is opened and edited in Site-Manager, it will be saved with a new date/time stamp of
approval. Original entries, later determined to be in error, must not be edited or deleted. Once the
error is found a revised Remark in the category is to be made on the date it was determined to be in
error and a reference to the original date noted with a corrected statement made.

Contract Diary Remarks Guidelines

1. DWR Complete Leave Blank. This field is for DWR entries only and not a Diary remark.

2. WZTC Work Zone Traffic Control Indicate conditions encountered in the daily
inspection, especially with regard to necessary signs, barricades, etc. and note any corrective
action ordered. (Follow through in future entries, noting final action to obtain satisfactory
results.) Do not use oversimplified, one word remark Satisfactory. Provide a brief
description of WZTC including location, and details.

Inspectors are to record on their DWRs the WZTC for the Contractors operation(s) they inspect.
Document the specific individual delegated the responsibility for inspecting Work Zone Traffic
Control for the Project (may be the EIC).

For multiple sites spread out over a large geographical area, or work on multiple shifts (e.g. day
and night), refer to specific DWRs (including the inspectors name) for those sites which the
EIC has not personally observed on that day.

3. General Indicate details of any operation not covered by a DWR. This information may be
needed should a dispute or claim arise that requires an analysis of the Contractors total work
force and equipment usage reference Remarks #14 below.

Inspection of Materials: Record any samples, tests or checks taken if they are not covered by
the DWRs. Also, record by whom they were taken, whether they passed or failed, and note any
corrective action if necessary. Include samples taken by others such as Contractors, test labs,
etc., if pertinent to a work operation.

Indicate any Subcontractors first day of work. Indicate the date and location of the
Contractors initial entry and completion of work on any easement (temporary of permanent) or
fee taking.

Record weather conditions for each business day for the duration of the Contract, through a
DWR. If no operations are recorded on a day then an inspector is to be assigned to record on
their DWR. If there are no DWRs (no personnel) on the day record weather conditions in the
Diary.

4. Contrctr Work Hrs Note the Contractors work hours (start and completion) in military time.
If the Contractor worked less than a full day, give cause or reason and also refer to the
Inspectors Daily Work Reports when necessary, by Inspectors name(s).

5. Phone Calls Document all pertinent incoming and outgoing discussions, including decisions
and directives. Note any directions from Construction Supervisor(s) or approvals by Regional
Page10of11


or Main Office staff. Cross reference to correspondence remarks section for e-mail
communications.

6. Visitors Record all visitors and their affiliated organization including pertinent discussions
that affect the contract.

7. Directions to Prime/Sub Document discussions with Contractor, including written and verbal
orders, final actions taken, any details important to support possible future disputes or legal
action.

8. Accidents Follow current Department procedures regarding documentation of accidents found


in the Section 97 Accident Notification and Reporting. All accidents are to be recorded under
this remark; this shall include all worker or vehicle accidents, even if no one was injured.

9. Environmental Document inspections, concerns, directives, or issues relevant to


environmental requirements.

10. Suspension/Delay Record delays, conditions, events and Contractor actions or inactions that
do or could have an effect on the Contractors adherence to the approved schedule. Refer to
108-01 Progress Schedule, for additional information.

11. Meetings Note the Pre-Construction meeting, regular progress meetings, and any other
pertinent meetings with Regional, Main Office or outside agencies, (e.g. meetings with
representatives of utilities, railroads, and various government agencies.) Note meetings held
with property owners, especially where agreements regarding driveways, trees, or frontage
treatment, etc. are made.

12. Utilities Record any work performed by others: i.e., permit work, utilities, land owners,
municipal personnel and others. Note start and completion of work and any conditions of
importance.

13. Correspondence Reference incoming and outgoing correspondence if it is of possible


concern so that the Regional Construction Engineer may have access to it.

14. Dispute Describe disputed work issues, including the first date of notice.

15. Non-Compliance Note Contractor/Subcontractor non-compliance and refer to #7 Directions


to Prime/Sub above to any directives given to the Contractor to rectify the situation.

16. Audit Record any audits performed by either the Department or other Agencies (i.e. OSC,
FHWA, NYSDOL, etc.) and state the name(s) of the person(s) performing said audit.

Page11of11



























CHAPTER 2
RREFERENCE DOCUMENTATION
PROJECT REPORTS

THIS SHEET IS INTENTIONALLY BLANK

ii

DWR Date: 03/01/2010 Contract ID: D261000 Authorized: No Locked: No Paid: No
Inspector ID: dpostrk Inspector: Debbie Postrk
High Temp: 43 Low Temp: 37 A.M. Condition: Clear P.M. Condition: Cloudy
Work Suspended Time: 00:00 Work Resumed Time:00:00 No Work Items Instld: No Contrs Present: No Staff Present: ./
Remarks: Yes 01 DWR Complete complete
02 WZTC Contractor closed right lane of parkway northbound from 10AM to 3PM, all signs placed as per
plans and specifications.
04 Contrctr Work Hrs 0700-1530

Contractor Information

Contractor ID: 22-3494282 Contractor Name: INTERCOUNTY PAVING ASSOCIATES LLC Hrs Worked: 0.000
Nbr of Supervisors: 1 Nbr Of Workers: 4
Supervisor/
Foreman : Name Hrs. Worked
Foreman - Non Working 0.000

Variable Labor: Personnel Title Qty Hrs.Worked

Laborer 4 0.000
0ne laborer was flagger for operation.

Equipment: Description Qty Qty Used Hrs. Used


Other - Not Listed 2 0 0.000
2 arrowboards used for operation

Contractor ID: 16-1242953 Contractor Name: SLATE HILL CONSTRUCTORS INC Hrs Worked: 0.000
Nbr of Supervisors: Nbr Of Workers: 2

Variable Labor: Personnel Title Qty Hrs.Worked

Carpenter 2 0.000

Equipment: Description Qty Qty Used Hrs. Used


Concrete Equipment 1 0 0.000
curb slip forming equipment

Page 1 of 13

Work Item Information


Item Code: 201.06 Description: CLEARING AND GRUBBING
Supp Desc 1:
Supp Desc 2:

Contractor ID
Project Nbr Line Item Nbr Catg. Plan Pg Nbr Place Qty Units Contractor Name Measured Instld Qty
XM0848 0002 0001 0 .800 LS 22-3494282 No .00
Location: North roadway INTERCOUNTY PAVING ASSOCIATES LLC
Station Offset Distance Station Offset Distance
From: 5 + 27.000 rt 0.000 To: + 0.000 0.000

Contractor began clearing and grubbing in preparation for roadway excavation in accordance with
specifications.

Item Code: 609.26020111 Description: CONCRETE CURB, STEEL FACED (NYC) TYPE D
Supp Desc 1:
Supp Desc 2:

Template Name
NYSDOT Multi-Row Location & Length V2(Metric)
Contractor ID
Project Nbr Line Item Nbr Catg. Plan Pg Nbr Place Qty Units Contractor Name Measured Instld Qty
XM0848 0200 0001 0 .000 M 22-3494282 No .00
Location: Ramp Eastbound to Rdwy VN INTERCOUNTY PAVING ASSOCIATES LLC
Station Offset Distance Station Offset Distance
From: + 0.000 0.000 To: + 0.000 0.000

Contractor began grading and setting forms for slip forming curbs. See Attached sketch of area.

Page 2 of 13


RPT-ID: RDWRHCON New York State DATE: 03/16/2017
USER: wzambito Department of Transportation PAGE: 1 of 5
Wayne Zambito
DAILY WORK REPORT FOR CONTRACT: D262512

DWR Date: 06/03/2014 Contract ID: D262512 IAuthorized: Yes I Locked: No I Paid: Yes
Inspector ID: rzeller Inspector: Inactive- Richard Zeller
High Temp: 80 Low Temp: 61 I A.M. Condition: Cloudy P.M. Condition: Clear
Work Suspended Time: 00:00 Work Resumed Tlme:OO:OO I No Work Items lnstld: No Contrs Present: No Staff Present:
Remarks: Yes 01 DWR Complete DWR Complete
o2wz:rc Sealand
(A) - Columbia St. Bridge Pike Driving Operations
Crew closed Columbia St. for Pile Driving Operations in same manner as previous day. With
"Road Closed I Local Traffic Only" , at Intersection of Varick St. and State St.. Also placed
traffic barrels across limits of work area and placed caution tape across entire road way and
side walks. In attempt to control pedestrians. Columbia St. closed at 7:AM and re-opened at
5:30PM this date. All WZTC checked and approved.

(B)- Rt. 12 South Ramp "RH" Demo Preparation {Capture Decking}


1)- Crew set up left lane closure on Oriskany Blvd. East. With all designated signage and
traffic cones, flashing arrow board and impact attenuator positioned designated buffer zone
from work area. Said closure checked and approved. Closure was in place from 7:AM -
10:30AM
2) - Crew also had an additional right lane closure on Oriskany Blvd. West. Which was an
extension to a lane closure set up by CCI. Crew extended said closure to a point just west of work
area at the "RH" ramp. Crew placed "Road Work Ahead", "Be Prepared To Stop", "Stop
Ahead", and two stop signs on the Rt. 12 Ramp to Rt. 5A West. All WZTC checked and
approved.
Closure was in place from 7:AM - 2:45PM.

3 General 1) ITEM# 202.120003, Sealand, "RH" ramp and partial span "S" Demo Prep.
-Crew continued with installing under decking {Capture Decking}, at the on ramp to South
bound Arterial. Crew also installing tarps along outside of fascia's. Working at span "HA" &
"HB" this date. All work per UNAPPROVED demo plan.

2) ITEM# 202.010001, Metzger Removal, Fay St. Warehouse


- Approved Service to Sealand Canst.
- Crew of one operator on site to continue with processing of warehouse debris. All work
incomplete.

3) ITEM# 607.98010111, NYS Fence, Court St. to Lafayette St.


-Crew on site to continue with installation of temporary fencing. Crew installing fence posts along
temporary side walk. All work incomplete. See item remarks.

4) Sealand Cons!.
- A crew of one operator and one operator trainee on site between Copper St. and Court St. to
place material along the access road way {Old Fay St.}. Crew using processed material from Fay
St. Warehouse. Placing material and compacting in attempts to better control dust, AOBE.
Payment to be made at later date.

5) ITEM # 625.01, Tri-Point Surveying


- Crew on site to perform control checks in preparation of GPS base set up.

6) This writer assisted inspector Josh Casper & Bob Stanhope with pile driving operations.

4 Contrctr Work Hrs Sealand Carpenters: 7:AM - 3:PM

New York State Fence: 7:AM -3:30PM

Metzger Removal: 7:AM - 6:PM

Page 3 of 13

RPT-ID: RDWRHCON New York State DATE: 03/16/2017


USER: wzambito Department of Transportation PAGE: 2 of 5
Wayne Zambito
DAILY WORK REPORT FOR CONTRACT: D262512

Contractor Information

Contractor ID: 16-1088501 Contractor Name: SEALAND CONTRACTORS CORPORATION Hrs Worked: 0.000
Nbr of Supervisors: 1 Nbr Of Workers: 3
Supervisor/
Foreman: Name Hrs.Worked
Superintendent 0.000
Mitch Lefave Sr.

Variable Labor: Personnel Title Qty Hrs.Worked

Carpenter 0.000
Pete Griffith

Carpenter - Foreman 2 0.000


Mitch Lefave Jr.
Nate Lefave

Equipment: Description Qty Qty Used Hrs. Used


Aerial Lifts 0 0.000
Genie S-45

Generator Sets 0 0.000


500 watt

Impact Attenuators 0 0.000


Ford 1985 six whl. boom truck with Flashing Arrow Board and Energy Absorb impact attenuator

Pick-up Truck, Light Duty 2 0 0.000


Ford F250 regf. cab 2002
Chevy 2500HD reg. cab utility box 2009

Shop/Hand Tools 2 0 0.000


Dewalt 7.25" Circular Saw Dewalt 18v
cordless driver

Page 4 of 13

RPT-ID: RDWRHCON New York State DATE: 03/16/2017


USER: wzambito Department of Transportation PAGE: 3 of 5
Wayne Zambito
DAILY WORK REPORT FOR CONTRACT: D262512

Contractor 10:16-1098453 Contractor Name: NEW YORK STATE FENCE INC Hrs.Worked: 0.000
Nbr of Supervisors: 1 Nbr Of Workers: 2
Supervisor/
Foreman: Name Hrs. Worked
Superintendent 0.000
John Findlay

Variable Labor: Personnel Title Qty Hrs.Worked

Laborer 2 0.000
Chad
Keith

Equipment: Description Qty Qty Used Hrs. Used


Air Compressors 0 0.000
Airman PDS1B5S

Air Tools 0 0.000


Hand Held Post Pounder

Trucks - On Highway 0 0.000

Ford F450 6 whl. stake rack

Contractor 10:26-2498509 Contractor Name: TRI-POINT CONSTRUCTION LAYOUT INC Hrs.Worked: 0.000
Nbr of Supervisors: Nbr Of Workers: 2

Variable Labor: Personnel Title Qty Hrs.Worked


Survey Crew 2 0.000

Equipment: Description Qty Qty Used Hrs. Used


Pick-up Truck, Light Duty 2 0 0.000

Page 5 of 13

RPT-ID: RDWRHCON New York State DATE: 03/16/2017


USER: wzambito Department of Transportation PAGE: 4 of 5
Wayne Zambito
DAILY WORK REPORT FOR CONTRACT: D262512

Work Item Information

Item Code: 202.010001 Description: DISPOSAL OF BUILDINGS

Supp Desc 1:
Supp Desc 2:

Contractor ID
Project Nbr Line Item Nbr Catg. Plan Pg Nbr Place Qty Units Contractor Name Measured lnstld Qty
213441 0004 0001 0 .000 LS 16-1088501 Yes 1.00
Location: Fay St. Warehouse SEALAND CONTRACTORS CORPORATION

Station Offset Distance Station Offset Distance


From: + 0.000 0.000 To: + 0.000 0.000

- ITEM# 202.010001, Metzger Removal, Fay St. Wrhse.


- Crew of one operator on site to continue with the processing of the Fay St. Warehouse. Crew this date
cont1nued to separate steel scrap from the concrete debris pile. Loading said steel scrap into a dump trailer for
disposal. All work is incomplete this date, payment to be made upon completion of processing the debris piles.

Item Code: 202.120003


Supp Desc 1: Supp Desc2:
Description: REMOVING EXISTING SUPERSTRUCTURES
Project Nbr Line Item Nbr Catg. Plan Pg Nbr Place Qty Units Contractor Name Measured lnstld Qty
213441 0010 0001 0 .000 LS 16-1088501 Yes 1.00
Location: RH Ramp SEALAND CONTRACTORS CORPORATION

Station Offset Distance Station Offset


From: + 0.000 0.000 To: + 0.000 0.000

-ITEM# 202.120003, Sealand, "RH" Ramp


- Crew on site to continue with installation of under decking, in preparation of demolition prior to phase one
construction. Where crew is installing under deck1ng {Capture Decking}, as per their UNAPPROVED demolition
plan. Installing 4" X 4" timbers at 24" spacing. And placing 3/4" plywood on the top of said 4 x 4's. Crew worked
with in the "HA" & "HB" Spans this date. Crew also installed their Fascia protection system, which is a tarp
secured to the bottom fascia girder flange and attached to the existing bridge railing. This date's work completes
the under decking for the submitted demolition plan, for ramp "RH" and partial removal of Span "S". Crew worked
with in lane closure's, with attenuator, provided by Sealand. See WZTC remarks for WZTC used for above
operation.

Page 6 of 13

RPT-ID: RDWRHCON New York State DATE: 03/16/2017


USER: wzambito Department of Transportation PAGE: 5 of 5
Wayne Zambito

DAILY WORK REPORT FOR CONTRACT: D262512

Item Code: 607.98010111 Description: TEMPORARY CHAIN-LINK FENCE


Supp Desc 1:
Supp Desc2:

Contractor ID
Project Nbr Line Item Nbr Catg. Plan Pg Nbr Place Qty Units Contractor Name Measured lnstld Qty
213441 0358 0001 0 .000 LF 161098453 Yes 2,724.50
Location: Court St. to Lafayette St. NEW YORK STATE FENCE INC
Station Offset Distance Station Offset Distance
From: + 0.000 0.000 To: + 0.000 0.000

-ITEM# 607.98010111, NYS Fence, Temporary Side Walk


- Crew on site this date to continue with installation of temporary fence along the temporary side walk located along the western
edge of R.O.VV. adjacent to Fay St. Crew installing 2 galvanized fence posts at a depth of two feet, to accept a four foot
chain link fence. Crew worked this date between Cooper St. & Lafayette St. All work is incomplete at this date. All work
checked and approved.
- Payment to be made upon completion of fence installation.

-As A Note: During work day, crew installing posts towards Lafayette St. Installed posts through an area that did not have
utility lay out completed. And crew set posts very near an underground conduit bank
{70KV}. Premier utility lay out personnel on site just after crew completed post installations to Lafayette St. After underground
electric lay out was complete it was apparent that a couple posts just missed the conduit by approx. one tacit. Premier,
contacted NYS Fence office to alert of mistake, as well as spoke to crew
about near miss. Regional utilities engineer Anthony Lamana also spoke to crew as well as this writer. Crew is to assure
utility call out is complete before installing any further fence posts. Sealand superintendant "Joe Brae" and EIC were also
made aware of the near miss.

Page 7 of 13
RPTID: RDWRHCON

New York State DATE: 03/16/2017

USER: wzambito Department of Transportation PAGE: 1 of 6
Wayne Zambito
DAILY WORK REPORT FOR CONTRACT: 0262512

DWR Date: 07/21/2014 Contract ID: 0262512 IAuthorized: Yes I Locked: No I Paid: Yes
Inspector ID: rzeller Inspector: Inactive - Richard Zeller
High Temp: 82 LowTemp: 62 I A.M. Condition: Clear P.M. Condition: Clear
Work Suspended Time: 00:00 Work Resumed Time:OO:OO I No Work Items lnstld: D No Contrs Present:O No Staff Present: 181
Remarks: Yes 01 OWR Complete OWR Complete
No WZTC required this date, due to all work men off of road way.
02WZTC 1) ITEM # 555.09, 555.72940001, 556.0201, 556.0202
- Sealand, BIN 1079530 Beg. Abut. Pour 2 & 6
3 General -Crew on site at BIN 1079530 Begin Abutment to place "HP" concrete for the upper and lower
stem wall pours {Pour# 2 & 6}. Where regional approval for combining pour's 2 & 6
previously granted. This is first concrete placement that includes the approved form liner
architectural treatment. Pour began at 7:30AM and ended at 2:PM. All work checked and
approved. Payments Made

-After pour completed, crew split up, to begin {2 laborers} stripping of BIN 1079540 begin
abutment footer. Remaining crew relocated to BIN 1079550 Begin Abutment footing to begin
footing form fabrications. Set a few pieces of temporary concrete barrier to be used as dead
men blocks. All work is incomplete.

4 Contrctr Work Hrs Sealand: 6:30AM - 4:30PM

Page 8 of 13

RPTID: RDWRHCON

New York State DATE: 03/16/2017
USER: wzambito Department of Transportation
Wayne Zambito PAGE: 2 of 6
DAILY WORK REPORT FOR CONTRACT: 0262512

Contractor Information

Contractor ID: 16-1088501 Contractor Name: SEALAND CONTRACTORS CORPORATION Hrs Worked: 0.000
Nbr of Supervisors: 1 Nbr Of Workers: 8
Supervisor/
Foreman: Name Hrs. Worked
Superintendent 0.000
Mitch Lefave

Variable Labor: Personnel Title Qty Hrs.Worked

Carpenter 3 0.000
Dan
Brian
Jim

Carpenter - Foreman 2 0.000


Max Lefave
Nate Lefave

Laborer 3 0.000
Chris H.
Jeff
Maurice

Equipment: Description Qty Qty Used Hrs. Used

Cranes 0 0.000
Grove RT745 {Jim Rowland Operator License on file}

Concrete Equipment 4 0 0.000


3 - Pencil Virbrators

1 -Schwing 32M Concrete Pump Truck {Pumpcrete}

Generator Sets 2 0 0.000


2 - Honda EB5000

Contractor ID: 16-1546010 Contractor Name: INTERSTATE REINFORCING INC Hrs.Worked: 0.000
Nbr of Supervisors: Nbr Of Workers:

Page 9 of 13
RPTID: RDWRHCON New York State DATE: 03/16/2017

USER: wzambito Department of Transportation PAGE: 3 of 6
Wayne Zambito
DAILY WORK REPORT FOR CONTRACT: 0262512

Work Item Information


Item Code: 555.09 Description: CONCRETE FOR STRUCTURES, CLASS HP
Supp Desc 1:
Supp Desc 2:

Contractor ID
Project Nbr Line Item Nbr Catg. Plan Pg Nbr Place Qty Units Contractor Name Measured lnstld Qty
213441 0176 0001 0 107.100 CY 16-1088501 Yes 3,420.76
Location: BIN 1079530 Beg. Abut. Pour 2 & 6 SEALAND CONTRACTORS CORPORATION
Station Offset Distance Station Offset Distance
From: + 0.000 0.000 To: + 0.000 0.000

ITEM# 555.09, 555.72940001


- Sealand, BIN10790 Beg. Abutment Pour 2 & 6
-Crew on site this date to place class HP concrete, at BIN 1079530 Begin Abutment Lower and Upper
Stem Walls {Pour# 2 & 6, previously approved by region to combine pours}. Crew to place concrete into
previously approved forms, form liners and steel reinforcement. Crew placed concrete {Supplied by
Carnesville Block} by use of a Schwing 32M pump truck {Pumpcrete}, with designated reducer in pump line
and a twenty foot steel pipe discharge extension. Which eliminated the need for hoppers with elephant
trunks. Crew was able to insert said extension into the forms to maintain a drop of concrete less than five
feet through out the pour. Crew placing material in one foot lifts and effectively consolidating with two
pencil vibrators. All form work, form liners and steel reinforcement remained in final position through out
the pour. Crew adjusted the #8 seat reinforcement to attain required spacing so as to not interfere with
bearing anchor bolt installation, by core drilling at later date. Crew completed placement to grade {At 4%
wash} as per drawing# ST2-11 thru 14. Said pour began at 7:30AM and was complete at 2:PM. All
testing performed by regional materials inspector "Jason Stevens", and inspector "Kris Mills". Where set#
8 test cylinders were cast. At end of pour no rejected material and 4.00 CY. were wasted.
Payment to be made this date, retaining 10% for curing purposes. See attached CADD volume report for
item quantity computations. Payment to be made as follows:
Pour # 2 = 99.50 CY
Pour# 6 = 7.60 CY
Total Qty. = 107.10 CY

107.10CY X 10% = 10.71 CY

ITEM# 555.09 = 107.10 CY {Final} -10.71 CY {Interim}

NOTE: In lieu of templates, see attached Murk 5 Structural Concrete report {OK per EIC}, for all truck and
testing information.

Page 10 of 13
RPT-ID: RDWRHCON New York State DATE: 03/16/2017

USER: wzambito Department of Transportation PAGE: 4 of 6
Wayne Zambito
DAILY WORK REPORT FOR CONTRACT: 0262512

Item Code: 555.09 Description: CONCRETE FOR STRUCTURES, CLASS HP


Supp Desc 1:
Supp Desc 2:

Contractor ID
Project Nbr Line Item Nbr Catg. Plan Pg Nbr PlaceQty Units Contractor Name Measured lnstld Qty
213441 0176 0001 0 -10.710 CY 16-1088501 No 3,420.76
Location: BIN 1079530 Beg. Abut. Pour 2 & 6 SEALAND CONTRACTORS CORPORATION
Station Offset Distance Station Offset Distance
From: + 0.000 0.000 To: + 0.000 0.000

-ITEM# 555.09, 555.72940001


- Sealand, BIN10790 Beg. Abutment Pour 2 & 6
- Crew on site this date to place class HP concrete, at BIN 1079530 Beg1n Abutment Lower and Upper Stem
Walls {Pour# 2 & 6, previously approved by region to combine pours}. Crew to place concrete into
previously approved forms, form liners and steel reinforcement. Crew placed concrete {Supplied by
Carnesville Block} by use of a Schwing 32M pump truck {Pumpcrete}, with designated reducer in pump line
and a twenty foot steel pipe discharge extension. Which eliminated the need for hoppers with elephant
trunks. Crew was able to insert said extension into the forms to maintain a drop of concrete less than five
feet through out the pour. Crew placing material in one foot lifts and effectively consolidating with two
pencil vibrators. All form work, form liners and steel reinforcement remained in final position through out
the pour. Crew adjusted the #8 seat reinforcement to attain required spacing so as to not interfere with
bearing anchor bolt installation, by core drilling at later date. Crew completed placement to grade {At 4%
wash} as per drawing# ST2-11 thru 14. Said pour began at 7:30AM and was complete at 2:PM. All
testing performed by regional materials inspector "Jason Stevens", and inspector "Kris Mills". Where set#
8 test cylinders were cast. At end of pour no rejected material and 4.00 CY. were wasted.
Payment to be made this date, retaining 10% for curing purposes. See attached CADD volume report for
item quantity computations. Payment to be made as follows:
Pour # 2 = 99.50 CY
Pour# 6 = 7.60 CY
Total Qty. = 107.10 CY

107.10 CY X 10 o/o = 10.71 CY

Page 11 of 13
RPTID: RDWRHCON New York State DATE: 03/16/2017

USER: wzambito Department of Transportation PAGE: 5 of 6
Wayne Zambito
DAILY WORK REPORT FOR CONTRACT: 0262512

Item Code: 555.72940001 Description: ARCHITECTURAL TREATMENT- VERTICAL CONCRETE SURFACES


Supp Desc 1:
Supp Desc 2:

Contractor ID
Project Nbr Line Item Nbr Catg. Plan Pg Nbr Place Qty Units Contractor Name Measured lnstld Qty
213441 0178 0001 0 .000 SF 16-1088501 Yes 21,125.00
Location: BIN 1079530 Beg. Abut. Pour 2 & 6 SEALAND CONTRACTORS CORPORATION
Station Offset Distance Station Offset Distance
From: + 0.000 0.000 To: + 0.000 0.000
-ITEM# 555.72940001
Sealand, BIN 1079530 Begin Abutment Pour 2 & 6
-Crew on s1te at BIN 1079530 Beg1n Abutment Lower and Upper Stem Walls {Pour 2 & 6}. Where crew
this date placed class "HP" concrete into approved forms. Where all form work and form liner installations
and preparations have been checked and approved. Where crew installed all form liners onto previously
ganged EFCO form panels, as per approved regional design and manufacturer pattern. Prior to setting
ganged form panels into position {Ganged and form liners installed with form on grade}. Crew also applied
the manufacturer recommended form release agent to the form liner material, just before setting forms into
position. All designated form liners, Quoins, chamfer lines installed as per said approved drawings. All
form liners and its appurtances remained in final position through out the entire concrete placement
operation. Crew took added care during placement to effectively consolidate concrete at the location of the
top portion of each block pattern, so as to minimize any air voids. All work checked and approved, as per
approved drawing, spec. and plan
- Payment to be made at later date.

Item Code: 556.0201 Description: UNCOATED BAR REINFORCEMENT FOR CONCRETE STRUCTURES
Supp Desc 1:
Supp Desc 2:

Contractor ID
Project Nbr Line Item Nbr Catg. Plan Pg Nbr PlaceQty Units Contractor Name Measured lnstld Qty

213441 0182 0001 0 4,836.000 LB 16-1546010 Yes 332,095.80


Location: BIN 1079530 Beg. Abut. Pour 2 & 6 INTERSTATE REINFORCING INC
Station Offset Distance Station Offset Distance
From: + 0.000 0.000 To: + 0.000 0.000

- ITEM # 556.0201
- Interstate, BIN 1079530 Beg. Abut. Pour 2 & 6

- Payment to be made th1s date tor BIN 1079530 Beg1n Abutment lower and upper stem wall pours# 2 & 6.
All uncoated steel reinforcement previously installed as per plan. All reinforcement checked and approved
prior to concrete placement. Concrete has been placed and completed. Therefore final payment to be
made as follows, using bar list, which is the checked and verified quantity of bar installed.
See drawing# ST-2- 48, for quantity used.
See attached bar list for quantity used for payment.
Payment to be made as follows.

- Pour # 2 = 4734 lbs.


-Pour# 6 = 1021bs.
Total = 4836 lbs.

ITEM # 556.0201 = 4836.00 LB. {Final}

Page 12 of 13
RPTID: RDWRHCON New York State DATE: 03/16/2017

USER: wzambito Department of Transportation PAGE: 6 of 6
Wayne Zambito
DAILY WORK REPORT FOR CONTRACT: D262512

Item Code: 556.0202 Description: EPOXY-COATED BAR REINFORCEMENT FOR STRUCTURES


Supp Desc 1:
Supp Desc 2:

Contractor ID
Project Nbr Line Item Nbr Catg. Plan Pg Nbr Place Qty Units Contractor Name Measured lnstld Qty
213441 0184 0001 0 6,245.000 LB 16-1546010 Yes 187,812.60
Location: BIN 1079530 Beg. Abut. Pour 2 & 6 INTERSTATE REINFORCING INC
Station Offset Distance Station Offset Distance
From: + 0.000 0.000 To: + 0.000 0.000

ITEM # 556.0202,
Sealand, BIN 1079530 Beg. Abut. Pour 2 & 6

Payment to be made th1s date tor epoxy coated steel reinforcement previously Installed at BII'J 1079530
Begin Abutment lower and upper stem walls, pour 2 & 6. Where all reinforcement, had been checked and
approved, prior to concrete placement. Said payment to be made for pour# 2 & 6, as follows, using bar list quantity
{See Drawing ST248}.
See attached bar list for quantity used.

Pour# 2 = 5327.00 lbs.


Pour # 6 = 918.00 lbs.
Total = 6245.00 lbs.

ITEM # 556.0202 = 6245.00

Page 13 of 13
CHAPTER 3
MATERIAL ACCEPTANCE
DOCUMENTATION/QAF
THIS SHEET IS INTENTIONALLY BLANK

MATERIAL ACCEPTANCE
(Reference CAM Section 90)

Material Acceptance is documentation that provides an adequate level of quality assurance for
the material being applied.

The specifications state the criteria that material must meet; it is detailed in Section
700 of the specifications, in the Basis of Acceptance section. In Site-Manager the
Material Inspection Detail (MID) window will assist in detailing requirements for
acceptance. It is your responsibility to check the specifications for an item of work
as well as the plans for any other certifications needed not listed in the MID
window.
The MIM is out-dated, and SiteManager is a better reference. Use the telescope
icon on the MID window to navigate to the Materials Detail window, to access the
Remarks, shown below.
Types of Material Acceptances:
Manufacturers Certification
Approved List, Visual1
Department or Consultant testing - test results or a notice of the material being
approved or rejected is sent to the project (i.e. BR forms) or in LIMS.
Erectors certification - now used for guide rail as well as steel. The erector collects
and compiles all certifications and submits a form summarizing the materials.
Engineer s evaluation - for materials where MURK indicates the Engineer s
evaluation as the evidence of acceptability, be sure of the requirements being
evaluated, there may be components that require testing or written certification.
Delivery Tickets

It is imperative that the certification received is compared to the product in the field.
Such as: bar markings, markings on guide rail, Product Name, etc.
File certifications in appropriate item folder (as well as delivery tickets, etc.)
1
SiteManager DWR Templates are no longer used for approved list/visual acceptances.
These are now treated in a manner similar to certifications.

Page3of11

MATERIALS ACCEPTANCE PROCEDURES


Materials Acceptance is based on any one or a combination of the following:
Materials Certification Document issued by the manufacturer or supplier used to
identify a specific shipment of material sent to a project and to confirm it meets the
appropriate specification(s).
o When Materials Certification appears under Evidence of Acceptability, the
requirements of that certification are expanded to include a statement as to domestic
origin (i.e. must satisfy Buy America requirements).
o Buy America provisions in accordance with Section 106-11 of the Standard
Specifications restrict the use of foreign steel, and foreign iron, including all items
containing foreign steel and foreign iron on NYSDOT projects.
Approved List Refers to the Approved List of Materials and Equipment for use on
NYSDOT projects maintained by the Materials Bureau and available on IntraDOT Office
of Construction site or by viewing the attachment on the Material Detail Window in
SiteManager.
o It identifies manufacturers, suppliers, products, etc. that are qualified for use on
Department projects.
o Only those material specifications which require appearance on the Approved List as
part of the Evidence of Acceptability (see MID) will have a corresponding entry.

Page4of11

Evidence of Acceptability from 700 Section

Link to Approved List on Web

Page5of11

The specification for 556 Reinforcing Steel (Rebar) is shown below. The Materials section indicates the
Material Codes that are appropriate for these Pay Items. We will be using 709-01 and 709-04 as examples.

Shown below is the Specification for 709-01, and its Basis of Acceptability. Basis of Acceptability is

Page6of11

Notice how 709-04 also includes the requirements to 709-01. Also, there are requirements for the Epoxy
Resin, the Applicator of the resin, and the Fabricator of the bar. Fabricator is not the steel mill who produced
the bar, it is the company who took a straight bar and bent it into the shapes necessary on the project. The
acceptance of rebar on the project may require 3 or 4 sample records in SiteManager, one for each of the
material codes. See MID Window above, page 4.

Page7of11

QUALITY ASSURANCE FACTOR (QAF) ~ For HMA

Plant Production Quality Unit Calculation:

1. For each day that a project places Hot Mix Asphalt, you will receive a BR 307 or BR343a form.

a. BR 307 is for plant certified material good for quantities up to 150T; the Quality Adjustment
Factor (QAF) of this material will always be 1.00.

b. BR 343a is for material tested at the plant and is the responsibility of the Department; the Plant
QAF for this material will be noted in the appropriate location on the form. Beginning in 2017,
BR343 forms may be discontinued. Regions have the option to use SiteManager to capture this
information, in which case you will receive an e-mail with the QAF.

c. NOTE: Testing of material is done on any mix that exceeds 150T. If your Project is taking less
than 150T of a certain mix, you may still receive a BR 343a because more than one Project may
be taking the same mix, and the combined total exceeds 150T. Multiple Projects may receive
the same BR343, project totals will be shown.

2. Calculation of Plant Production Quality Units


Calculation of Plant Quality Units is only on the material used on the Project (per Specification),
not on what was delivered to the Project. (Dont apply factor to wasted/rejected material.)
Sample calculation:
A contractor places 3000 T of 402.126201 on a Project. The BR 343a form is issued with a
QAF of 1.04. The calculation would be:
(1.04 1.00) x 3000T =120 Quality Units,
Payment would be made under item 402.126211= 120.0 QU (QAF Item)

3. Calculation of negative plant production quality units


It is possible to calculate negative Quality Units if the Daily QAF is less than 1.00.
Sample calculation:
A contractor places 3000 T of 402.126201 on a Project. The BR 343a form is issued with a
QAF of 0.95. The calculation would be:
(1.00-0.95) x 3000 T = -150 Quality Units
Use -150 as a quantity. The index price for the QU is multiplied by the quantity and should
automatically deduct for the Item during the estimate. Do not use an adjustment to the core Bid Item;
the adjustment, positive or negative, should be on the QA items, per Specification. See Below.

Page8of11

QUALITY ASSURANCE FACTOR (QAF) continued


Pavement Density Quality Adjustment Calculation:
The same procedure for calculating QAF is used to calculate Pavement Density Quality Adjustment.
You will receive from Materials a Core Sheet (or e-mail from SiteManager) that will tell you the adjustment
factor. If the Pavement Density QAF falls below 1.00, it is entered as a negative amount.

FYI:
All cores are to be 6 cores (150mm)
Material Procedure 96-04 has instructions for Random Core Sampling. The number of cores required is
based on tonnage placed that day. For 50 Series, this could range from 4 to 8 cores. For 60 Series, it is
always 4 cores. If the Random Location Generator indicates more than 4 cores for 60 Series, use 0.0 for the
tonnage to get only 4 locations.
Contractor is responsible for all core sampling and loose mix samples. Sampling supplies are available
from Region Materials
Sample delivery is required no later than the end of the days placement.
Use same Nuclear Density Gauge Daily (check serial number to assure this, Inspectors should record this
information on the DWRs).
For 50 Series paving, the Pavement Density QAF will NOT be applied to material placed on ramps with a
uniform full width section of less than 400 meters or 1200 feet in length, on shoulders, maintenance
widening and crossovers and bridges. (Per Specification)
o INSPECTORS WILL NEED TO BREAKOUT THESE AREAS OUT ON THEIR REPORTS
For 60 and 70 Series paving, each different Gauge Operator needs to have their name and credentials
recorded on the DWR Template HMA Nuclear Tester for IAST in SiteManager. Names may also be
entered for 50 Series paving, but are not required.
Region Materials would rather get involved sooner than after the fact if problems are developing.

ADDITIONAL PAVEMENT DENSITY SAMPLES:


For the 60 Series compaction method, this project requires the Contractor to take additional sets of cores as
described in the Table below to VERIFY the Project Target Density. The Engineer will randomly select the
four core locations in accordance with section 402-3.08, Pavement Density Samples, and Materials Procedure
96-01.
Additional Pavement Samples
PRODUCTION DAYS REQUIRED PAVEMENT SAMPLES
2 or Less Standard Specification Requirements Only
3-5 Standard Specification Requirements
+1 Additional Pavement Sample Set
More than 5 Standard Specification Requirements
+2 Additional Pavement Sample Set

Page9of11

BR Reports:
On a timely basis the field office should receive BR reports for material placed on the project. Here is a
listing of some of the different BR forms and what needs to be done once received:

Concrete:
BR 342 Plant certified for pours up to 20 cubic meters or 25 cubic yards for standard only, non-
structural, any specialty items requires a BR316.
BR 316a Inspector at Plant
When certification is received in the field office
o Verify the quantity certified against the quantity delivered to the project (i.e: the delivery
tickets).
o If amounts check out, enter the amount in the Material Usage box on DWR Template in SM
for Item.
o Attach the BR report to the delivery tickets. If you have established a file for just BR reports,
make a copy of the report to put with the tickets.
o Enter samples in SM

If discrepancies are found, you will need to contact either the plant inspector directly, or your Regional
Region Materials (find out your Regional Policy), to find the error.

You will NOT receive certification for flowable fill, or curb backing.

BR 300M Concrete Cylinder Report Business Objects reports.


When break information is received back from Lab, record Load amounts on the Concrete
Cylinder Break Log posted in the Field office. (Optional based on EIC).

Hot Mix Asphalt (HMA):

BR 343a Inspector at plant the form will come with a QAF value. Or, you might get an e-mail.
BR 307 Plant certified material up to 150T (not job specific, if more than one job is taking the same material
from a plant, this tonnage is added to get to the 150T).

When certification is received in the field office:


o Verify the quantity certified against the quantity delivered to the project (i.e: the delivery
tickets).
o If amounts check out, enter the Plant Dispatched Quantity on Template for DWR in SM.
o If payment/charge is needed due to QAF value, calculate as described above and enter into SM
under the appropriate Work Item.
o Attach the BR report to the delivery tickets. If you have established a file for just BR reports,
make a copy of the report to put with the tickets.

If discrepancies are found, you will need to contact either the plant inspector directly, or your
Region Materials (find out your Regional Policy), to find the error.

BR 97 You may receive a non-validated copy of this prior to the validated copy. When validated copy is
received (Stamped or signed in the lower right corner), match up with original, and enter into SM DWR.

Page10of11

Tack Coat:

Standard Specifications for Section 407, Tack Coat and Bituminous Materials have been revised and were
issued September 11, 2012. As part of the issuance, Section 702 material codes have been revised for tack coat
and certain asphalt emulsions.

Materials Method 702-2, Asphalt Emulsion quality Assurance has also been revised and includes an updated
Manufacturers Certified Test Analysis form that replaces the BR162 Bituminous Material Certified
Shipment Notice.

Primary sources will be supplying asphalt emulsions, including tack coats, using the new material codes and
the Certified Analysis form (see Chapter 3R page 3R-7).

Key Changes:
Certified Test Analysis form. This form will accompany asphalt emulsion deliveries and identifies the
manufacturer, product and distributing contractor.
Material Codes. Base emulsions will retain their previous codes but Tack Coat, polymer modified
emulsions and high traffic volume chip seal emulsions will use the base emulsion code with an
alphabetical suffix to identify its used.
Be sure to send a monitor sample to MO labs for testing. See QRG for details. This sample can be
created from the MID window, but you may have to hit the Show All button to choose the correct
Material Code. This sample cannot use the generic 702-TACKCOAT material code.

WELDER CERTIFICATION WORK RECORDS:


As per the NYS State Construction Manual, Section 7, page 59, the Contractor shall submit
his proposed welding procedure (Form BD 190 (4/81)) to the Deputy Chief Engineer
Structures, (DCES). When approved, DCES will send approval to Field Office.
In addition, the field office is to have a copy of the welders certification card, and their
drivers license, or other legal photo identification on file.
CRANE OPERATORS
The field office is to have a copy of the crane operators license, and their drivers license on
file, if the operator refuses to allow a copy to be made then the inspector should write down all
necessary information from the license and submit to the field office for verification.

MONITOR SAMPLES
Monitor Samples must be taken and sent to the MO lab for testing, as mentioned above for Tack Coats. Other
Materials that require this testing are High Strength or Stainless Steel fasteners and Geotextiles. Just like Tack
Coats, the generic material codes cannot be used for these materials the QRG explains how to determine the
correct material codes for fasteners. Region Geotechnical personnel may come out to sample Geotextiles, but
field personnel can log sample as well. Just like Tack Coats, hit the Show All button on the MID window to
select the correct material for this sample.

Refer to Chapter 3R for additional guidance and examples of forms you may receive.

Page11of11

THIS SHEET IS INTENTIONALLY BLANK

CHAPTER 3
REFERENCE DOCUMENTATION
THIS SHEET IS INTENTIONALLY BLANK

This chapter contains examples of things you might receive at the Field Office, and how to input
them into Sitemanager, as well as general information that might be useful in the day-to-day
working with SiteManager. See below.

1. Not all samples need to be VOIDed. Many mistakes/omissions can be corrected without
the need for creating replacement samples, or duplicate samples. Refer to the chart
to see what types can be fixed, by you or an Administrator, and what would require a
new sample.
2. This is an example of an e-mail from SiteManager, conveying the Pavement Density QAF
for a 50 series paving item. You may be receiving these instead of paper. QAFs for 60
series items are also going to be sent via e-mail. An example was not included, but looks
similar.
3. This is an example of an e-mail from SiteManager, conveying the Plant QAF. In 2017,
some Regions/Plants will be sending QAFs via SiteManager e-mails instead of paper.
4. This is an example of a BR-316 from a concrete plant, and how it should be entered into
SiteManager/LIMS. If codes on the sheet are not in the dropdowns in LIMS, put in a
Helpdesk ticket so they can be added.
5. Another example of a BR-316, see #4 above.
6. QRG for Bridge Bearing certifications into SiteManager. There are a few extra steps.
First, the cert sample must be linked to the Lab sample(s) using the Lab Control Number.
The Lab Control Number can be found in the e-mail sent from SiteManager, approving
the bearings for use. There is an example of this e-mail in the QRG. Also, capture the
date the bearings were shipped (on the bill of lading) and the date they were received at
the project site. These are needed for tracking purposes.
ReasonsSamplesareaskedtobeVOIDED
Reason IsVoidingNecessary? Solution

AssumingthesampleisnotyetAuthorized,
navigatetothesample(fromtheMIDwindow,
orFindSample,orjustopenitfromtheSample
SampleDateiswrong No Window),andedittheSampleDate.

Sincethisispartofadatabasekeyinthetable
linkingtheDWRtotheSample,thismustbe
MaterialCodeiswrong Yes VOIDEDevenAdminscan'tchangethis.
IfTestshavenotbeenassigned,thenitshouldbe
editable.Iftestshavebeenassigned,itisnot
editable,butstillmaynotrequireVoidinganda
replacementsample.Adminsmaybeabletofix
SampleTypeiswrong No it.

AssumingthesampleisnotyetAuthorized,
navigatetothesample(fromtheMIDwindow,
orFindSample,orjustopenitfromtheSample
Sampleriswrong/blank No Window),andedittheSampleType.

AssumingthesampleisnotyetAuthorized,
navigatetothesample(fromtheMIDwindow,
orFindSample,orjustopenitfromtheSample
Producer/Supplier is wrong/blank
Producer/Supplieriswrong/blank No Window) and edit the P/S
Window),andedittheP/S.

AssumingthesampleisnotyetAuthorized,
navigatetothesample(fromtheMIDwindow,
orFindSample,orjustopenitfromtheSample
AL/VisQtyiswrong/blank No Window),andedittheAL/VisQty

AssumingthesampleisnotyetAuthorized,
navigatetothesample(fromtheMIDwindow,
orFindSample,orjustopenitfromtheSample
MixIDiswrong/blank No Window),andedittheMixID.

Sincethisispartofadatabasekeyinthetable
linkingtheDWRtotheSample,thismustbe
Contract/Itemiswrong Yes VOIDEDevenAdminscan'tchangethis.

AssumingthesampleisnotyetAuthorized,
navigatetothesample(fromtheMIDwindow,
orFindSample,orjustopenitfromtheSample
RepresentedQuantityiswrong No Window),andedittheRepresentedQty.
Bushika, Daryl (DOT)
From: SiteManager@dot.state.ny.us
Sent: Tuesday, November 15, 2016 8:10 AM
To: Bushika, Daryl (DOT)
Subject: Sample dbushika1662100555 Authorized

SampleID:dbushika1662100555
LabReferenceNo.:SM16011437
Material:25HotMixAsphalt,40225
Facilty:H0007,CallananIndustriesInc.
SampleDate:20140113
PavingDay:PavingDay12
Contract:D261000;Item:402.125121

SampleNo. RiceS.G. Height(mm) BulkS.G. %MMTD


1 2.667 77 2.572 96.7
2 2.657 77 2.572 96.7
3 2.657 77 2.581 97.0
4 2.664 70 2.582 97.0
Avg 2.661 96.9
Std.Dev. 0.18

PWL: 69
QAF: 0.97

Test4RemarksDRB

1
Bushika, Daryl (DOT)
From: SiteManager@dot.state.ny.us
Sent: Tuesday, November 15, 2016 8:13 AM
To: Hanley, Jim (ITS)
Cc: Bushika, Daryl (DOT); Collins, Edward (DOT)
Subject: QAF for contact D261000

SampleID:dbushika16AV142225,LabReferenceNo.:SM16011452 Date:20161031
Region:01
Facilty:H0342,CallananIndustriesInc.,Bridgeville
Material:9.5HotMixAsphalt,40209,MixID:H034210018,Lot:16555

Contract Quantity QAF


D261000 555.0 1.05

SiteManager

1


AssumeweareonContractD123456,andreceivedClassDP.Use
thesheettotherighttocompletethetemplatebelow.Besure
tousethelineintheAuthorizedShipmentsareathat
correspondstoyourContractandClass.SomeContractsreceive
multipleClassesonthesameform,withdifferentingredients.



Thecementmanufacturerwouldbe101.Donotenter
theFacilityNumber(C0999).Thisistheconcrete
supplier,notcementmanufacturer.
TheCementTypeisIP.TypeIPisaBlendedCement,
whichcontainsMicrosilica,inthiscase8%.
TheFlyAshSupplieris27.
TheAirAgentCodeis1017.
TheMicrosilicaCodeisleftBLANKitisincludedinthe
BlendedCement.
TheRetarderAgentCodeis2018.
TherearenoOtherPozzolans,leaveBLANK.
WaterReducerCodeisBLANK,eventhoughM2exists,
sinceitwasnotincludedintheDPlineforContract
D123456.






Now,assumeweareonContractD123458,andreceivedClassD.
Usethesheettotherighttocompletethetemplatebelow.Be
suretousethelineintheAuthorizedShipmentsareathat
correspondstoyourContractandClass.SomeContractsreceive
multipleClassesonthesameform,withdifferentingredients.



Thecementmanufacturerwouldbe32.Donotenterthe
FacilityNumber(C0999).Thisistheconcretesupplier,
notcementmanufacturer.
TheCementTypeisI/II.
TheAirAgentCodeis1017.
WaterReducerCodeis3036.







Quick Reference Guide
Bridge Bearing
Certification Samples
This QRG describes the process for logging Bridge Bearings certification samples into SiteManager.
Launch sample from MID window as usual. The big difference here is the Lab Control Number. It
MUST be changed to the same Lab Control Number as the Lab Samples that approved the bearings.
This is needed for tracking purposes, such as when the bearings were shipped and when they arrived at
the project site.
- Basic Sample Data Tab
The only new piece of data being captured here is the Lab Control Number. All other data should
continue to be captured as you would any PMAC sample for Bearings.

o Lab Control Number: MUST change to the Lab Control Number of the Lab Samples.
o This was e-mailed to the PM, as part of a database trigger.
o See Page 2 for example of this e-mail.
o SAVE

1 2/22/2017
Quick Reference Guide
Bridge Bearing
Certification Samples
- Other Tab (The window should add a row to the table, if not, click New)
o In Type column, click dropdown, select Destination Lab (first choice in list)
o In ID column, right click, take search, select Field Lab
o SAVE, Click New for each new row.
o In the Type column, select Shipping Date, and enter the date the bearings were
shipped from the Manufacturer. This should be on the Bill of Lading accompanying
the bearings.
o In the Type Column, select Date Received at the Field Office, and enter the date the
bearings arrived at the project site
o SAVE

Below is an example of the e-mail SiteManager sends out when the bearings are approved at the lab.
Note the Control Number this is what the cert sample must be changed to.

From:SiteManager@dot.state.ny.us[mailto:SiteManager@dot.state.ny.us]
Sent:Monday,November14,20161:53PM
To:<PMofContract>;<Manufacturer>
Cc:dot.sm.mo.mb.general.eng;<MOLab>;<InspectionAgency>
Subject:NYSDOTContractD261000

Effective11/14/2016,thefollowingbearinglotforNYSDOTContractD261000,fromD.S.
BrownCo.isaccepted.

LotNo. ControlNumber
16123 CNdbushika16AS141910

Pleasecontactourinspectionagencytoarrangeforreleaseofthebearingsfor
shipment.

SiteManagerLIMS

This is part of a new process in Main Office Materials. The Lab Control Number is the
only link back to the lab samples, and for tracking purposes, it is a vital piece of
information. With this Lab Control Number, we can now track the time it takes from
sampling to arrival.

2 2/22/2017
CHAPTER 4
CIVIL RIGHTS
THIS SHEET IS INTENTIONALLY BLANK

Page2of21

EEO Requirements

References
Standard Spec Section 100
MURK 1A (CAM 102)
FHWA 1273
Executive Order 11246

Common Acronyms
y EBO: NYSDOT Approved Civil Rights Reporting Software
y DBE: Disadvantaged Business Enterprise (FEDERAL AID)
y MBE: Minority-owned Business Enterprise (100% STATE AID)
y WBE: Woman-owned Business Enterprise (100% STATE AID)
y AAP: Affirmative Action Program
y TSP: Training Special Provision (Item 691)
y AA: Affirmative Action
y RGN: Race & Gender Neutral
y DOL: Department of Labor
y EEO: Equal Employment Opportunity
y GFE: Good Faith Effort
y CUF: Commercially Useful Function
y RCS: Regional Compliance Specialist

Contract Compliance
Contract Goals:
- DBE or M/WBE Utilization (subs/suppliers/vendors)
- Employment Utilization (minority & female workforce)
Met/exceeded or Contractor shows Good Faith Effort (GFE)
EEO - Discrimination
Prompt Payment

Page3of21

D/M/WBE Utilization

DBE Disadvantaged Business Enterprise


- Federal Aid Contracts
- Single Goal in the form of a percentage (%)
- Subcontractors must be certified thru the Unified Certification Program (UCP)
- https://nysucp.newnycontracts.com/
- UCP Partners: NYSDOT, MTA, NFTA, PANYNJ

M/WBE Minority-Owned or Woman-Owned Business Enterprise


- 100% State Funded Contracts
- Shown as two (2) goal percentages one MBE & one WBE
- Currently combined goal is 30%
- Subcontractors must be certified by Empire State Development Corp.
- https://ny.newnycontracts.com/FrontEnd/VendorSearchPublic.asp

Participation counts toward the goal ONLY on the items of work or the work
codes that the D/M/WBE is certified to do on the registries

Participation is based on the actual payments (attainment) for the work, not the
bid amounts

Pre-Award

Contractor enters Pre-Award D/M/WBE information into EBO


D/M/WBE commitments reviewed
Good Faith Effort (GFE) reviewed
Office of Construction may or may not recommend award

EBO

Current NYSDOT-Approved Civil Rights reporting software

Contains:
o All required NYSDOT Forms for EEO/Civil Rights
o Contract Items bid amounts and commitments to sub firms
o Project work hours
o Payment & Receipt information
o Note Function to document activity
Data must be updated by primes/subs/vendors by the 15th of the month

Page4of21

Change Orders

RCS should be notified of changes to D/M/WBE items that are being amended
Change Orders are imported into EBO weekly (once approved)
Prime must adjust all items affected by Change Order
If D/M/WBE items are negatively changed, the Prime may have to add additional
D/M/WBEs or additional work to existing D/M/WBEs as part of Good Faith Effort
(GFE)


ConstructionContractsClickontheITEMSC/Otab.Screenwillrefreshandshowyouthe
changeordersthathavebeenprocessedonthecontract.Thedropdownboxthatisshownallows
youtoselectjustoneChangeOrderbynumber.Thereisadownloadbuttonsothatyoucan
exportallthedatatoanExcelSpreadsheetbytheChangeOrder#orinItem#ordertoseeallthe
changestoaparticularitem.Thisscreenisfairlyeasytonavigateandveryselfexplanatory.

Again,specialattentionmustbepaidtoanyitemthatwillaffecttheD/M/WBEsparticipation
towardmeetingtheD/M/WBEgoalonacontract.KeeptheRCSintheloopasitmayrequire
someadditionalworkonthepartofthePrimeContractor.

Page5of21

AAP19D/M/WBESCHEDULEOFUTILIZATION
AtAGlance
*FirmsbeingusedtomeettheD/M/WBEgoal.
*TotalParticipationforeachfirmutilized
*TotalParticipationoncontract
*Amountover/undergoal
*Preaward&Postawardtocapturesignificantchanges

Page6of21

AAP20D/M/WBEUTILIZATIONWORKSHEET
AtAGlance
*EachD/M/WBEfirmhasAAAP20sub/supplier/manufacturer
*ShowswhatitemfirmisSUPPOSEDtodousewithCUFreview
*Full/Incomplete(Partial)Item
*Commitments=theamounttheprimeispayingthefirm
*WC/WorkCategorydefinitionsatbottomofform
*TotalParticipationforeachfirmutilized


Page7of21

CONR89APPROVALTOSUBCONTRACT
AtAGlance
*EachSUBCONTRACTORworkingonsitemustbeapprovedbefore
theystart
*Showseachitemassigned
*Full/IncompleteItem
*Trackssubcontracteddollarsfor50%Rule.
*Approvalonlyrequiredonceperfirmforlifeofcontract

Page8of21

EEO GOALS

EEO goals based on the WORKFORCE/PEOPLE


o 6.9% Statewide for Female Workforce
o Minority Workforce goals are based on:
County project located in
If more than one county, location of actual work
May be more than two counties in one day/week
o Region 11 NYC are based on:
Trade
Goal percentage range (EX: Glaziers 16.0% to 20.0%)

AAP33 MONTHLY UTILIZATION REPORT

AAP33 tracks:
o Work hours of ALL non-supervisory employees
o May include hours of working (trade) supervisors (case by case)
o Breaks down information by GENDER
Male
Female
o Breaks down information by RACE/ETHNICITY
Minority
Non-Minority

Data comes from Certified Payrolls imported by Prime and Subcontractors in EBO

Reports are reviewed by EIC/OE in EBO monthly.

NO PAPER COPIES REQUIRED unless requested by NYSDOT/Representative:


o Certified Payroll Issues
o Data Entry Issues
o FHWA Compliance Review
o Other Audit or Review

AAP33 Employee Utilization Report tracks work hours of:


o Of all non-supervisory workers
o Actually has two reports
Breaks down information by Gender (Male/Female)
Breaks down information by race/ethnicity (Minority/Non-Minority)

Page9of21

AAP33 MONTHLY UTILIZATION REPORT (contd)

Reviewed monthly
o Must be produced by EBO
o EICs choice of reminder from Prime:
Prime e/mails .PDF from EBO
Prime sends e/mail to EIC/OE stating that all data is in/accurate
Either way EIC/OEs responsibility to review monthly.
o No paper copies are required all data in EBO
o No signatures are required as no paper copies

EIC/OEs ensure that the data in EBO matches certified payroll by a PAYROLL
AUDIT
o If payroll audits are done and data is correct, the payroll and report data
will have correct information on:
Work hours
Trades
Race
Gender
o If payroll audits are not done, verification of the report is not possible.
o No verification data in contract EBO file may be flawed

(The Payroll Audit process will be reviewed in CHAPTER 5.)

Page10of21

AAP33MONTHLYUTILIZATIONREPORT
AtAGlance
*InEBO,
*Consolidated(ALL)orIndividualFirmReports
*Pullsdatafrompayrollentry
*NoPaperformsarerequired
*ReportcanbecustomizedtorequirementsFirmsDates


Page11of21

TRADES
MALE/FEMALE(M/F)
ETHNICITY


Page12of21

Page13of21

*Scrolldownapageortwo
*FindthetotalhoursforREPORTPERIOD
*FindtotalEEOGoalAttainmentforREPORTPERIOD

Page14of21

*TotalWorkHoursTODATEalwaysonthelast
fewpages

Page15of21

*LastpageshowstheTOTALWORKHOURSin
eachcategory
*ShowstotalEEOGoalAttainmentTODATE.

Page16of21

Certified Payrolls
Required from all contractors working on the project
o Not required from suppliers, manufacturers, brokers, services, etc.
Payrolls are done on a WEEKLY basis
Require name, address, race, gender, trade, classification (journeyworker/apprentice),
wage rate
Required to be put into EBO on a weekly basis as well no LUMP SUM entry
EIC/OE responsible to ensure that all payroll are received
Signed CERTIFICATION sheet must be attached to payroll
Payrolls can be mailed, faxed, or scanned & e/mailed

Acceptance of Payrolls
Once the payroll is reviewed by the EIC/OE, it must be accepted in EBO.
Specific guidance/instruction will be reviewed Chapter 5

Prompt Payment
Prime contractor has seven (7) calendar days after receipt of payment from NYSDOT
to pay subs/vendors for the work that the subs did (or the product/service that the
vendors provided) that was included in that estimate
AAP21s Affidavit of Payment Forms are no longer required (EB 08-025), unless:
o Payment complaint by sub/vendor- if so,
Must be a paper copy
Must be signed by complainant
Contain specific details of payment issue/complaint
o Concern or issue with Primes payment history
o Federal Compliance Review
o Other legitimate reason
EBO MUST be updated by both the prime (when they made the payments) and the sub
(when they received the payments from the prime)

REMINDER: Each Region has One or More RCS (Regional Compliance Specialist) to
assist you with any information contained in this Chapter and the Labor/Chapter #5.
Feel free to call them with any questions that you may have.

Page17of21

Commercially Useful Function (CUF)

Definition: Per 49 CFR 26.55 A DBE performs a CUF when:

"Responsibleforexecutionoftheworkofthecontractoradistinctelementofthework...
byactuallyperforming,managing,andsupervisingtheworkinvolved."

Why Complete a CUF?

Required by Title 49 Part 26.37(b) of the Code of Federal Regulations:


YourDBEprogrammustalsoincludeamonitoringandenforcement
mechanismtoensurethatworkcommittedtoDBEsatcontractaward
orsubsequently(e.g.,astheresultofmodificationtothecontract)is
actuallyperformedbytheDBEstowhichtheworkwascommitted.This
mechanismmustincludeawrittencertificationthatyouhavereviewed
contractingrecordsandmonitoredworksitesinyourstateforthis
purpose.
EnsuringthatworkcommittedtoDBEsisactuallyperformedbytheDBEs
Mitigatesfraud
MaintainstheintegrityoftheDBEprogram
ProvidesopportunitiesforlegitimateDBEstoparticipateonFederallyassisted
contracts
LegitimateDBEfirmsarenotshutoutofopportunities

Page18of21

CUFPROCESS


FederallyAssistedContractsONLY

DBEsONLY

Onceduringthelifeofthecontractforeachworktypebeing
performedbytheDBE

EXAMPLE:ADBEisparticipatingasbothaSUBCONTRACTORanda
PROFESSIONALSERVICE.ThiswouldrequireTWO(2)separateCUF
CertificationformsONE(1)foreachworktype.

Page19of21

CUFPROCESS(contd)

Reviewcontractrecords/supportingdocuments(SeeCUF
CertificationFormforspecificdetails)

o Crossreferencedocumentsforverification

EXAMPLE:Comparenameondeliveryticket/billsof
lading/materialcerts/invoicestonameofDBE

EXAMPLE:ComparepayrollsofContractor/DesignBuilder&DBE
toensureseparateemployees
(NOTSHARED)

EXAMPLE:ComparenameofPE/PEStamponplans/reportswith
nameofPEidentifiedbyDBEtoprepareplans/reports

Page20of21

CUFCERTIFICATIONFORMOVERVIEW

TheformisinprocessofbeingaddedtoWebSite

MustbeopenedinAdobeAcrobat
o Formhasdropdownboxmenus

Eachsectionhasaboxintheupperrightcornerthatcanbe
checkedforadditionalguidance

FormmustbesavedtoSiteManager

NamingProtocolis:
o CONTRACT#REGIONDBENAME
EXAMPLE:D123456REGION99OEBLACKTOP,LLC

Page21of21

CHAPTER 5
DEPARTMENT OF LABOR (DOL)
PAYROLL / WAGE RATE

THIS SHEET IS INTENTIONALLY BLANK

Page2of4


CAM Section 102-10
https://www.dot.ny.gov/main/business-center/contractors/construction-division/construction-
repository/CAM_Sect102-10.pdf

PAYROLLS: Certified payrolls are to be submitted for all contractors working on the project.
(not required from suppliers, manufacturers, broker services, etc.)
o Includes subcontractors for the time period, if they worked.
o Payrolls are to be submitted on a weekly basis.
o Require annotation of race/gender/name/address & an individually identifying number
for the employee(s)
o Must show hours worked in each trade or classification (journeyworker/apprentice).
o Must show Wage Rate.
Payrolls are to be submitted on form HC-231 for all federal-aid contracts or
form WH-347 (Exhibits in CAM).
A printed payroll submitted from a payroll system may be accepted for non-federal aided
contracts as long as it contains all required information and the Statement of Compliance,
original signature by the Contractor, is included.
All payrolls are to be filed and Logged. May use Correspondence Function in SiteManager.
Field Office is to verify payrolls are accurate and reported in EBO and click review button
once complete. (See Reference Document 5R-1)
Regional Compliance Specialist may conduct audits to compare information in electronic Civil
Rights Reports to the payroll received by the EIC/project site.

WAGE RATES: Prevailing wages are to be paid to all contractor personnel and all subcontractor
personnel
Wage Rates Are Updates July 1st Each Year.
Receipt of Labor Affidavits, AC2947, received for every Prime Contractor. (May go to
Regional Office, Exhibits in CAM)
Receipt of Labor Affidavits, AC2948, received for every subcontractor upon approval of the
subcontractor. (Exhibits in CAM)
A revised AC2947/8 is required for all projects upon revised wage rates

WAGE RATE INTERVIEWS:


Wage rate interviews should be conducted as soon as possible after workers in a new trade
appear on the job site.
At least one interview should be conducted in each trade employed by the contractor AND each
subcontractor.
On multi-year contracts, interviews should be conducted annually (particularly after July 1st).
It is recommended to perform wage rate interviews on the contractor/subcontractor payday so
that the employee will know his/her pay rate.
MURK 10 Wage Rate Interview Form
https://www.dot.ny.gov/main/business-center/contractors/construction-division/forms
o Part I is the only section to be filled out at time of interview have the inspector fill out
this section with the employee being interviewed.
o After interview the inspector is to complete Part I and note it was performed in their
Report (DWR) for that day and submit to Field Office to complete.
Page3of4


o Part II of the form is to be filled out by the Office Engineer or designee.
Part II will compare the wage rate not only with the schedule but with the
certified payroll attained from the Contractor/Subcontractor.
o The completed wage rate form should be filed in the projects wage rate folder.

WAGE RATE INFORMATION:


Back Of Proposal
Site Manager Contract Administration Contract Records Contracts Attachment Link
Link By PRC Number: (See Reference Document 5R-2)
https://applications.labor.ny.gov/wpp/showFindProject.do?method=showIt
Link By County:
https://applications.labor.ny.gov/wpp/publicViewPWChanges.do?method=showIt
Link For Archived Rates:
https://www.labor.state.ny.us/workerprotection/publicwork/ArchivedWageSchedules.shtm

NOTE: When checking rates, be aware that updates can be processed after initial Wage
Determinations Listed in Proposal. By Checking the General Rates By County You Get
Updates.

CAM Section 107-04


https://www.dot.ny.gov/main/business-center/contractors/construction-division/construction-
repository/CAM_Sect107-04.pdf

BULLETIN BOARD: The contractor is required to post, conspicuously, various Labor, EEO, Safety
and General notices and posters.

Contractor Posters to be Reviewed using Bulletin Board Checklist (See Below)


o Contractor to be allowed to keep posters in a binder, readily accessible by employees in
the case of multisite or mobile projects where there is no established location for workers
to report.
Engineers Field Office Required ToPost Several Notices As Well. (List In CAM 107-04)

CHECKLIST AND MOST POSTERS LINK:


https://www.dot.ny.gov/main/business-center/contractors/construction-division/forms-manuals-
computer-applications-general-information/bulletin-board

Page4of4


CHAPTER 5R
REFERENCE DOCUMENTATION
THIS SHEET IS INTENTIONALLY BLANK

5 6
5
4
TAKE THESE STEPS:
1) Log-in to EBO
2) Open REVIEW
3) Click on PAYROLL AUDIT
4) Enter D#
5) Click on FIND
6) Click on EDIT

RECORDING REVIEW IN EBO

REFERENCE DOCUMENT 5R-1


CONDUCTING PAYROLL AUDITS AND
SCREEN WILL REFRESH
1) Check Contract Number
2) Select Contractor
3) Select Payroll Period/Week
Ending

RECORDING REVIEW IN EBO

REFERENCE DOCUMENT 5R-1


CONDUCTING PAYROLL AUDITS AND
SELECTING THE CONTRACTOR:
1) Click on the Down Arrow
2) Select the firm whose
payroll you wish to review
Screen will do a slight refresh

RECORDING REVIEW IN EBO

REFERENCE DOCUMENT 5R-1


CONDUCTING PAYROLL AUDITS AND
SELECTING THE PAYROLL PERIOD:
1) Click on the Down Arrow
2) Select the WEEK ENDING date
that you wish to review.
Screen will do a slight refresh

RECORDING REVIEW IN EBO

REFERENCE DOCUMENT 5R-1


CONDUCTING PAYROLL AUDITS AND
REVIEWING THE DATA:
1) Compare the PAPER certified payroll against the data shown above.
2) Pay special attention to the Race/Gender of the employee : Visual vs Payroll vs EBO
3) Compare Total Hours on payroll to total hours this period. If all is OK, then
4) Click on the EXPAND button.
5) Screen will refresh.

RECORDING REVIEW IN EBO

REFERENCE DOCUMENT 5R-1


CONDUCTING PAYROLL AUDITS AND
REVIEWING THE DATA:
1) By choosing this, the data will show the trades, classification, type
(straight or OT), and number of hours.
2) If all matches and your audit is complete, click on the REVIEWED button.
3) Screen will refresh and you can continue on to the next firm or payroll
period.

RECORDING REVIEW IN EBO

REFERENCE DOCUMENT 5R-1


CONDUCTING PAYROLL AUDITS AND
This is what the Payroll Audit will look
like after the REVIEW button is selected
and the updates SAVED.
Note: Date review done & Log-in Name
doing review annotated.

RECORDING REVIEW IN EBO

REFERENCE DOCUMENT 5R-1


CONDUCTING PAYROLL AUDITS AND
REFERENCE DOCUMENT 5R-2

Andrew M. Cuomo, Governor Roberta Reardon, Commissioner

NYSDOT Schedule Year 2016 through 2017


ARVIND SALGAM, DQAB PS&E UNIT Date Requested 09/16/2016
NYSDOT PRC# 2016009491
POD 23
50 WOLF ROAD
ALBANY NY 12232 NY 12232

PRC Number
Location Madison
Project ID# D263324
Project Type Johnny Cake Hill Road over Madison Feeder Canal, Town of Madison, Madison County

PREVAILING WAGE SCHEDULE FOR ARTICLE 8 PUBLIC WORK PROJECT

Attached is the current schedule(s) of the prevailing wage rates and prevailing hourly
supplements for the project referenced above. A unique Prevailing Wage Case Number
(PRC#) has been assigned to the schedule(s) for your project.

The schedule is effective from July 2016 through June 2017. All updates, corrections, posted
on the 1st business day of each month, and future copies of the annual determination are
available on the Department's website www.labor.state.ny.us. Updated PDF copies of
your schedule can be accessed by entering your assigned PRC# at the proper location on
the website.

It is the responsibility of the contracting agency or its agent to annex and make part, the
attached schedule, to the specifications for this project, when it is advertised for bids and /or
to forward said schedules to the successful bidder(s), immediately upon receipt, in order to
insure the proper payment of wages.

Please refer to the "General Provisions of Laws Covering Workers on Public Work
Contracts" provided with this schedule, for the specific details relating to other
responsibilities of the Department of Jurisdiction.

Upon completion or cancellation of this project, enter the required information and mail OR
fax this form to the office shown at the bottom of this notice, OR fill out the electronic
version via the NYSDOL website.

NOTICE OF COMPLETION / CANCELLATION OF PROJECT

Date Completed: Date Cancelled:

Name & Title of Representative:

Phone: (518) 457-5589 Fax: (518) 485-1870


W. Averell Harriman State Office Campus, Bldg. 12, Room 130, Albany, NY 12240

www.labor.state.ny.us. PW 200 PWAsk@labor.state.ny.us


CHAPTER 6
STOCKPILE (PARTIAL) PAYMENTS

THIS SHEET IS INTENTIONALLY BLANK

STOCKPILE (PARTIAL) PAYMENTS

The intent of the Partial (Stockpile) Payments provisions is to allow reimbursement to Contractors for the
cost of materials obtained and stored for future use on projects. All the provisions stated in Standard
Specifications 109-04 need to be met prior to reimbursement.

NOTE: INDIVIDUAL COMPONENTS OF AN ITEM OR RELATED ITEMS MAY BE


COMBINED TO MEET THE MINIMUM MATERIAL COSTS.

To begin the Process:

o Material must meet eligibility requirements spelled out in the Standard Specifications
Section 109-04A:
1) Inclusion on the listing listed below;
2) Have a minimum material cost of $5,000. Individual components of an item
or related items may be combined to meet the minimum;
3) Be materials which will be incorporated into permanent work;
4) Steel and iron materials shall be in a condition which is ready for fabrication
or installation. Other materials shall be in a condition which is ready
for on-site installation without further fabrication or processing;
5) Be delivered and stored at the work site or at a site and in a manner
approved by the Construction Engineer; and
6) Be materials which will be stored, or already have been stored, for a
minimum of 60 days.
o And be included on the List of Materials, 109-04B:
1) Iron, Steel and Aluminum products (including bridge bearings and all metal
components of railing and bridge superstructures);
2) Precast and Prestressed Concrete products;
3) Pipe and Underdrain products;
4) Concrete and Stone curb or masonry products;
5) Concrete, Steel and Timber piles and appurtenances;
6) Timber products;
7) Traffic Signal, Traffic Control, signing and Lighting components;
8) Intelligent Transportation system (ITS) components (cameras,
telecommunications components, computers, etc.)
9) Cable, Wire and Conduit
10) Impact Attenuator components;
11) Materials in short supply; or
12) Materials meeting specific, unique requirements

Page3of4

STOCKPILE (PARTIAL) PAYMENTS Continued:

o The Contractor submits to the EIC the "Request for Partial Payment of Stored Materials"
form along with all the listed required documentation. Request must be made by Prime
only, even if it is for a Subcontractor or Supplier.
NOTE: Certificate of Title and Warranty of Title are the same document

o The EIC verifies the information and documentation submitted by the Contractor and
then completes section B of the request form.
NOTE: The quantity of material for which payments are made shall not exceed
the estimated contract quantity for that item. In accordance with the
specifications the partial payment can not exceed the total invoice
amount for the stored material nor will the request exceed 85% of the
unit price for the item.

o The Request Form must be sent to the Regional Construction Engineer for signature, (some
Regional Offices may require the entire package). The request may be approved by your
RCE or his/her designee. Make a copy prior for your project records.

o The RCE (or Supervisor) will sign and return the Request Form.

o Click on Stockpile Icon and record payment, the required forms/paperwork is


to be attached to the Stockpile Panel for the item making payment.

Example:

On a bridge deck pour, the stay in place pans are a component of the pay item, and the
contractor is requesting partial payment only on the pans.

Say decks unit price is $100,000, and the cost of the pans is $10,000 (from the invoice).

In accordance with the Specifications, 85% of the unit price is $85,000 and the invoice is for
$10,000, therefore the maximum partial payment will be $10,000.

In Site-Manager under the concrete deck item you will input the cost of 10,000 dollars as
invoice paid but this is also 10% of the item since the dollar value is a component of the
Item you will need to place a quantity of the whole deck and a conversion factor of 10% or
0.10 so when the deck is poured the system will take back the 10% or 10,000 dollars paid
prior.

After the 60 days minimum storage period requirement has been met, 50% of the pans have
been placed. Site-Manager will take back 50% of $10,000 = $5,000.00 automatically.

Page4of4

CHAPTER 6R
REFERENCE DOCUMENTATION
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CHAPTER 7
CONTRACT PAYMENTS

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Page2of5


CONTRACT PAYMENTS
~ Notify the Prime contractor in advance of all missing paperwork required for the Payment
Period. Allow enough time for them to respond ~

Triggers for Progress Payment:


Once a month Contract Payment needs to be made, with two exceptions:
o No monthly payment shall be rendered unless the value of the work done
equals 5% of the contract amount or $1,000, whichever is the lesser.
o Semi-monthly payments may be rendered provided the value of the work
performed in a two week interval is in excess of $50,000 when requested
by contractor in writing, or, if in the opinion of the Department, it is to
the best interest of the State to do so.

Required Documentation (from Contractor):


EEO Requirements reported in Current EEO Reporting System (EBO):
o AAP21c Contractor Report of Contract Payments
o AAP26 Monthly Training Progress Report
Prime/Trainer, Trainee, EIC. If trainee is unavailable,
explanation is needed.
o AAP33ds Monthly Employment Utilization Report
Composite Report, Primes, and any Subs that worked past month
Correct Certified Payrolls (usually 2 week grace period)
Required certifications for items included in the Payment

Run DWRs Ready For Review report in Business Objects to verify that all DWRs needing to be
included in the estimate have been authorized.

Do NOT include your last DWR (payment DWR) at this point leave it unauthorized by EIC.
(this will allow you to record corrections, payments etc)

If you had stockpile payment(s) make sure they were inputted in Site Manager and saved - they will
be an automated line adjustment (payment).

The Mobilization is to be recorded for the first progress estimate for item work not including
mobilization - include this on your payment DWR or the one before it.

Generate the Estimate and check the Estimate Summary to see if there are discrepancies (deductions).

Review reports using Business Objects:


Fuel and Asphalt
o Choose Asphalt Report and Asphalt Summary Report

o Choose Fuel Report and Fuel Summary Report

o Review the total to determine if a payment or charge is warranted (+/- $5,000.00)


and record under the appropriate item on your payment DWR.

Page3of5


Contract Payments (continued)
These reports are for Existing items only any new item introduced into
the Contract by either the WAAB price (Pay Item Catalog) or agreed price
needs to be computed manually and then added to the number from the
summary reports above. (Remember items introduced by force account are
not eligible; also, overruns in which the unit bid price is kept do not need to
be hand calculated, the item will be captured in the reports above). Refer to
Chapter 7A

Note payment is made when the adjustment exceeds +/- $5,000.00 BUT any and all fuel
and/or asphalt adjustment will be made prior to final payment.

CONR 22 A-B Flagged report should be run to check for:


o Quantity Overruns (Status A)
From the flagged report determine if:
FCO is needed (below threshold quantities, Fuel/Asphalt/Steel Price
Adjustments
Renegotiation letters are required (exceed threshold quantities)

o Missing Certifications (Status B)


Determine if additional certification is needed from Prime for inclusion of
item(s) in this estimate
Run Status B Details/Missing Materials report to determine the quantity
needing certification. Before Estimate run Status B Details/Missing
Materials Pre Estimate
Note Reports above are accurate only after Estimate is Generated.

Run WZTC: Percent Work Complete report to determine payment for estimate period and
record on payment DWR note the report is a running tally.

CONR 22 report to assure that there is not a negative category (fiscal share) and if a two
week payment is being made, the total is greater than $50,000.00.
A negative category (even though the total is positive) will not be accepted.

Steel Adjustment run report in access on IntraDOT refer to Chapter 7A for steps to
determine if payment is warranted. If payment is warranted pay under item on payment
DWR.

Give a copy of the CONR22 report to the Resident Engineer (Consultant) and EIC to review
to make sure no additional payment is due the Contractor, or incorrect payment was
recorded and corrections is needed.

Complete payment DWR and re-generate estimate you will NOT be deleting the previous
one only over-writing it. Only if you had Manual Line Adjustments not automated ones
will you need to re-input the manual adjustments again (we are trying not to perform
manual adjustments if at all possible).

Page4of5


Contract Payments (continued)

Print to pdf the CONR 22 once all is agreed to with EIC and send to Contractor for
concurrence on quantities. If they disagree and corrections need to be made the Estimate
will require to be deleted, DWRs will need to be unauthorized, corrected, reauthorized and
estimate generated again using same end date.

If CONR22 is agreed to then continue with approval process.

OE generates the estimate, Resident Engineer (if there is one) must approve the estimate
otherwise the Office Engineer approves it as Asst PM, then the EIC approves the estimate
the EIC approval date is the MIR date.

The estimate is then automated (sent up automatically) to Main Office and then to the
Comptroller.

You cannot generate the next estimate until the previous one is approved through to OSC.

Note: The Begin Date of your estimate is the Award Date in Estimate 1 & the End Date of previous
Estimates thereafter and, the Estimate Begin Date and the Estimate End Date can not be the same
date.
Also, an estimate is NOT to be run for an estimate period beyond completion Date of Contract.

Page5of5


CHAPTER 7A
FUEL, ASPHALT AND STEEL ADJUSTMENT
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Page2of8

Steel Adjustment Guidance Miscellaneous Information

For ALL contracts let on and after September 6, 2012:

As per 698 , the Contractor is required to notify the Engineer within 30 calendar days after
contract award of the item he/she wants to apply steel price adjustments to. Any and all items
that the Contractor does not opt-in on will be ineligible for steel adjustment for the life of the
contract.

The formula(s) for determining the price increase or decrease are -

When Price Increases (>5%):


Price Adjustment = [((MI-BI)/BI) 0.05] (CB quantity)

When Price Decrease (<-5%):


Price Adjustment = -[((MI-BI)/BI) + 0.05] (CB quantity)

CB is the Cost Basis listed for the month of bid letting.


BI is the value of Preliminary PPI for the month of bid letting
MI is the value of the Preliminary PPI for the month the materials is invoiced

NO ADJUSTMENT IS MADE IF THE PERCENT CHANGE IS +/-5%

Once you have determined if there is a dollar value increase or decrease you record it under the
work item for steel price adjustment on your payment DWR for the month in question.

Tip:
Monitor the indexes, to see when they are out of 5% range. Once they are, then verify if steel items
(or items with steel) were installed if yes then get the invoices needed.

The percent change in any given month is determined as follows:


Percentage Change = ((MI BI) / BI) X 100

Where: BI = Benchmark Steel Index


MI = Monthly Steel Index

To determine weights in declining order:


Department established weights of steel/iron by contract pay item per pay unit
Approved shop drawings
Verified shipping documents
Contract documents
Standard Sheets
Industry standards (i.e. AISC Manual of Steel Construction, AWWA Standards, etc)
Manufacturers data

Page3of8

From the Construction website attain PPI values posted (Monthly Steel Index/Bench Mark
Index/Cost Basis):

https://www.dot.ny.gov/main/business-center/contractors/construction-division/fuel-asphalt-steel-
price-adjustments

Utilize either the Access Report or the Excel Report from the Construction website above.

Access Report select English or Metric version depending on your contract.

-There are the 4 separate forms on the main page for existing items which are eligible for
steel adj. (allows for 4 years of entry) and a fifth form for new items which are steel adj.
eligible (that's the button titled: new/renegotiated items).

-if its a 1 year project, you can work within that 1 form.

-to make entries, first enter the PPI's (index and monthly) and the index Cost Basis in the top
pane.

Page4of8

Top Pane:

Then enter weights in Tons or Metric Tons in the middle pane.

-The monthly total will appear in the middle pane, and the yearly total will appear up top.
There is a tab to the far right which you can select to display monthly weight totals, PPI
Percent change, and the total for the year.

There is a conversion calculator it the bottom pane for converting pounds, KG, Tons, etc to
tons metric tons.

Page5of8

Excel Program:

For ALL contracts let on and after 9/6/12, as per EI 12-006, the Contractor is required to notify the
Engineer within 30 calendar days after contract award of the item he/she wants to apply steel price
adjustments to. Any and all items that the Contractor does not opt-in on will be ineligible for
steel adjustment for the life of the contract.

The formula(s) for determining the price increase or decrease are -

When Price Increases (>5%):


Price Adjustment = [((MI-BI)/BI) 0.05] (CB quantity)

When Price Decrease (<5%):


Price Adjustment = [((MI-BI)/BI) + 0.05] (CB quantity)

Where CB is the Cost Basis listed for the month of bid letting.

Once you have determined if there is a dollar value increase or decrease you record it under the
work item for steel price adjustment on your payment DWR for the month in question.

Page6of8


FUEL & ASPHALT ADJUSMENTS
The Specification for these items states that once an adjustment of +/- $5000.00 is reached, either a
plus or negative (charge) payment to the Contractor is to be made.

Remember any and all fuel and/or asphalt adjustment will be made prior to final payment even
though they may be below the 5,000.00 threshold.

IF CONTRACTOR IS OWED MONEY:


Using the FCP item in a FCO is the desired method. If FCO is not available or reasonable, the
owed amount, and if possible a reasonable projected amount can be added to a Change Order.
(Note: Do NOT project beyond two or three months). Support documentation would be the printout
of the reports below and if projecting additional monies, your worksheet to show how the amount
was determined should also be included.

IF CONTRACTOR OWES THE STATE MONEY:


A negative DWR against the item is to be recorded to reduce the overall paid amount, if none paid
and your entry creates a negative (below zero) total amount a Change Order must be created to
change the Current Contract Quantity to the new negative amount. This negative quantity must be
part of a positive estimate and not create a negative overall estimate.

To determine the dollar value for the estimate:

Review reports using Business Objects:


Fuel and Asphalt
o Choose Asphalt Report and Asphalt Summary Report

o Choose Fuel Report and Fuel Summary Report

o Review the total to determine if a payment or charge is warranted (+/- $5,000.00)


and record under the appropriate item on your payment DWR.

These reports are for Existing items only any new item introduced into
the Contract by either the AAWB price or agreed price needs to be computed
manually and then added to the number from the summary reports above.
(Remember items introduced by force account are not eligible also,
overruns in which the unit bid price is kept do not need to be hand calculated,
the item will be captured in the reports above).

Manually computing a fuel and/or asphalt adjustment for a new item:


Quantity = the quantity recorded for the estimate period multiplied by the
conversion factor.


The factors are available in the Fuel and Asphalt Factor Report

Page7of8

Asphalt -
No adjustment will be made in an estimate if the monthly average posted price is within $10.00
[within $15.00 for projects let on and after 9/6/12] +/- of the PGB (the Performance Graded Binder
is the base index price when the agreed price is first established).

The base index is the month the new item was established in to find index and monthly prices
select Asphalt Prices (Metric) or (English) depending on the contract.

Formula English and Metric:

Increase = Price Adj = (Quantity of Asphalt) X (Avg Posted Price PGB Index Price - $10.00)
[$15.00 for projects let on and after 9/6/12]

Decrease = Price Adj. = (Quantity of Asphalt) X (Avg Posted Price PGB Index Price + $10.00)
[$15.00 for projects let on and after 9/6/12]

Fuel
No adjustment will be made in an estimate if the monthly average posted price is within $0.10 +/- of
the fuel index price (English) or within $0.03 +/- of fuel index price (Metric).

The base index is the month the new item was established in to find index and monthly prices
select Fuel Prices (Metric) or (English) depending on the contract.

English Formula:

Increase = Price Adj = (Quantity of Fuel) X (Avg Posted Price Fuel Index Price - $0.10)
Decrease = Price Adj. = (Quantity of Fuel) X (Avg Posted Price Fuel Index Price + $0.10)

Metric Formula:

Increase = Price Adj = (Quantity of Fuel) X (Avg Posted Price Fuel Index Price - $0.03)
Decrease = Price Adj. = (Quantity of Fuel) X (Avg Posted Price Fuel Index Price + $0.03)

Once you have determined the increase or decrease for fuel and asphalt price adjustment you record
it under the appropriate item on your payment DWR for the month in question.

CAUTION: Final Quantities Computed At The End Of The Project:


Earthwork Final Quantites computed at the end of the project will need to be distributed
across the actual months of work to get fuel calculations correct. This would be unnecessary
if no adjustment is due. Important that this is considered

Page8of8

CHAPTER 8
ENVIRONMENTAL DOCUMENTATION
THIS SHEET IS INTENTIONALLY BLANK
ASBESTOS

Applicable Specifications, EIs and EBs


o Standard Specification 210 Removal & Disposal of Asbestos Containing Materials
(Buildings, Bridges and Highways)
o Standard Specification 202 Demolition of Buildings and Structures
o EB 13-010 The Environmental Manual (TEM) 4.4.19 Asbestos Management 2012
Update
o EB 16-048 Revisions to Construction Inspection Manual, MURK Part 1B Section 210
Removal and Disposal of Asbestos Containing Materials (Buildings, Bridges and
Highways)

NOTE: DOT must provide Project Monitoring services and/or Compliance Air Monitoring services
on all projects that include asbestos abatement. EIC/OE must contact the Regional Construction
Environmental Coordinator (CEC) at least 30 calendar days before work will begin so these
Environmental Term Agreement services can be arranged through Main Office Consultant
Management Bureau.

Asbestos Coordination/start-up Meeting


o Must be held at EIC Field Office at least 2 weeks before starting asbestos work
o EIC, Contractor, Asbestos Sub, Project Monitor/Compliance Air Monitor must attend
o Regulatory Variances and Contractor pre-abatement submittals should be reviewed
o Asbestos abatement phasing and scheduling should be coordinated with regular
construction phasing and scheduling

Contractor Submittals - Before Performing Work


o Copy of NYSDOL Asbestos Contractor Handling License(s)
o Copy of NYSDOL Asbestos Project Supervisor Certification
o Copy of NYSDOL Asbestos Certifications for each worker
o Proof that asbestos workers have current physical exams & respirator fit tests
o Copy of Insurance Coverage consistent with 107-06
o Copies of notifications sent to NYSDOL and USEPA (if required)
o Copies of NYSDOL regulatory variances being used on the project (if required)
o Copy of any bridge demolition plans that incorporate proposed procedures for asbestos
abatement

Project Monitor Submittals Before Performing Work


o One copy of NYSDOL Asbestos Project Monitor Certification
o One copy of NYSDOL Asbestos Contractor Handling License

Compliance Air Monitor Submittals Before Performing Work


o One copy of NYSDOL Asbestos Project Air Sampling Technician Certification
o One copy of NYSDOL Asbestos Contractor Handling License
o One copy of NYSDOH Environmental Laboratory Approval Program (ELAP)
Certification

Page 1 of 21

ASBESTOS - continued

Project Supervisor Submittals Submitted Daily When Work Is In Progress


o One copy of Project Supervisor Daily Log
o One copy of worker entry/exit log for each work area

Project Monitor Submittals Submitted Daily When Work Is In Progress


o One copy of Project Monitor Daily Log
o One copy of Project Monitor visual inspection reports

Compliance Air Monitoring Submittals Submitted Daily When Work Is In Progress


o One copy of Compliance Air Sampling Technician Daily Log
o One copy of compliance air sample results

Contractor Submittals After Work Is Complete (One Electronic Copy to Project Monitor)
o Supervisor Daily Logs
o Worker entry/exit log for each work area
o Final visual inspection reports
o OSHA personnel air monitoring records
o Waste shipment record for disposal of friable asbestos
o Disposal certification for non-friable asbestos

Project Monitor Submittals After Work is Complete (One Electronic Copy to EIC/OE)
o One Compiled Electronic Document including all pre-abatement, during-abatement and
post-abatement project record documentation

Page 2 of 21
CONTAMINATED SOIL

Applicable Specifications, EIs and EBs


o Standard Specification 205 Contaminated Soil

Contractor Submittals At Least 30 Calendar Days Before Working in Contaminated Areas


o Two copies of a Contaminated Material Handling Plan required if the segregation and
storage item is in contract
o Two copies of a Field Organic Vapor Monitoring Plan required if the field organic
vapor monitoring item is in contract
o Two copies of a Sampling Plan required if any sampling and analysis items are in
contract
o Two copies of a Disposal Plan required if the disposal item is in contract
o One copy of Advance Notification Letters Contractor must send letters to NYSDEC
and local fire department at least 10 calendar days prior to work

Contractor Submittals When Work Is In Progress


o One copy of Field Notes recorded by Field Monitor submit within 5 work days of
recording
o One copy of Laboratory Reports submit within 2 work days of their receipt from lab
o One copy of Shipping Paperwork submit receipts from transporter
o One copy of Disposal Paperwork submit receipts from disposal/treatment facility
within 2 work days of their receipt from facility.
o Time Extension for Soil Storage required if Contractor wants to store contaminated
soil for more than 40 calendar days (time limit begins on the first day soil is placed in a
stockpile, truckbed or rolloff container).

NOTE: If contractor wants to store non-hazardous contaminated soil for more than 60 calendar
days, contractor must also request approval from NYSDEC in accordance with 6 NYCRR
Part 360.1.7(b)(4).

If the contractor wants to store hazardous soil for more than 90 calendar days, the
contractor must request approval from NYSDEC in accordance with 6 NYCRR Part 373-
1.1(d).

The segregation threshold for soil contaminated with gasoline is 25 parts per million or
greater.

Page 3 of 21
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Page 4 of 21
(POST IN FIELD OFFICE)

NYSDEC 24 Hour
Spill Hotline

1-800-457-7362

Spills must be reported to NYSDEC


within 2 hours of discovery
Page 5 of 21
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Page 6 of 21
HAZARDOUS WASTE MANIFEST

Applicable Regulations and EIs


o 6 NYCRR Part 372 and 373
o EI 12-013 Revised Standard Specification 571 Disposal of Paint Removal Waste

EPA ID Number is assigned to every site that generates hazardous waste


o Site can be a bridge or a specific location (like a street address)
o ID Number will have 3 letters and 9 digits Example: NYR 987 654 321
o Obtain ID Number from the Regional Hazardous Waste Contact or CEC

The Department is the Waste Generator

Most common hazardous waste generated by DOT is lead-based paint waste

Hazardous Waste Manifest is required to transport hazardous waste


o Form is used to track shipments and disposal
o Every state must use the same form
o Form is only one page long, but there are 5 carbonless copies

Transporter or Contractor usually supplies the Manifest and types the information
o CHECK INFORMATION MAKE SURE ITS CORRECT AND LEGIBLE!

The Department (Generator) is responsible for Boxes 1-15. SEE FACT SHEETS
U

BOX 3 EVERY REGION MUST USE THIS NUMBER 1-800-255-3924

BOXES 11 and 12 Show quantity in POUNDS, TONS or METRIC TONS dont use Cubic
Yards or Cubic Meters

The Transporter is responsible for Boxes 16-17

The Designated Facility (disposal facility) is responsible for Boxes 18-20

Make two photocopies of manifest (before Transporter leaves site if possible)


o Make photocopies of the first page if possible since it will be the most legible
o Otherwise, make photocopies of Copy 6 (the copy Transporter leaves with the Dept)

Transporter leaves Copy 6 with the Generator (Department) and takes Copies 1-5

Page 7 of 21
HAZARDOUS WASTE MANIFEST - continued

Distribution of Copies
o Copy 1 Disposal Facility mails copy to Environmental Agency in Destination State
o Copy 2 Disposal Facility mails copy to Environmental Agency in Generator State
(NYSDEC)
o Copy 3 Disposal Facility mails copy back to the Generator (NYSDOT)
o Copy 4 Retained by Disposal Facility
o Copy 5 Retained by Transporter
o Copy 6 Retained by Generator (NYSDOT)
o Photocopy 1 Department mails copy to Environmental Agency in Destination State
o Photocopy 2 Department mails copy to Environmental Agency in Generator State
(NYSDEC)

Mail Photocopy 1 & 2 within 10 calendar days of date of shipment


o Obtain mailing addresses from the Regional Hazardous Waste Contact or CEC

DEPARTMENT WILL ULTIMATELY END UP WITH COPY 3 and COPY 6

Make sure to give your Regional Hazardous Waste Contact and/or CEC a photocopy of COPY 3
so appropriate fees and taxes can be paid.

Page 8 of 21
Regional Hazardous Waste Contacts
and Regional Construction Environmental Coordinators
(as of February, 2017)

Region Hazardous Waste Construction Environmental


Contact Coordinator (CEC)

Steven Radzyminski Steven Radzyminski


Region 1
(518) 485-0969 (518) 485-0969

Heather Pritchard Heather Pritchard


Region 2
(315) 793-5449 (315) 793-5449

Rich Steele Rich Steele


Region 3
(315) 448-7363 (315) 448-7363

Tom Martin Tom Martin


Region 4
(585) 272-3366 (585) 272-3366

Janine Shepherd Janine Shepherd


Region 5
(716) 847-5080 (716) 847-5080

Ruth Hart Tom Markel


Region 6
(607) 324-8532 (607) 324-8370

John Falge John Falge


Region 7
(315) 785-2343 (315) 785-2343

Gretchen Fitzgerald Gretchen Fitzgerald


Region 8
(845) 431-5826 (845) 431-5826

Larry Cutting Larry Cutting


Region 9
(607) 721-8215 (607) 721-8215

Raji Mathew Raji Mathew


Region 10
(631) 952-3357 (631) 952-3357

Majid Bukhari Majid Bukhari


Region 11
(718) 482-4792 (718) 482-4792

Page 9 of 21
Mailing Addresses for Hazardous Waste Manifests
(as of February, 2017)

NYSDOT must send a photocopy of the manifest to the state environmental agency where the disposal
facility is located. Make sure you cross out GENERATORS INITIAL COPY at the bottom of the
photocopy and write COPY FOR DISPOSER STATE MAILED BY GENERATOR at the bottom of the
photocopy before mailing.

NEW YORK - If waste was taken to a disposal facility in New York, mail photocopy to:

New York State Department of Environmental Conservation


DER Hazardous Waste Manifest Section
625 Broadway
Albany, NY 12233-7252

NEW JERSEY - If waste was taken to a disposal facility in New Jersey, mail photocopy to:

New Jersey Department of Environmental Protection


Compliance & Enforcement
Bureau of Hazardous Waste & UST Compliance and Enforcement
Mail Code 09-03, PO Box 420
Trenton, NJ 08625-0420

MICHIGAN - If waste was taken to a disposal facility in Michigan, mail photocopy to:

Michigan DEQ
Waste & Hazardous Materials Division
P.O. Box 30038
Lansing, MI 48909-7538

OHIO - If waste was taken to a disposal facility in Ohio, mail photocopy to:

Ohio EPA DHWM


ATTN: Out of State Manifest
P.O. Box 1049
Columbus, OH 43216-1049

PENNSYLVANIA - If waste was taken to a disposal facility in Pennsylvania, mail photocopy to:

Pennsylvania DEP
Manifest Section
P.O. Box 8550
Harrisburg, PA 17105-8550

MASSACHUSETTS - If waste was taken to a disposal facility in Massachusetts, mail photocopy to:

Mass DEP
Bureau of Waste Prevention
ATTN: Manifest
One Winter Street, 7th Floor
Boston, MA 02108
Page 10 of 21
FACT SHEET
STORING & SHIPPING LEAD-BASED PAINT WASTE
(as of February, 2017)

NOTE: The following information applies to lead-based paint removed by abrasive blasting or non-
abrasive methods (manual, shrouded mechanical or high pressure water methods). It does not apply to
lead-based paint that was removed using chemical strippers. If chemical strippers were used, it may
alter the information that needs to be listed on labels and manifests. Obtain appropriate labeling and
manifest information from contractor.

Containers Used For On-Site Storage Must Be Labeled As Follows:


U

HAZARDOUS WASTE
Contents: RQ, NA3077, Hazardous Waste, Solid, N.O.S. (D008), Class 9, PG III
Accumulation Start Date: Insert date when waste was first placed in container

Containers Used For Shipping Must Be Labeled As Follows:


U

HAZARDOUS WASTE Federal Law Prohibits Improper Disposal. If found, contact the nearest police or
public safety authority or the U.S. Environmental Protection Agency
Contents: RQ, NA3077, Hazardous Waste, Solid, N.O.S. (D008), Class 9, PG III
Generators Name: NYSDOT Region ___ Construction
EPA ID Number: Insert number provided by your Regional Hazardous Waste Contact
Manifest Document Number: Insert manifest tracking number that corresponds to the shipment
Accumulation Start Date: Insert date when waste was first placed in container this information is
required for on-site storage, it is technically not required for shipment

Information To Be Included On Hazardous Waste Manifests


U

NOTE: The Transporter will usually have the manifest filled out before they arrive on-site. The NYSDOT
Inspector or EIC must verify the information is correct.

Box 1 Generator EPA ID Number: Insert number provided by your Regional Hazardous Waste Contact
Box 2 Page Number: Insert 1 unless a manifest continuation sheet is used - then number consecutively
Box 3 Emergency Response Phone: Insert 1-800-255-3924 (This is the number for Chem-Tel, Inc.)
Box 4 Manifest Tracking Number: This number is pre-printed on the manifest
Box 5 Generators Address: Insert address of your regional construction office
Generator Phone: Insert phone number of your Regional Hazardous Waste Contact
Generators Site Address: Insert project name, contract number, BIN or other site identifier
Box 6 Transporter 1: Insert name of transporter and their unique EPA ID Number
Box 7 Transporter 2: Leave blank unless a second transporter will carry the waste. If so, insert name of
second transporter and their unique EPA ID Number
Box 8 Disposal Facility: Insert name, address and phone number of disposal facility and their unique EPA
ID Number

Page 11 of 21
STORING & SHIPPING LEAD-BASED PAINT WASTE - continued

Box 9a Leave box blank unless you are shipping both hazardous waste and non-hazardous waste. Insert an
X next to each hazardous waste
Box 9b USDOT Description: Insert RQ, NA3077, Hazardous Waste, Solid, N.O.S. (D008), Class 9, PG
III
Box 10 Containers: Insert total number and appropriate abbreviation for type of containers being shipped
Box 11 Total Quantity: Insert weight of waste only do not include weight of container
(If quantity shown includes weight of container, insert a comment in Box 14 such as 100 lbs
waste weight + 40 lbs container weight = 140 lbs shipped)
Box 12 Unit of Weight: Insert appropriate weight abbreviation, such as P for pounds or T for tons
Box 13 Waste Code: Insert D008 in first box
Box 14 Special Instructions: Insert Refer to ERG #171, Reportable Quantity for Lead = 10 lbs and
Send disposal certificate and copy of weight ticket to Generator and any other appropriate
information
Box 15 Generators Name: NYSDOT Inspector or EIC must sign and date manifest

After Boxes 1-15 are complete and the Transporter signs Box 17, the Transporter will leave one of
the carbon copies of the manifest with you (GENERATORS INITIAL COPY). MAKE TWO
LEGIBLE PHOTOCOPIES of the carbon copy (GENERATORS INITIAL COPY).
U U

On the first photocopy, cross out GENERATORS INITIAL COPY at the bottom of the page and
write COPY FOR GENERATOR STATE MAILED BY GENERATOR.

On the second photocopy, cross out GENERATORS INITIAL COPY at the bottom of the page
and write COPY FOR DISPOSER STATE MAILED BY GENERATOR.

Mail the first photocopy to the NYSDEC at this address:

NYSDEC
DER Hazardous Waste Manifest Section
625 Broadway
Albany, NY 12233-7252

Mail the second photocopy to the state environmental agency where the disposal facility is located.
U U

If the waste is taken to a disposal facility in New York, send both photocopies to NYSDEC in
Albany. If the waste is taken out of New York, call your Regional Hazardous Waste Contact to get
the proper mailing address for the second photocopy.

The two photocopies must be mailed within 10 calendar days of shipment.

Place the carbon copy (GENERATORS INITIAL COPY) in the project file.

Transport Vehicle Placards


U

For shipments exceeding 1001 pounds or bulk shipments, truck placards should read Class 9
Page 12 of 21
Page 13 of 21
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Page 14 of 21
FACT SHEET
STORING & SHIPPING DUM-DUM PAINT WASTE
(as of January 12, 2015)

DUM-DUM IS LEAD-BASED PAINT WASTE THAT ALSO CONTAINS ASBESTOS

NOTE: The following information applies to lead-based paint removed by abrasive blasting or non-abrasive
methods (manual, shrouded mechanical or high pressure water methods). It does not apply to lead-based
paint that was removed using chemical strippers. If chemical strippers were used, it may alter the information
that needs to be listed on labels & manifests. Obtain labeling and manifest information from contractor.

Containers Used For On-Site Storage Must Be Labeled As Follows:


U

HAZARDOUS WASTE
Contents: RQ, NA3077, Hazardous Waste, Solid, N.O.S. (D008, Asbestos), 9, PG III
Accumulation Start Date: Insert date when waste was first placed in container

Containers Used For Shipping Must Be Labeled As Follows:


U

HAZARDOUS WASTE Federal Law Prohibits Improper Disposal. If found, contact the nearest police or
public safety authority or the U.S. Environmental Protection Agency
Contents: RQ, NA3077, Hazardous Waste, Solid, N.O.S. (D008, Asbestos), Class 9,
PG III
Generators Name: NYSDOT Region ___ Construction
EPA ID Number: Insert number provided by your Regional Hazardous Waste Contact
Manifest Document Number: Insert manifest tracking number that corresponds to the shipment
Accumulation Start Date: Insert date when waste was first placed in container this information is
required for on-site storage, it is technically not required for shipment

Shipping Containers must have a second label containing the words ASBESTOS WASTE

Information To Be Included On Hazardous Waste Manifests


U

NOTE: The Transporter will usually have the manifest filled out before they arrive on-site. The NYSDOT
Inspector or EIC must verify the information is correct.
Box 1 Generator EPA ID Number: Insert number provided by your Regional Hazardous Waste Contact
Box 2 Page Number: Insert 1 unless a manifest continuation sheet is used - then number consecutively
Box 3 Emergency Response Phone: Insert 1-800-255-3924 (This is the number for Chem-Tel, Inc.)
Box 4 Manifest Tracking Number: This number is pre-printed on the manifest
Box 5 Generators Address: Insert address of your regional construction office
Generator Phone: Insert phone number of your Regional Hazardous Waste Contact
Generators Site Address: Insert project name, contract number, BIN or other site identifier
Box 6 Transporter 1: Insert name of transporter and their unique EPA ID Number
Box 7 Transporter 2: Leave blank unless a second transporter will carry the waste. If so, insert name of
second transporter and their unique EPA ID Number

Page 15 of 21
STORING & SHIPPING DUM-DUM PAINT WASTE - continued
Box 8 Disposal Facility: Insert name, address and phone number of disposal facility and their unique
EPA ID Number
Box 9a Leave box blank unless you are shipping both hazardous waste and non-hazardous waste. Insert
an X next to each hazardous waste
Box 9b USDOT Description: Insert RQ, NA3077, Hazardous Waste, Solid, N.O.S. (D008, Asbestos),
Class 9, PG III
Box 10 Containers: Insert total number and appropriate abbreviation for type of containers being shipped
Box 11 Total Quantity: Insert weight of waste only do not include weight of container
(If quantity shown includes weight of container, insert a comment in Box 14 such as 100 lbs
waste weight + 40 lbs container weight = 140 lbs shipped)
Box 12 Unit of Weight: Insert appropriate weight abbreviation, such as P for pounds or T for tons
Box 13 Waste Code: Insert D008 in first box
Box 14 Special Instructions: Insert Refer to ERG #171, Reportable Quantity for Lead = 10 lbs and
Send disposal certificate and copy of weight ticket to Generator and any other appropriate
information
Box 15 Generators Name: NYSDOT Inspector or EIC must sign and date manifest

After Boxes 1-15 are complete and the Transporter signs Box 17, the Transporter will leave one of
the carbon copies of the manifest with you (GENERATORS INITIAL COPY). MAKE TWO
LEGIBLE PHOTOCOPIES of the carbon copy (GENERATORS INITIAL COPY).
U U

On the first photocopy, cross out GENERATORS INITIAL COPY at the bottom of the page and
write COPY FOR GENERATOR STATE MAILED BY GENERATOR.

On the second photocopy, cross out GENERATORS INITIAL COPY at the bottom of the page
and write COPY FOR DISPOSER STATE MAILED BY GENERATOR.

Mail the first photocopy to the NYSDEC at this address:


NYSDEC
DER Hazardous Waste Manifest Section
625 Broadway
Albany, NY 12233-7252

Mail the second photocopy to the state environmental agency where the disposal facility is located.
U U

If the waste is taken to a disposal facility in New York, send both photocopies to NYSDEC in
Albany. If the waste is taken out of New York, call your Regional Hazardous Waste Contact to get
the proper mailing address for the second photocopy.

The two photocopies must be mailed within 10 calendar days of shipment.

Place the carbon copy (GENERATORS INITIAL COPY) in the project file.

Paperwork Required For Shipping


U

Each shipment of lead/asbestos paint waste containers must be accompanied by a completed Hazardous
Waste Manifest AND a completed Asbestos Waste Shipping Record.
U U

Page 16 of 21
Page 17 of 21
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Page 18 of 21
SPDES Permit

This summary is based on the current General Permit: The SPDES General Permit for
Stormwater Discharges from Construction Activity (GP-0-15-002.

SPDES = State Pollutant Discharge Elimination System


U U U U U U U U U U

Applicable Permits, Specifications, EIs and EBs


o SPDES General Permit (currently GP-0-15-002)
o 107-12 Water Quality Protection
o EI 08-007 Special Specifications Involving Geosynthetics
o EB 17-002 Construction Inspection Manual for 209
o EI 17-001 Standard Specification 209 Soil Erosion and Sediment Control
o EB 17-001 Standard Sheets for Soil Erosion & Sediment Control
o EI 09-036 Revised 713-07 Rolled Erosion Control Product and Soil Stabilizer
o EI 13-014 Standard Specification 207 Geosynthetics
o EI 14-003 Standard Specification 737 - Geosynthetics

SPDES Permit required for any construction project disturbing 1 acre or more (5,000 square feet
or more in NYC East of Hudson Watershed)

NYSDEC developed a SPDES General Permit (currently GP-0-15-002) for statewide use. Any
public or private construction project that is in compliance with the permit conditions can use
the general permit (non-compliant projects must have individual permit coverage)

Authorization for coverage under the SPDES General Permit is obtained by Designer by
sending a Notice of Intent (NOI) form to NYSDEC

Site Log Book (3 ring binder) should be in field office at start of project Obtain from CEC
o Notice of Intent (NOI)
o NOI Acknowledgement Letter from NYSDEC
o SPDES General Permit (currently GP-0-15-002)
o Stormwater Pollution Prevention Plan (SWPPP)
o Contractor/Subcontractor SPDES Permit Certification (CONR 5)
o SPDES Stormwater Pollution Prevention Plan (SWPPP) Revision (CONR 8)
o SPDES Stormwater Inspection Report (MURK 6)
o SPDES Stormwater Inspection Report - Continuation (MURK 6-1)
o SPDES Stormwater Outlets to Waters of the U.S. - Continuation (MURK 6-2)
o Notice to Disturb Greater Than 5 Acres of Soil (HC 209)
o Notice to Reduce Frequency of SPDES Site Inspections (HC 210)
o Copies of Trained Contractor and Qualified Inspector certificates or wallet cards
o Construction Schedule which addresses erosion and sediment control

Page 19 of 21
SPDES Permit - continued

If a Site Log Book was not prepared, make a separate file/folder and ask Designer or CEC for
appropriate information

Contractor and ALL Subcontractors must sign and submit CONR 5 forms

Contractor must submit a construction schedule that addresses Erosion & Sediment Control

Contractor and ALL Subcontractors involved in earth-disturbing activity must have at least one
trained individual on-site whenever soil disturbing activities are performed (SPDES permit
refers to this individual as the Trained Contractor), and the Trained Contractor must be
identified in the CONR 5

Department must have at least one trained individual on-site to perform Site Inspections
(SPDES permit refers to this individual as the Qualified Inspector)

During inspections, Qualified Inspector must take date-stamped digital color photos of all
erosion and sediment control measures requiring corrective action and attach paper color copies
to the SPDES Stormwater Inspection Report (MURK 6)

Department must provide the Trained Contractor with a copy of each SPDES Stormwater
Inspection Report (MURK 6) (including photos) within one business day of the inspection

Trained Contractor must begin corrective actions within one business day of receiving the
SPDES Stormwater Inspection Report (MURK 6)

Qualified Inspector must take date-stamped digital photos of erosion and sediment control
measures after repairs have been completed, and attach paper color copies to subsequent SPDES
Stormwater Inspection Reports (MURK 6) to document completion of the corrective actions

Department must send HC 209 Form to NYSDEC if more than 5 acres of soil will be disturbed
at any given time (send before soil disturbance occurs)

Department must send HC 210 Form to NYSDEC before reducing the frequency of site
inspections during temporary work shutdowns (e.g. - winter shutdown)

Notice of Termination form must be sent to NYSDEC when site undergoes final stabilization.
Call CEC for assistance (CEC helps prepare the form in many regions)

Retain Site Log Book in project file at completion of project

CAUTION: If the project doesnt initially have coverage under the SPDES General Permit but
ends up disturbing more than 1 acre of soil during construction contact your CEC

Page 20 of 21
ENVIRONMENTAL FORMS

The following forms apply to the environmental topics discussed in this manual. Fillable and
savable copies of these forms can be downloaded from the Office of Construction external internet
website:

https://www.dot.ny.gov/main/business-center/contractors/construction-division/forms
HU U

Forms related to Contaminated Soil


U

HC 629 Tank Closure Form

Forms related to SPDES and Erosion & Sediment Control


U

MURK 6 SPDES Stormwater Inspection Report


MURK 6-1 SPDES Stormwater Inspection Report - Continuation
MURK 6-2 SPDES Stormwater Outlets to Waters of the U.S. - Continuation
HC 209 Notice to Disturb Greater Than 5 Acres of Soil
HC 210 Notice to Reduce Frequency of SPDES Site Inspections
CONR 5 Contractor/Subcontractor SPDES Permit Certification
CONR 8 SPDES Stormwater Pollution Prevention Plan (SWPPP) Revision

Page 21 of 21
CHAPTER 9
CHANGE ORDERS 101
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Page2of28

INDEX

1. AEW (Authorization of Extra Work) Page 9 6

2. FCP (Field Change Payment) ...Page 9 8

3. CO (Change Order) .Page 9 11

4. FAW (Force Account Work) ..Page 9 16

5. FAW Forms (2016) ...Page 9 19

Page3of28

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Page4of28

CHANGE ORDER

A Change Order is a legal change in Contract from the original bid and awarded documents.

Change Orders are created for:


Overruns
Underruns
Introduction of New Work (Extra Work)
Payment of existing Items overruns/new Items via Field Change Item (697.03) funds.
Introduction of Field Change Sheets
Extension of Time for Contractor
Extension of Time Administrative (after Contracts Completion Date)

An Administrative TE should be processed for typically no more than fifteen (15) days.

For ANY new or added work that does NOT have a prior approved CO or FCP (such as future
known new work) approval must be obtained before work is begun via the:

Authorization of Extra Work.

The Authorization of Extra Work (AEW) can be completed from the copy that is on the
IntraDOT.

The copy can be saved, modified and electronically sent, but needs to be filled in completely
by the field office.

Include the approved AEW with CO or FCP

To get to the fillable form located on the Internet:


Go to dot.ny.gov - https://www.dot.ny.gov/index
Select A-Z Index
Select C for Construction (forms, manuals and other resources)
Select Forms
Select Order on Contract (OOC) - Field Change Payment (FCP) - Force Account
Choose CONR 104 Fillable
https://www.dot.ny.gov/main/business-center/contractors/construction-division/construction-
repository/CONR_104.pdf

This form will have to be completely filled out by you using the instructions below.

When completed and after review by the Regional Change Order Person (RCO), save as pdf
and send electronically to Supervisor. The Supervisor will electronically sign and forward AEW
to RCE, who will then sign it electronically. You should receive the signed form back to you as a
pdf to attach to the appropriate Change Order(s) header in SiteManager.

Page5of28

Authorization of Extra Work (AEW) Form


1. Region: Select your Region from drop down

2. D: Type in your Contracts D number

3. County/Counties: County of work for AEW submitted

4. Date: Date of AEW

5. Contract Description: From SM Contract Info tab (and/or your job stamp)

6. Engineer-In-Charge: Name

7. Field Office Fax: Fax number (with area code)

8. Contractor: Name on job stamp and SM Contract Info.

9. Is Contract FHWA RFA or NCA?


a) Federal Oversight (RFA) or just Federal Funds (NCA) can be found on SM
Contract Info tab right side of pane.
b) A project with Federal Oversight will have a Federal Liaison assigned to the
Contract to conduct a Federal Audit throughout the project as well as be an
approver on all Change Orders (Your Area Supervisor and Regional Change
Order (RCO) person will know the name of the liaison or obtain the name for
you).
c) A Federally funded project, but not oversight still follows all Federal
requirements, but does not have the audit conducted or require the Federal
Liaison to be part of the approval process. (NCA)
d) If no Federal funding, check NO.

10. FHWA Concurrence Obtained?


a) Check with your Supervisor to assure that Federal concurrence has been
obtained.
b) This is mandatory for all Additional/Extra work on Federal Aid Projects.

11. Municipal/Local Share Involvement?


a) Check YES if added work is for a Municipal or Local Category, in addition to
checking YES in this box, you will need to contact your Area Supervisor to verify
with your Planning Group to determine if the Local Funds are available, or need
to be obtained.

12 Sufficient Funding in Place?


a. Verify through your Area Supervisor or RCO with Planning the status of funding
for the work and check appropriate box.

13 Proposed Work within the Contract Limits?: Check appropriate box


a. If NO then check with Supervisor before proceeding with AEW.

14 Proposed work within the Contract Scope?: Check appropriate box


c. If NO then check with Area Supervisor before proceeding with AEW

Page6of28

Authorization of Extra Work (AEW) Form


15 Significant Change?
a. Refer to 104-04 of the Specifications to determine if its a significant change.
b) Check the appropriate box if YES, does Item need to be renegotiated?

16 Has Project Manager been Notified?


c) Check with your Area Supervisor to assure the PM (if not them) has been
notified.
d) Check appropriate box.

17 Contract Bid Amount: The original bid dollar value of the contract awarded.

18 Contract Current Amount: The current approved dollar amount for the contract.

19 Estimated Increase Due to this Change: The dollar value of increases.

20 Description of Proposed Extra Work: A short summary of the description and reason for
the extra work sufficient description to satisfy any questions your RCE may have.

21 Item No.: The Item code(s) for the increased work (is either existing or new).

22 Description: The official Specification description of the Item.

23 Pay Unit: As stipulated as per Specification Basis of Payment.

24 Authorized Quantity: Latest approved quantity (Current Contract Quantity in SM and


previously approved AEWs not included in an approved CO).

25 Added Quantity: The quantity increased per this AEW.

26 Price Type: Select the appropriate drop down (determined by Specification and Item
Extension Flow Chart.
a Bid Price overrun meeting spec for within 125% or 200% of Item quantity.
b Agreed Price Requires a letter from Contractor and simplified work-up.
c Agreed to Bid Price requires Agreed Price letter from Contractor.
d Force Account Requires MURK forms as per Force Account.

27. Unit Price: Price determined for number 26 above.

Page7of28

Field Change Payment (FCP)


FIELD CHANGE ORDER USING FCP ITEM 697.03 FOR FUNDING

A Field Change Payment is one that utilizes Item 697.03 to fund the overruns and or new Items
eligible as per the 697.03 Specification. The pluses of the Items must be equal to the total dollar
value of funds being removed from Item 697.03 summing to $0.00 and thus being approved up
to the Regional Construction Engineers (RCE) level.

Note:
1. If your contract is Federal Oversight (RFA), the FHWA person, after the MO
Construction Director is by default included in the Change Order level of approval.
2. You cannot add quantity in one category and deduct from the FCP Item in another
category. All Items must be within the same category.
3. You cannot increase the FCP Item or introduce it into a contract or category where it
does not exist from award.

What is eligible for FCP Change Order?

o Work within the scope of the project.


o Quantity increases of existing contract pay Items.
o New Items as a result of omissions from contract.
o New Items as a result of minor field adjustments.
o Price Adjustments (Fuel, Asphalt and Steel)

What is NOT eligible for FCO payment?

o Disputed Work
o Force Account Work (FAW)
o Item Substitutions
o Value Engineering
o Time Related Provisions Work

FCP:
This is a direct payment and can only include work that has been completed.

It is a fixed bid Item, and can not be replenished or increased.

New work which can be anticipated in advance should be added via normal CO

This Item should be used to expedite payments. It is:


o For quantity overruns of routine added work
o For work that must be done quickly
o Not intended for adding major Items of work
o Keep payments for this Item SIMPLE. (i.e.: overruns, within 125% (Major), 200%
(Minor) thresholds).

Page8of28

Field Change Payment (FCP)

All unit prices MUST be agreed to in writing PRIOR to submitting FCP.

NOTE: Rules for significant increases STILL APPLY and a renegotiated price could be
warranted for:
A. Increases to non-Major Items:
o +200% and results in an increase of more than +$5000.00 from the
original contract amount:
o or if the Cost Factor (CF) is +1.25%
B. Increase/Decrease to Major Items:
o +/- 25% of original contract amount.

All new Items MUST have a known unit price that is favorable with the Weighted Average
Awarded Prices (PIC), or Three Lowest Bidders, if it qualifies as a unique situation.

Starting the FCP process:


An Authorization of Extra Work (AEW) form is always needed. This should be sent to
your RCO/Area Supervisor via E-mail, and should account for the total additional
quantity needed.
Note: One AEW may support several FCPs). An explanation for the extra work is
required, and work should NOT progress until the AEW is approved.
Once the authorized work is started, FCPs may be processed for work completed to
date. This is a direct payment and can only include work that has been performed, and
may not represent all quantity in the AEW.

A Field Change Payment reconciles as it is approved. The funds are redistributed automatically
to the increased Item(s) and any new Item(s) in the FCP.

Current Contract Quantity is increased as per the FCP automatically once approved.

FUEL, ASPHALT and STEEL Adjustments:

Payments for Fuel, Asphalt, and Steel Price Adjustments are recommended to be
made using the FCP Item.

To determine adjustments due for Fuel, Asphalt & Steel, refer to Chapter 7A.

Page9of28

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Page10of28

Change Order (CO)


There are several Items addressed by a CO. All added quantities will need an approved
Authorization of Extra Work (AEW) for the work prior to actual start of work, unless the
Item(s) are included in a Change Order which is submitted for future work. NOT to be
performed until the CO is approved.

Items that can be addressed by CHANGE ORDER:

o Standard Quantity Increases & Decreases


Existing Item(s) beyond threshold quantities.
Existing Item(s) where you need future quantity.
New Item(s) of work (Extra Work), based on Agreed Price Analysis.

o Adding Approved Field Change Sheets to Contract.


Try to make the field change sheet CO standalone with quantity increase
pertinent to the field change sheet.
OSC does not want a CO with zero dollars. You may need to include the
field change sheets to another dollar value CO if no monetary value is
associated with the field change sheets.

o FCP (FCO)
Resolved as approved automatically by the system moves all Items
paid by FCP (FCO) to appropriate pay Items.

o Warranty Specification
No Item is involved.

o FAW
New Item(s) of work (Extra Work), based on Force Account Work
(estimate FE)

New Item(s) of work (Extra Work), based on Force Account Work (actual
FAW)).

o Dispute Work Resolution


Existing Items beyond threshold quantities.
New Items of work, based on Agreed Price Analysis.
New Items of work, based on Force Account Work (actual).

o Time Related or Acceleration Dispute


New Item(s) of work, based on Agreed Price Analysis.
New Item(s) of work, based on Force Account Work (actual).
No Item is involved.

Page11of28

CHANGE ORDER

o Adjustments to B Clock
No Item is involved.

o Job Order Contract (JOC) Adjustments


Time Adjustment needs to be submitted separately see Chapter 10.
Money Adjustments
Shifting Funding.

o Extension of Time (Time Adjustment) - see Chapter 10.

BEFORE YOU BEGIN YOUR CHANGE ORDER, ALL OVERRUNS QUANTITIES NEED TO BE
INVESTIGATED & VERIFIED TO ASSURE THAT THEY ARE CORRECT.
(ASSURE THAT NO DOUBLE PAYMENTS EXIST OR PAYMENTS MISSED)

For Standard Orders, (Quantity Increases and Decreases):


An approved AEW is needed
Run the CONR 22 Report to identify Items that have overruns, or completed Items
with quantity in agreement with Contractor are under run.
Consult the Item Extension Flow Chart to determine if a new price is needed. See
Item Extension Flow Chart t section on page XX of this chapter, for instructions
on when this chart is needed and how to determine the next step for the quantity
over the thresholds.
Notify the Contractor if a non-Major Item has an increase greater than 200% of
the original Contract bid quantity.
Notify the Contractor if a Major Item has an increase of greater than 125% or if the
total final quantity is less than 75% of the original Contract bid quantity
Notification letters available on DOT website; for samples see Chapter 9R

If you have an Item that has exceeded its threshold, the first 200% (non-Major Item), or 125%
(Major Item), will be paid for under the original contract Item. This portion of the overrun is NOT
eligible to be renegotiated.

NOTE: Once the thresholds have been exceeded, it is recommended to begin tracking
the additional work on Force Account sheets until a determination of how the payment
will be made. The tracking should be specific to the Item. (Example: if in a drainage run, the
pipe Item has exceeded the threshold, the tracking of the work should be specific to the laying
of the pipe and not include the time or equipment used for the excavation or backfill.)

Page12of28

CHANGE ORDER
When Adding a NEW ITEM to the Contract the following is (could be) needed:
An approved AEW is needed.
A review of the Item Extension Flow Chart is recommended to determine the
pricing method. Do NOT attach this Flow Chart to the header of the CO. Submit
the flow chart separately to the RCO in advance for review as per your Region.
An Agreed Price letter from Contractor agreeing to price. (See Chapter 9R)
Could need a Special Specification, if non-standard Item. (example: 950 Item)
Could need a Price Analysis from Contractor, with all required support documentation.
Could need FAW records if no agreement is met for price.

Explanations:

The following information should be included for ALL explanations:

o Where - Provide basic location and or station.


o Why Is this change required?
o Who Requested the change?
o When If there is a time frame required.
o Note any reference documents such as:
Field Change Sheets
Plan Sheets
Emails
Letters
Authorization of Extra Work
o any previous increases/decreases by CO #

o If this is an explanation for a re-negotiated Item, to avoid writing a Special


Specification for the new Item, include this statement at the end of the
explanations:

For Major Item:


All provisions of Item XXX.XX shall apply to this Item of work except
payment shall be for the quantity beyond 125% of the original
contract Item (XXX.XX) allowed for a major Item in the contract and
shall be based on an agreed price.

For Non-Major Item:


All provisions of Item XXX.XX shall apply to this Item of work except
payment shall be for the quantity beyond 200% of the original
contract Item (XXX.XX) allowed for a non-major Item in the contract
and shall be based on an agreed price.

SPECIAL SPECIFICATIONS:
All non-standard Items, including 950s will need a Special Specification written, or if one already
exists, it will need to be included as attachment with the order.

Page13of28

CHANGE ORDER
SUGGESTED PROCEDURE:

Make a copy of the complete CO package for your field office by pdfing the CONR7 &
explanations from Business Objects & all attachments.

Save in a file may need to send to Contractor upon their request.

Once a CO is approved you need to pdf the approved change order from Business Object
reports and send a copy of the CONR 7 to the Contractor so they have an official record of the
CO (including Field Change Orders). Also, make sure your EEO/Regional Subcontractor person
has a copy for EBO so they may determine if a revised SubContractor approval form (CONR89)
is warranted.

Upon approval of the CO at the RCE level in SiteManager, notify the Contractor to review EBO
and to appropriately assign and/or re-assign any increases/decreases/new Items, as per CO, to
the respective SubContractor(s). If the Prime Contractor does not complete this in a timely
manner, inspectors may have problems selecting Subcontractors on the DWRs from the
Contractors/Work Items drop down menu.

Assembling the CO in SiteManager (To submit to Regional Office):

o Header in SM with Items & explanations


o On header, attach the following (in no particular order) or as required by Region:
1. Approved Attachment A or B (if applicable)
2. Approved AEW
3. Agreed Price Letter from Contractor agreeing to new prices (if applicable)
4. Support Documentation (all labeled with D#, CO#, Item#)
5. Special Specifications (if applicable)

IF FAW/CO: (In addition to above)


o Original, completely filled in, Signed MURK FAW sheets
o Blue Book Sheets (with equipment identified)
o Invoices (with FAW materials identified)
o Appropriate Insurance documentation
o Pages should be grouped to no more than 10 pages packages for each attachment for
ease of system.

Page14of28

CHANGE ORDER

HINTS / COMMON MISTAKES:

It is better to do smaller COs as needed, rather than large ones when time
allows.

When possible, balance a Change Order by making deductions for Item(s)


that have been finalized with the Contractor.

If the quantity for a Major Item falls below the 75% threshold, and the Contractor
requests a renegotiated price and a new Item is being introduced, the entire
quantity of the original Item must be deducted in the same CO that the new Item is
being introduced.

950. XXs are used when NO Standard or Special Specification is available for the work,
or the work is very specific in nature and/or encompasses multiple
operations. You will need to write a Special Specification, NO Item Extension Flow
Chart is required for a 950.XX Item.

Include ALL associated work together in one Change Order.


o Example: If limits are extended for a mill and fill project, you would want to
include the milling, tack coat, HMA, striping, and any other Item(s) associated
with the extended work, all within the same order.

If an Item is being replaced by another Item, make sure that the original Item is
subtracted out, or an explanation is given why it hasnt been taken out within the
same Change Order.

Change Orders are not required to be submitted sequentially in Site-Manager.

If a new Item has been introduced due to renegotiated unit price, the overrun will
still be reported in the parent or tracking Item, UNLESS YOU HAVE ENTERED IT
UNDER THE NEW ITEM. If you have only entered it under the ORIGINAL ITEM, it
will need to be SUBTRACTED FROM THE PARENT OR TRACKING ITEM AND
ADDED TO THE NEW ITEM.

If work is being added for a Local Share (Betterment, Town, School Dist., etc.) include
this work on its own Change Order AND assure that the funds have been deposited with
the Comptroller, prior to submitting the Change Order. If funds have not been received,
approval for the Change Order will be delayed.

When an Item is added to the contract because of a renegotiated price, the original Item
number is used with the next line Item number (sequence number) and an A added to
the front of the description to indicate a new Agreed Price or FA if Force Account.

Page15of28

FORCE ACCOUNT WORK (FAW)

FORCE ACCOUNT WORK (FAW) WORK SHOULD BE AVOIDED IF POSSIBLE SINCE IT


TAKES SIGNIFICANTLY MORE TIME TO PREPARE, REVIEW AND PROCESS THAN ANY
OTHER TYPE OF CO. THIS IS ESPECIALLY UNDESIRABLE NEAR THE END OF THE
PROJECT.

FORCE ACCOUNTS ARE REQUIRED WHEN:


An agreed price cannot be obtained in a reasonable period of time.
If the total effort required to complete the work is unknown and a determination has been
made that the work is essential to the project, then the work shall be added to the
contract as a Force Account.
There are no applicable prices for the extra work.
A FAW is based on documented costs that are Actual, Reasonable and Verifiable.
Refer to Standard Specification 109-05 B for complete information on what is allowed
for Equipment, Materials and Labor.

THE INSPECTOR NEEDS TO LOOK FOR:

Workforce and equipment hours of actual use for Force Account Work.
Note presence of idle equipment and document.

Reasonable workforce personnel and equipment for operation being performed


Workforce + equipment capabilities = needs of operation

Equipments year / make / model / capacity, or other further identifying information.

Collect delivery tickets, record quantities, and identify specific work locations (details).

It is STRONGLY RECOMMENDED to have the inspector fill out the MURK 11" for
comparison against the Contractors MURK- 11. Especially the bottom portion of
Statement of Work Accomplished. The more details the better.

Workforce hours and equipment should match, if not explain.


(Teamster = 2 hrs, truck = 2 hrs)

Remember, the Contractor is getting reimbursed directly for all labor, equipment and
materials costs....PLUS 20% Profit and Overhead

Signing of a Daily sheet (MURK 11) DOES NOT mean that NYSDOT or you agree to
pay for the work. You are just agreeing to what happened at the time the work was
done. Use BLUE INK to easily spot original forms. All daily sheets are to be signed by
DOT and Contractors representative at the end of the day or by noon the following
workday at the latest.
Page16of28

FORCE ACCOUNT WORK

THE INSPECTOR NEEDS TO LOOK FOR (continued):

Signing of a Daily sheet (MURK 11) does NOT mean that NYSDOT or you agree to pay
for the work. You are just agreeing to what happened at the time the work was done.
Use BLUE INK to easily spot original forms. All daily sheets are to be signed by DOT
and Contractors representative at the end of the day or by noon the following workday
at the latest.

CONTRACTOR SUBMITS:

Force Account Cover Sheet


MURK 20 - Force Account Summation
MURK 21 - Weekly Summary of Force Account Labor
MURK 11 Daily Record of Work Performed, Not Included in Contract
MURK 22 - Force Account Summary of Materials
Note: On completion of the specific FA work, within 10 calendar days.
MURK 23 - Force Account Summary of Equipment.
Note: With supporting package.
MURK 24 - Force Account Summary of Services, as necessary
MURK WZTC Force Account Summary of Temporary WZTC Devices, as necessary.

All Blue Books Sheets for the equipment along with:


o The Adjustment Rate Chart for the year(s) of the equipment.
o The Regional Adjustment Factor sheet.
o The specific piece of equipment that they are claiming needs to be identified
on the Blue Book sheet with E1, E2, etc. (cross referenced to the appropriate
MURK 23 form).

Note: Equipments Hourly Rate is computed as Monthly Rate divided by 176 plus Operating
Cost for hours used. If you are calculating standby, you need to use ownership cost only.

See Specification 109-05 B.1c.(2)

All material invoices or receipts labeled with M1, M2, etc. (to be cross referenced to the
MURK 22 forms for material).
If the Item requires certification for the material make sure this is received as well.
On Contractors letterhead, a letter agreeing to price from FAW workup.

Page17of28

FORCE ACCOUNT WORK

The EIC or Office Engineer now reviews the package.

A Force Account is added as a new Item for payment on a CO (FCP can NOT be used).
It is now reported as Force Account Work (FAW), with dollars and cents DC used as the
units, Unit Price of $1.00, and the Actual or estimated dollar amount as the Quantity.

Progress payments, based on the daily records may be made up to 90% of the value of the
FAW, while the work is proceeding (and all Supporting Documentation for the work has been
received and verified).
Note: No Progress Payment can be made on an FAW without submission of a Weekly Labor
Summary of Force Account Labor (MURK 21).

Page18of28

FORCE ACCOUNT FORMS

EXPLANATION OF REQUIRED FORMS:

Force Account Cover Sheet

MURK 11 - Daily Record of Work Performed, Not Included in Contract

MURK 20 - Force Account Summation


MURK 21 - Weekly Summary of Force Account Labor

MURK 22 - Force Account Summary of Materials


MURK 23 - Force Account Summary of Equipment
MURK 24 - Force Account Summary of Services
MURK WZTC Force Account Summary of Temporary WZTC Devices

FORCE ACCOUNT COVER SHEET:


Region, Contract D#, Contractors Name, Item Number, Description, Correct
Start/End Dates, Contractors Representative Name (See MURK- 20) are required
information and need to be correct.
Workers Compensation Policy Start Date.
o This sets the WC Rate Year, which sets the CEPL program weekly limit.
Required Insurances Cost Basis/Rates.
Overhead and Profit Percentages
o These will ONLY change for When & Where type contracts. Review
Contract Proposal.
Added Insurance Cost Basis/Rate
o Only applicable to Subcontractors role.
Total Pages
o MURK 2016 Forms Only!

Page19of28

FORCE ACCOUNT FORMS

MURK 11 - DAILY RECORD OF WORK PERFORMED


(Not Included in Contract)

GENERAL INFORMATION:

Form is prepared and submitted by the Contractor on a daily basis.


ALL heading information must be provided.
Statement of Work Accomplished must be specifically noted.
Submit the original MURK 11 (Blue ink helps identify originals quickly).
Form must contain original signatures.
Supplemental sheets may be used.

LABOR:
Full name and labor classification (trade) must be provided for each worker.
Total Hours means both regular and overtime hours. (If an individual works
8 hours regular time and 2 hours overtime then the total is 10 hours and the
O.T. is 2 hours).
Hours allowed are only those actually worked on the Force Account work.

MATERIALS:

Materials allowed are only those actually incorporated in the Force Account Work.
Provide material description and actual measured quantity used.
Provide unit cost, with support documentation of either quotes for future work, or
invoices for work completed.
If the Item requires certification for the material(s) make sure this is received as
well.
Sales tax is NOT allowed on materials which are PERMANENTLY incorporated in
the work.
o See Specification 109-05 B.1b

Assign an identification number to each material used on operation (i.e.: M-1, M-2 etc.).
These ID numbers are used on the MURK 20 (Force Account Summation) and MURK 22 (Force
Account Summary of Materials), if needed and on provided invoices or costs documentation for
cross reference purposes.

Page20of28

FORCE ACCOUNT FORMS

MURK 11 - DAILY RECORD OF WORK PERFORMED


(Not Included in Contract)

EQUIPMENT (Refer to Standard Specification 10-05.C.1 for all equipment regulations)

Equipment hours are ONLY the hours of ACTUAL USE (unless otherwise directed by EIC).
if on Stand-by (Idle), or Second Shift.
The following information must be provided for all equipment:
Make/Model/Year
Horsepower
Wheel Count and/or Axle Count
Bucket Capacity, etc.
(This is needed to properly identify the equipment against the Blue Book sheets.)

Assign an identification number to each piece of equipment. (i.e.: E-1, E-2 etc.) These ID
numbers also are used on the MURK 20 (Force Account Summation) and MURK 23 (Force
Account Summary of Equipment) for cross reference purposes.

Page21of28

FORCE ACCOUNT FORMS


MURK 20 FORCE ACCOUNT SUMMATION

GENERAL:

Heading must be completed.


Wages and Benefits at top of sheet are imported from MURK 21.
Note: this information is transferred to the Labor portion.
Submit the original MURK 20 with original signatures (its easy to identify if
signed with blue ink).

LABOR:

Regular wages are Regular (direct) Wages from top of sheet, as are Fringe
Benefits. Other benefits are shown as needed.

Taxes and Insurance percentages are provided by the Contractor.


o %s are applied as per noted in formulas (as stated, they are applied to
Gross Wages)
OR
o Contractor has the option of choosing a 12.5% mark-up on Labor

Either choice by the Contractor cannot be changed during a calendar year period.
Also, any Subcontractor working on the Contract does NOT need to choose the same
option as the Prime Contractor and cannot change their choice during a calendar year
as well.

Profit and Overhead = Percentage x Subtotal, ( Check Project Proposal for any
contract specific P&Os, i.e.: Emergency Contracts).

Premium Wages are brought down from top of sheet.

Total Labor = Subtotal + Profit and Overhead + Premium Wages


(This total is used in the TOTAL FORCE ACCOUNT below Labor column).

Page22of28

FORCE ACCOUNT FORMS

MURK 20 FORCE ACCOUNT SUMMATION (continued)

MATERIAL:

All material cost must be substantiated by invoices and receipts identified with
reference numbers (M1,M2, etc.)
List material cost from MURK 11s with ID #s, if there is insufficient space, a
summary sheet should be provided.
Subtotal = Total Material Costs
Profit and Overhead = Percentage x Subtotal, ( Check Project Proposal for any
contract specific P&Os, i.e.: Emergency Contracts.)
When adding P & O to Subcontractors work, the 25% is applied strictly to
the subtotal amounts and NOT to the (subtotal) x (20%) x (5%). This would
result in a P & O of 26%, which is not allowed.
**Work Services get a 5% P & O
Total Materials = Subtotal + P&O, this is transferred to the TOTAL FORCE
ACCOUNT under the Labor column on Materials line.
Note: **See Section 101, page 30 (January 1, 2016 Standard Spec Book) for
complete definition of Work Service

EQUIPMENT:

List equipment costs from MURK 23 (Reference by ID numbers)


Total Equipment Cost = Summation of all equipment
This total is noted under TOTAL FORCE ACCOUNT
Note: See Specifications 109-05 B.1.c6 for backup/idle equipment computation.

Page23of28

FORCE ACCOUNT FORMS


MURK 21 WEEKLY SUMMARY OF FORCE ACCOUNT LABOR

This form serves as a composite of all labor charges from the MURK 11 forms.

All top fields of the form must be filled in.

Provide hourly rates for Regular time and Premium Additive; verify amounts from
appropriate wage rates. (The Premium Additive is the difference between
regular and overtime rates: If regular time is $10.00/hr and overtime is
$15.00, the premium additive is $5.00).

Each employee is listed with reg. hours, and their overtime hours (from MURK11s).

Regular wages = Total Hours x Basic Rate

Premium Wages = (O.T. Hours) x (Premium Additive)*


*Only Difference between regular and overtime rate

Gross Wages = Regular Wages + Premium Wages

Limitations and Wages Over will be provided by the Contractor IF applicable.

Fringe Benefits must be reported and verified, if paid directly to the employee,
this must be stated.

Columns are to be totaled at bottom of sheet and transferred to MURK 20.

Page24of28

FORCE ACCOUNT FORMS


MURK 22 FORCE ACCOUNT SUMMARY OF MATERIALS

This form serves as a composite of all material charges from the MURK 11
forms.
All top fields of the form must be filled in
ID: All material cost must be substantiated by invoices and receipts
identified with reference numbers (M1, M2, etc.)
Material Description: List each material description from MURK 11s.
Invoice No.: Receipts/Invoices for material indicated identified with
reference numbers (M1, M2, etc.)
Unit of Measure: As per Material
Quantity: Actual measured material quantity from MURK 11s. Only
material incorporated in the FAW is permitted.
Unit Cost: Provide unit cost of material with support documentation.
invoices for work completed
Note: NO sales tax allowed on materials which are permanently
incorporated in the final work.
Note: If the Item(s) require material certifications, obtain
respective certifications as per Material Specifications.

Page25of28

FORCE ACCOUNT FORMS


MURK 23 - FORCE ACCOUNT SUMMARY OF EQUIPMENT

Headings at the top of the sheet must be complete.

Reference equipment by using the ID # assigned to them from the MURK 11 Forms.

List equipment type in detail, including year, make, model number, capacities, gross vehicle
weight, etc.

List manufacturer i.e.: Ford, Caterpillar, Case, Vermeer, Mack, etc.

Blue Book and age adjustment factor sheets are required from the Contractor.

Column A Hours of Actual- use is the total from MURK 11 forms.

Column B Hourly Rate = Monthly Rate / 176.


Note: Contractor is to supply the Age Adjustment Table with the package.

Column C Maximum Owner Cost NOTE 2 x Age Adjustment Factor

Column D Regional Adjustment Factor. Contractor is to supply the Regional Adjustment


Table with their package.

Equipment reimbursement is transferred to MURK 20.

Page26of28

FORCE ACCOUNT FORMS


MURK 24 - FORCE ACCOUNT SUMMARY OF SERVICES
Services based on invoiced cost to the Contractor.

Note: Contractor is entitled to 5% Profit and Overhead on total services fee.


Note: Work Service is NOT the same as Subcontractors. Services do not require same
documentation as regular Subcontractor approval process and may only perform work
on Contract for no more than ten (10) days. Do NOT have to be consecutive days.

Page27of28

FORCE ACCOUNT FORMS


MURK WZTC - FORCE ACCOUNT SUMMARY OF TEMPORARY
WORK ZONE TRAFFIC CONTROL DEVICES
Temporary WZTC devices are paid for on a daily basis. Blank lines at the end of the
form are for devices that are not listed. See Traffic Control Devices table in reference
Chapter 9R
Devices are reimbursed as equipment and are NOT eligible for overhead and profit.
Daily rates are for equipment only; NOT to include labor to set up and remove
devices.
Note: **See Section 101, page 30 (January 1, 2016 Standard Specification) for
complete definition of Work Service

Daily Equipment Reimbursement Rates for Traffic Control Devices

The following Traffic Control Devices will be considered as equipment for all Price Analysis and Force
Account work. The tabulated Daily Ownership Costs for these devices were established by the Office of
Construction as fair and reasonable, based on purchase cost, estimated number of uses, and an estimated
replacement rate. These rates should be used to reimburse the Traffic Control Devices (TCD) for short
duration periods of work. However, when severe job conditions result in damage and/or destruction of TCDs
at an extraordinarily high rate, higher daily ownership costs may be justified. In that case, it would be
necessary to support the higher rate with a workup showing the invoiced purchase price and life expectancy
of the WZTC device.

Work Zone Traffic Control Device Daily Ownership Cost

CONES $0.20 Each


BARRELS $0.65 Each
BARRELS W/LIGHTS $0.85 Each
TYPE II BARRICADE $0.40 Each
TYPE II BARRICADE W/LIGHTS $0.60 Each
TYPE III BARRICADE $1.50 Each
TYPE III BARRICADE W/LIGHTS $1.70 Each
CONSTRUCTION SIGNS $0.10 per Sq. Ft.
SIGN STAND WINDMASTER (or similar DOT approved) $1.25 Each
SIGN STAND TRIPOD W/FLAG HOLDER $0.55 Each
TEMP. CONCRETE BARRIER $ 0.05 per Ft
STEEL ROAD PLATES $0.10 per Sq. Ft.
VERTICAL PANELS $0.65 Each
TUBULAR MARKERS $0.20 Each

***This chart is for information only & should be used as a guide.***

Page28of28

CHAPTER 9R

CHANGE ORDER
REFERENCE DOCUMENTATION
THIS SHEET IS INTENTIONALLY BLANK

9R- 2
INDEX of EXHIBITS

1. AEW (Authorization of Extra Work) Page 9R-4

2. Item Extension Flow Chart Page 9R-5

3. APW (Agreed Price Worksheet) Page 9R-6

4. Force Account Cover Sheet Page 9R-8

5. Force Account Work Summation (MURK-20) Page 9R-9

6. Weekly Summary of Force Account Labor (MURK-21) Page 9R-10

7. Force Account Summary of Materials (FA MURK-22) Page 9R-11

8. Force Account Summary of Equipment (MURK-23) Page 9R-12

9. Force account Summary of Services (MURK-24) Page 9R-13

10. Force Account Summary of Temporary WZTC Devices


(MURK-WZTC) Page 9R-14

11. Force Account Summary of Services (MURK-24) Page 9R-15

12. Sample Request to Contractor with Concurrence with Bid Price Page 9R-16

13. Sample Request to Contractor with Concurrence with Agreed Price Page 9R-17

14. Sample Request to Contractor for Price Analysis Page 9R-18

15. Sample Contractor Concurrence with Proposed Price Page 9R-19

9R- 3
9R- 4
9R- 5
9R- 6
9R- 7
9R- 8
9R- 9
9R- 10
9R- 11
9R- 12
9R- 13
9R- 14
9R- 15
9R- 16
9R- 17
9R- 18
9R- 19
9R- 20
CHAPTER 10
EXTRA TIME
THIS SHEET IS INTENTIONALLY BLANK

Page 2 of 6
EXTENSIONS OF TIME / TIME ADJUSTMENT

Specifications:
Section 108-02 Completion Date
Section 108-03 Failure to Complete Work on Time
Section 108-04 Delay Provisions

Site Manager does not allow any Estimates or Change Orders to be processed after the Project
Completion date. Therefore, an Extension of Time may be required in order to complete project
work by the Contractor and/ or final project closeout.

There are two (2) types of time extensions; an Administrative Time Extension and a
Contractor Extension of Time.

An Administrative Time Extension is required if the contractor completes the project on or


near the completion date. The Administrative Time extension is 15 days and is utilized to
complete final change orders and estimates.
o Contractor is NOT allowed to work under an Administrative Time Extension
o The Administrative Time Extension does NOT need an CONR 250
o The Administrative Time Extension is a 15 day extension.
o These days are to be used in calendar order not by the current calendar date.
o 5 days are to be saved for the Regional Office to complete their project
closeout.
Note: The Time Adjustment Change Order is processed reviewed and approved by all
levels within Site Manager to the RCE level

The Contractor Extension of time is requested by the Contractor if they cannot complete the
work by the scheduled project Completion Date.
Contractor is not to work unless within completion date of Contract & has sufficient
insurance covering the time period.
Payments cannot be processed after the project completion date.
Contractors Extension of Time is to be processed through to OSC

Process:
Contractor files Application for Extension of Completion Date (form CONR 250) with
the EIC PRIOR to the Completion date allowing ample time to process the Change
Order.

NOTE: The Change Order MUST be approved prior to the completion date.

The Project forwards Application and pertinent factual information to Region via a Time
Adjustment Change Order & attaches the CONR 250 form (both sides of form) as well as
any letter or other details submitted by the Contractor with the request to the header.

Page 3 of 6
Region reviews the CO for:
o Factual information and comments concerning reasons cited by Contractor.
o Allocation of days due to Contractor, and those beyond control of Contractor.
o Statement if work is substantially complete and safe for use by public (used to
determine if Liquidated Damages are applicable).
o Approves CO with or without charges annotated in remarks of CO Approval
window.
Construction Division reviews and approves Extension of Time Time Adjustment CO
o Review completed by Liaison Engineer, who then notifies MO Construction
Director and/or MO Construction Change Orders person of their recommendation
Approved Time Extension
o May include Engineering and Inspection Charges.
o May include Liquidated Damages.

Once CO is approved the system will automate new Completion Date in Site Manager critical
dates window.

The Construction Administrative Manual (CAM) Section 108-02 Project Completion Date
defines Project Completion Date and steps necessary if work is not completed by that date and
illustrates the form (CONR 250) that the Contractors is required to submit for an extension of
time.

https://www.dot.ny.gov/main/business-center/contractors/construction-
division/construction-repository/CAM_Sect108-02.pdf

Office Engineers Role:


Remind Contractor of need to initiate an Application for Extension of Completion Date
well in advance of current completion date.
Creates (EOT) Time Adjustment CO in Site Manager.

Reminder: Contractors Extension of Time is to cover Physical Work performed by Contractor,


at the end of a project AFTER the contractors last day of work. You may require an extension
to perform additional estimates as well as to cover the Diary this is an Administrative Time
Adjustment, does not require an HC250, is a CO only up to the RCE level and covered in
Chapter 11.

Page 4 of 6
CHARGES AND LIQUIDATED DAMAGES

Charges are assessed for Work Zone Traffic Control


o Distribute the lump sum over course of project as a per diem.

Engineering Charges (as defined in Specification 108-03A.)


o Engineering charges include all appropriate engineering and inspection expenses
incurred by the State, its consultants and inspection agencies and by railroad
companies.
o Engineering charges are assessed in cases where the work has been delayed by the
Contractor.
o Fill out appropriate forms, for livery and hours worked (similar to force account)
and charge under Engineering Charges line item number.

Liquidated Damages (as defined in Specification 108-03B.)


o established in Table 108-1 Schedule of Liquidated Damages or for special project
as specified in the Contract Proposal.
o They are assessed under the appropriate line item number.

Set amount charges such as in Incentive/Disincentive


o Disincentive is the charge.

The Construction Administrative Manual (CAM) Section 108-03 defines Contractor Time
Extension with or without charges. Definitions of Engineering Charges and Liquidated Damages
are found here as well as samples of all documentation necessary for assessing Engineering
Charges. Liquidated Damages are as defined in Standard Specification Section 108-03 or as
specified in the Project Proposal.

https://www.dot.ny.gov/main/business-center/contractors/construction-division/construction-
repository/CAM_Sect108-03.pdf

Before a project is closed out you must make sure the charges do not create a negative
share.

Page 5 of 6
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Page 6 of 6
CHAPTER 11
PROJECT CLOSE OUT

THIS SHEET IS INTENTIONALLY BLANK

Page2of9

PROJECT CLOSE OUT

REFERENCE DOCUMENTATION

Construction Administration Manual (CAM):


o Section 90 Record Keeping Procedures
o Section 91 Field Revisions and As-Builts
o Section 109-09 Final Acceptance and Final Agreements
https://www.dot.ny.gov/main/business-center/contractors/construction-
division/forms-manuals-computer-applications-general-information/murk_1a

SiteManager Quick Reference Guide (QRG) #30 Finalizing a Contract


https://www.dot.ny.gov/main/business-center/trns-port/repository/30_QRG-
Final_Process.pdf

PRELIMINARY FINAL PROCEDURES

Verify that all Punch list work is complete.

Check over-runs, under-runs, items that have quantities that do not seem right.
Ongoing throughout job.

Process all necessary Change Orders. Complete Fuel/Asphalt/Steel Adjustments.


Determine Final Contract Quantities. Send Formal Letter with a Dummy Final or
Final CONR22. (Business Objects/FO Reports/Finals/Statement Of Quantities
Used CONR22 Final)
https://www.dot.ny.gov/main/business-center/contractors/construction-
division/construction-repository/final_quantities_notice.doc

Inform Contractor in writing of all lacking paperwork for closeout. This may include
Payrolls, Material Acceptance, Shop Drawingsetc (Can be combined with above
Final Quantities Notice).

Be careful not to overpay the contractor. Pay particular attention to negative price
adjustments. Negative adjustments need to be made on a regular progress estimates.

Assure that estimates of Force Account Work (FAW) have been closed out by
Change Order with actual force account records.

A Clean-Up Change Order will be needed to remove all unused quantities and add
any quantities for work performed. This will result in the Final Contract Quantity
being equal to the Total Quantity Used to Date on your CONR22.
(Business Objects/FO Reports/Finals/Final Clean-Up Change Order Quantities)

Assure that all Initial Entry R.O.W. forms have been sent to the Reg. Real Estate
Officer.

Page3of9

PRELIMINARY FINAL PROCEDURES (Continued)

Notify Permits and Bridge Inspection of completion of work for their information
when appropriate.

Notify the Regional Traffic and Safety Office when all of the traffic and safety
devices have been installed so they may inspect them.

Calculate any necessary Uncompleted Work Agreements (Chapter 11A)

FINAL INSPECTION:
The EIC and the Construction Supervisor agree that a final inspection date can be established
based on the Contractors work schedule and substantial completion.

Coordinate all final inspections with required agencies (Town, Village, Utilities,
NYSDOT Groups, Railroadsetc). Notify agencies when completion is imminent so that
any comments can be incorporated into the Punchlist

Complete Final Inspection Request Form. Submit to Construction Supervisor.


https://www.dot.ny.gov/main/business-center/contractors/construction-
division/construction-repository/FinalInspectionRequest.pdf

Notify FHWA (if Full Oversight/RFA Project) for a Final Inspection. Recommendation
to accept the contract may be made by the Region without the FHWA inspection.

FINAL PROCESS
The Final Inspection, Recommendation for Acceptance, and Official Acceptance MAY
proceed even if there are outstanding Change Order(s).
HOWEVER, submission of Final Package, cannot proceed until all COs
have been processed and approved, all progress payments paid out, and final
project acceptance has been given by the Main Office.

Have concurrence with Contractor on all quantities.

Determine Last Day of contract item work done by Prime and Subcontractors
o Be sure you notify your Reg. Contract Administrator (preferably via e-mail) of the
Contractors Last Day of Work so that it is inputted into Critical Date in Site
Manager.
Write memo recommending acceptance to the Regional Construction Engineer.
o Include Federal Forms CONR 193 (always for federally funded).
o Identify the need for an Uncompleted Work Agreement. Provide Item #s and
Quantities for the UWA.
o Note: Part of the field recommendation for acceptance requires the Status of
Approved Structural Drawings which is required as part of the CONR 45 sent
from the Region, this statement MUST include a list of what drawings are still
outstanding and what has been submitted with date.
o Confirmation that acceptance has been obtained from cooperating agencies
(CAM 109-09.III.B)

Page4of9

FINAL PROCESS (Continued)

The Region will then compile the Recommendation for Acceptance memo (CONR 45) to
the Main Office.
o The Regional Finals person will notify the field office that the recommendation for
acceptance by Region has occurred, the Diary is to end and a log of delays begun.
o It is recommended to attach the Log of Delays to the last Diary entry date.
o The Finals person will notify the Reg. Contract Administrator to input this date into
Critical Dates

Begin to assemble forms required in the Final Package.


(Business Objects/FO Reports/Finals/Final Package Checklist)

WRITE THE DATE RECEIVED IN THE BOX ON THE FINAL PACKAGE CHECK LIST.

Regional Office will notify EIC of Commissioners Project Acceptance Date. *

Do not submit the Final if there are any outstanding issues such as a Dispute/Claim or an
Administrative Settlement that are to be processed which then would require a Change
Order and payment.

Verify that the Final Package is complete.


o If there is outstanding paperwork needed from the Contractor,
NOTIFY THEM IN WRITING.

Bring completed final package with the final package checklist into the Regional Office
for review to final person.

NOTE: It is very important to document all delays in receiving required paperwork for the
final package. This documentation is done via the Log of Delays. Mark each
document received from the Contractor with the date received.

FINAL ACCEPTANCE:

CONR 45 Notice of Final Inspection / Recommendation of Contract Acceptance

Contract final acceptance is the Departments acceptance of the physical contract work as
complete and NYSDOT highway/facility operation assumes the maintenance responsibilities.
Local maintenance responsibility also begins at final acceptance.

If an Uncompleted Work Agreement is required, the memo from the Contract


Management Bureau verifying that the agreement was executed and that the certified
check was deposited, must accompany the CONR 45 acceptance form.

The Regional Construction Engineer in your Region will submit the CONR45 to MO.

Page5of9

THE FINAL PACKAGE CHECKLIST DEFINITIONS:

ACCEPTANCE DATE
The Acceptance Date will be the date the project was accepted by Albany.

AC 2947 LABOR AFFIDAVIT (Prime)


The date required in clause 5 (five) is the last day of work on the project. This date
cannot extend beyond the completion date.

As per clause 5 (five), a separate list is required if there are subcontractors working on
the project. See SUBCONTRACTORS LAST DAY OF WORK listed below.

The AC 2947 must be signed and notarized with the commission expiration date noted.

AC 2948 LABOR AFFIDAVIT (Subcontractor)


The AC2948 must be signed and notarized with the commission expiration date noted.
All AC2948s for the project are to be in file folder. The LATEST AC2948 must be
submitted for all Subcontractors with the Final package as noted on the checklist.
NOTE: Not required for Suppliers or Off Site Trucking.

ENGINEERING CHARGES and CHARGES TO CONTRACTOR


(Construction Forms Final Tables)
Summaries for all charges are to be included
Charges for inadequate Work Zone Traffic Control
Credits/rebates for items deemed to be in reasonable close conformance but not
totally fulfilling specs.
Engineering Charges.
For Engineering Charges a separate summation is needed for each fiscal year as the
Fringe Benefit rate will change. Engineering charges guidance is found in the extension
of time chapter.

LOG OF DELAYS
(Business Objects/FO Reports/Finals/Log of Delays)
The Log of Delays begins at the date of the project Recommendation for Acceptance
from the Region. The log includes all correspondence, e-mail, phone calls and any
other action with the Contractor to obtain all required documentation to finalize the
project and submit the final agreement.

SUBCONTACTORS LAST DAY OF WORK


(Business Objects/FO Reports/Finals/Prime & Sub First & Last Day of Work)
Print out from reports the Subcontractors approved for Contract and make sure first day
and last day of work recorded..

AAP-33RD MONTHLY EMPLOYMENT UTILIZATION REPORT


The AAP 33 is submitted by the Contractor into EBO verify all required submissions
have been inputted in a addition to the AAP 19s.

Page6of9

THE FINAL PACKAGE CHECKLIST DEFINITIONS (Continued):

AAP-26 TRAINING REPORT (IF YOUR PROJECT HAS THIS


REQUIREMENT)
A notation for each trainee on the project along with their JT/AT 401 are to be
inputted into EBO, confirm the reports are in the system.

PREPARATION OF FINAL RECORDS


Construction Administration Manual (CAM): Section 90 Record Keeping Procedures
https://www.dot.ny.gov/main/business-center/contractors/construction-
division/construction-repository/CAM_Sect90.pdf

I. BOOK/ENVELOPES SET-UP
Any book/envelope should be labeled with the following information:

PROPERTY OF NEW YORK STATE DEPARTMENT OF TRANSPORTATION


IF FOUND PLEASE RETURN TO:
NAME, REGIONAL DIRECTOR
REGIONAL OFFICE ADDRESS

II. BOOKS/ENVELOPES
Payrolls
Change Order Originals
Accidents
Correspondence
Estimates
ANY PAPERWORK NOT CONTAINED IN ELECTRONIC DATA
SOURCES (SiteManager, ProjectWise, LIMS, etc.)

III. COMPLEXITY OF JOB (Include if Project warrants it)


Drainage Structure Book
Earthwork
Bridge Book
Utility Book (Waterline, Sewer, Other)
Signals Book

IV. MATERIALS ACCEPTANCE DOCUMENTS (will be file folders, no longer a


book)
Acceptances and/or certifications covering all completed items filed in folders by
item number. Includes tickets for concrete, asphalt and stone products.

Page7of9

AS-BUILT AND RECORD PLANS:


The following is for both FULL SIZE and PROPOSAL projects / plans.

Revisions and field changes as per MURK PART 1A, 91 Field Revisions and As-Builts
https://www.dot.ny.gov/main/businesscenter/contractors/constructiondivision/construction
repository/CAM_Sect91.pdf

Record Plans may be developed using As-Bid plans or electronic CADD files. Please use the
following convention when preparing Record Plans:

No Change: Indicate No Revisions in As-Built Revision Box. No signature or


renumbering of the sheet is required.

Revisions Using Existing Sheet: Make needed changes with a thick black line (Fine
Point Sharpie or equal). Cross out unneeded or omitted information with a single line.
Make brief note of changes in the As-Built Revision Box and the EIC will sign.
Renumber the Page with an R suffix and revision number. Example, Page 45 Revision
#1 = 45R1.

Revision Using New Sheet: Make needed changes utilizing CADD file. Place a box on
Revision sheet that states: FIELD REVISION, This Sheet Supplements Sheet XX.
Note changes in the As-Built Revision Box and the EIC will sign. Number page as
above. The As-Bid sheet may be left before the revision sheet and crossed out.

Field Change Sheet: These are typically prepared and sealed by the design group and
implement significant changes in project scope, limits and/or costs. These sheets
normally supersede the As-Bid sheet and are resealed. They will need to be plotted and
inserted into the Record Plan set. If revisions are made to a Field Change Sheet, note
changes in the As-Built Revision Box and the EIC will sign. Renumber the Page with an
R suffix and revision number. Example, Page 45F1 Revision #1 = 45F1R1.

Shop Drawings: Items of the contract that are professionally designed and sealed should be
added to the project. Examples include Steel and Concrete Girders and Precast Concrete
Boxes or Sections. These sheets should be added at the end of the plans and remain un-
numbered.

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AS-BUILT AND RECORD PLANS (Continued):

EI 08-001 requires all sheets with Major changes to be Professionally Sealed. This will be done
in the Regional Office after preparation of the Record Plans. Upon delivery of the Record Plans
to the Regional Office, please include a list of sheets that may have Major changes. Please be
liberal with this list.

o Make sure all lettering is PRINTED LEGIBLY.

o Do not obscure or erase any original details with added on ones or


excessive cross outs. One line cross out through the changed information
is the policy.

o It is not necessary to update Estimate of quantities, Earthwork Summary


Sheets.

o As-Built revisions are meant for permanent detail and overall changes to
existing physical conditions.

o Do not refer in your notes to documents other than record plan sheets.
Shop drawings, DWRs, etc. will not necessarily be available for future
design projects in the project area.

o Do not change the total plan sheet number.

o Permanent Survey Marker locations; including ties should be shown if


changed/revised.

o The set of records should have all Addenda plan sheets and Field Change
sheets bound into the package.

Page9of9

CHAPTER 11A
UNCOMPLETED WORK AGREEMENT
THIS SHEET IS INTENTIONALLY BLANK
UNCOMPLETED WORK AGREEMENTS (U.W.A)
When a Contractor requests final acceptance of a substantially completed Project with an
Uncompleted Work Agreement, any outstanding work, EXCEPT safety related items of work, may
be included in an U.W.A.
This may include work not yet performed, completed out of season.

**NOTE: Pay for items involved in an uncompleted work agreement in Site Manager via a DWR
after the Contractor has deposited the required securities to cover the cost of the uncompleted
work.

Work not completed at the time Request of Acceptance:


This work will be treated as Uncompleted Work** (see above)

EXPIRATION: When work is satisfactorily completed and accepted.


VALUE: (Unit Price) x (Quantity) x (2) = Uncompleted Work Amount ($).

UWA:

May be for multiple items with the same completion date.


Turf Establishment.
May have multiple UWAs for a single project with different completion dates.
Cannot be released partially.
Should indicate the expiration date if known ie: Warranty Items; Striping; etc.

Common UWAs:

LANDSCAPE ITEMS:
FOR ITEMS PLANTED IN SEASON:

When the one year period of establishment extends beyond the Contract
Acceptance date, an U.W.A. will be required to cover this work.

EXPIRATION: One year from the last day of planting (after Care of
Planting Schedule has been accepted).
VALUE: (Quantity) X (Unit Price) x (2) = Uncompleted
Work Amount ($).
NOTES: The Regional Landscape Group will need to be contacted
for Final Inspection of plantings.

FOR ITEMS PLANTED OUT OF SEASON OR BEYOND CONTRACT


ACCEPTANCE DATE:

You will need to do a U.W.A. to cover the cost of this work.

Page3of9

UNCOMPLETED WORK AGREEMENTS (U.W.A) (continued)

FOR ITEMS PLANTED OUT OF SEASON OR BEYOND CONTRACT


ACCEPTANCE DATE -(continued):

When the next planting season begins, the plants will need to be inspected, replaced as
required and accepted. When all the planting is accepted, the EIC or designee writes a
letter to the Regional Office stating that the plantings are complete and accepted.

At the one year mark, the plantings are inspected by Landscape Department for final
inspection and if all are deemed healthy, the EIC writes a letter to Regional Office to
release the money. If any work had to be done within the Uncompleted Work Agreement
year, the Contractor will need to provide certified
payrolls for the work force.

This procedure is also for wild flowers.

SEEDING:

If a substantial stand of grass has not been achieved by the time a Contract is
recommended for acceptance, then a UWA will need to be completed to cover this work.
(This can be on only a portion of the work, not necessary for entire area).

EXPIRATION: When an acceptable stand of Turf is established s per


specification 610.
VALUE: (Unit Price) x (Quantity) x (2) = Uncompleted Work Amt.

The EIC will inspect the seeded areas, if re-seeding is necessary, the Contractor will
perform the required work. Once an acceptable stand of grass is established, the EIC
needs to inform the Regional Office in order to allow the U.W.A. monies to be released.
The Contractor will need to provide certified payrolls for the work force for any
remedial work performed.

STRIPING: (Warranty Item)

Striping Done Out of Season: (Preformed Reflectorized Pavement Markings)

Note: Review Specification for Striping Season.

For any preformed marking placed out of season (at the approval of the Regional Office),
the EIC needs to inspect the striping at the beginning of the next season. The EIC inspects
the striping to assure that it is in acceptable condition according to Specifications.

If repairs are needed, the Contractor must make the required repairs, and supply
the EIC with certified payrolls for the work force for any remedial work
performed. (If contract has ended).
Page4of9

UNCOMPLETED WORK AGREEMENTS (U.W.A) (continued)

STRIPING Continued:

When the striping is deemed acceptable the EIC will inform the Contractor of the start of
the 180 performance period. Upon completion of the performance period the EIC
inspects the striping, and if acceptable, writes a memo to the Regional Office accepting
the striping and requesting that the Warranty be released. Attach the certified payrolls, if
necessary. If repairs need to be made, the Contractor makes the repairs; EIC inspects the
work and if acceptable, writes the letter to release the Warranty.

Striping Done in Season:

If the 180 days (performance period) falls after the Contract Acceptance Date:

A Project Warranty will be required to cover the percentage (%) that represents the
quantity of striping placed that is within the performance period and beyond the Contract
Acceptance Date. At the 180 day mark, the EIC inspects the striping, and if acceptable,
writes a letter to the Regional Office accepting it thus releasing the Warranty. If repairs
need to be made, the Contractor makes the repairs; EIC inspects the work and if
acceptable, writes the letter to release the Warranty.

If the 180 days falls within the Contract Dates:

Make your inspection at the 180 day mark, and inform the Contractor of any deficiencies.

Page5of9

UNCOMPLETED WORK AGREEMENTS (U.W.A) (continued)


2) IF PLANTINGS ARE COMPLETED OVER MULTIPLE PLANTING SEASONS:

The UWA cannot start until the very last plant has been planted. At that time, the EIC should
inspect all plants and replace any that are rejected. The UWA begins when the EIC accepts all
plants AND approves the Contractors Planting Work Schedule (schedule
should follow Section 611-3.06 of the Standard Specifications). The LA can assist in performing
plant inspections and in the review of the planting work schedule.

The UWA lasts for one year OR until the contract is accepted, whichever is later.

3) IF PLANTINGS ARE COMPLETED OUT OF SEASON:

The UWA does not start until the next planting season. At that time, the EIC should inspect all
plants and replace any that are rejected. The UWA begins when the EIC accepts all plants AND
approves the Contractors Planting Work Schedule (schedule should follow
Section 611-3.06 of the Standard Specifications). The LA can assist in performing plant
inspections and in the review of the planting work schedule.

The UWA lasts for one year OR until the contract is accepted, whichever is later.

Note: It is sometimes possible to get the planting season extended with Project LA approval.
The Project LA should provide you with a letter granting the extending planting season.

At the conclusion of the UWA in all 3 cases:

The EIC should inspect all plants and replace any that are rejected. The contractor must
also remove all stakes and guy wires and weed and re-mulch plantings as required. The
Project LA can assist in performing plant inspections.

The EIC must write a letter to the Contractor accepting all replacement plantings and
formally ending the POE. A copy of the letter should be given to the Project LA, the
Regional Construction Office and a copy retained in the project files.

TIPS for Uncompleted Work Agreements (U.W.A.)

Only put items that will be released at the same time together on one U.W.A.
Albany will NOT release partial U.W.A.S.

Page6of9

Sample of Uncompleted Work Agreement with Period of Establishment

CONTRACT D26XXXX

UNCOMPLETED WORK AGREEMENT #1

PLANTING

Item Number Description

611.010154M Planting Major Deciduous Tree Species

24 each x $360.00/ea. = $ 8,640.00

611.020184 Planting Minor Deciduous Tree Species

6 each x $300.00/ea. = $ 1,800.00

611.040152M Planting Deciduous Shrub Species

55 each x $90.00/ea. = $ 4,950.00

TOTAL = $ 15,390.00

$ 15,390.00

Uncompleted Work Agreement x 2.00

$ 30,780.00

EXPIRATION DATE xx/xx/xx


(one year from date of last planting)

Page7of9

Sample of Uncompleted Work Agreement for Other Work Items

CONTRACT D26XXXX

UNCOMPLETED WORK AGREEMENT #2

Item Description
Item 680.72 Inductance Loop Wire

1,000 meters X $1.75/meter = $1,750.00 X 2 = $3,500.00 (total)

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Chapter11ALinkstoResources

http://axim22.nysdot.private:7779/portal/page?_pageid=39,3790769&_dad=portal&_schema=PORTAL
&

ManualofAdministrativeProcedures(M.A.P.)7.14UncompletedWorkAgreement

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