Locally Administered Projects Training - CRTPO · 2014-06-06 · ensure the technicians who perform...
Transcript of Locally Administered Projects Training - CRTPO · 2014-06-06 · ensure the technicians who perform...
LOCALLY ADMINISTERED PROJECTS
TRAINING
TRAINING GOAL
Administrative Practices
Process/Procedures
Roles
Requirements
Where to find needed info
Put a face with a name
WE ARE HERE TO HELP!!
HTTP://WWW.NCDOT.GOV/DOH/SAFETY/SPPM/WSM.
LOCAL GOVERNMENT AGENCY DUTIES
Provide daily contract administration.
Provide project documentation in accordance with the Department’s policy and
procedures and in accordance with Federal regulations.
Ensure that the private engineering firm utilized for construction administration is
prequalified to perform Construction Engineering and Inspection by NCDOT. Also,
ensure the technicians who perform the testing for project acceptance possess the
appropriate certifications.
Ensure Disadvantaged Business Enterprise/Minority Business Enterprise/Women
Business Enterprise compliance. Submit DBE-IS forms with invoices to document
Disadvantaged Business Enterprise/Minority Business Enterprise/Women Business
Enterprise program compliance.
Contact RE or DOT Representative when Supplemental Agreements or Claims need review
and approval.
Contact RE or DOT Representative prior to performing any work outside the original
scope of the project or when there are questions regarding the Department’s policy and
procedures.
Present project invoices to the RE or other assigned Division staff for reimbursement of
costs as included in the Project Agreement. Invoices should include all appropriate
documentation and project records to support the invoice payment request.
The Contract is let now
what?
PRECONSTRUCTION CONFERENCE
Schedule a date where everyone can be at the meeting – utility company, design team, environmental agency, subcontractors etc.
Send the contractor a letter requesting the following be brought to the meeting:
A Progress Schedule
List of Project Personnel (Project Manager, Traffic Control, Erosion Control Coordinator.)
List of Material Suppliers
List of Subcontractors
List of Company Officials Authorized to Execute Change Orders
Discussion should be open conversation with everyone being given the opportunity to express his or her views and ask questions.
SUBCONTRACTS
What is a subcontract agreement? https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR3%20R86%20thru%20RR121%202013.pdf Pg. 111
How is a subcontract agreement documented? https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR3%20R86%20thru%20RR121%202013.pdf Pg. 111 & 112
What is my role? https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR3%20R86%20thru%20RR121%202013.pdf Pg. 112
Where do I check bidder prequalification's? https://partner.ncdot.gov/VendorDirectory/default.html
Where do I check DBE certification? https://partner.ncdot.gov/VendorDirectory/default.html
Form SAF Rev. 2A Rev. 5-2012
Contract No.:
WBS Element: County:
APPROVAL IS REQUESTED TO SUBLET THE FOLLOWING ITEMS OF WORK ON THIS PROJECT TO:
Retainage Certification
Subcontractor Name and Address
Retainage Certification
2nd Tier-1 Subcontractor Name and Address
Line Code
NumberItem Description
Portion
(●)
Partial
(♦)
Sub
or
2nd Tier
Quantity UOMCP
*
DBE/MBE/WBE
Unit Price
DBE/MBE/WBE
Sublet Amount
Subcontract
Unit Price
Total Subcontract
Amount
Indicates a Portion of Work (●) Indicates a Partial Item ( ♦ ) DBE/MBE/WBE Amount Subcontract Amt.
SUBCONTRACT CERTIFICATION (applies only to Federal projects)
The Contractor / Subcontractor certifies that the subcontract is in writing and that FHWA 1273, "Required Contract Provisions," have been included
in the subcontract / 2nd tier subcontract in its entirety.
Contractor: APPROVED:
Signature: Date
Title: Resident Engineer Date
Subcontractor:
Signature: Date
Title:
2nd
Tier
Subcontractor
:Signature: Date
Title:
Approved with the understanding that the Contractor will be responsible for the
satisfactory performance and completion of the work in compliance with the
terms of the contract and that all payments will be made to the Contractor.
Reporting No.
SUBCONTRACT APPROVAL FORM
Reporting No.
Subcontract Request Number:F.A. No.:
T.I.P. No.:
SUBCONTRACTS
The SAF shows work committed to a subcontractor
Does the Contractor have to use the subcontractors shown if they are not DBE?
Where are committed DBE’s listed and what do you mean by committed? • Material Suppliers
• Manufacturers
• 2nd tier subcontracting
• Trucking
What if the SAF DBE % is > the goal
SUBCONTRACTS
• Who needs originals? https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR3%20R86%20th
ru%20RR121%202013.pdf Pg. 113
• Who needs copies?
• Why?
• What percentage of the subcontracted work can the
prime assist on? https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR3%20R
86%20thru%20RR121%202013.pdf Pg. 115
DBE PROGRAM
Goals
MBE/WBE v. DBE
DBE participation that exceeds the goal
Check certified DBE
https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR3%20R86%20thru%20RR121%202013.pdf Pg. 116
DBE REPLACEMENT
DBE’s may be replaced for performance related issues, not for Contractor convenience.
Prime Contractor should attempt to replace DBE with another DBE.
Good Faith Effort
Prime Contractor should make efforts to recoup any lost participation due to replacement elsewhere on the project.
http://www.ncdot.org/doh/operations/dp_chief_eng/constructionunit/formsmanuals/rf-1.pdf
DBE TRACKING
Participation recorded on DBE-IS form and submitted with each request for payment.
Non-committed DBE participation should be recorded.
If no work was performed by DBE’s during a monthly period, the DBE-IS Form should still be submitted indicating “None” or “0”.
http://www.ncdot.org/doh/forms/files/DBE-IS.xls
SUPPLEMENTAL AGREEMENTS
When is a SA needed?
When can SA work begin?
How are prices developed?
Contractor
Contract administrator
How do I document the need for a SA?
Who approves SA work?
https://connect.ncdot.gov/projects/construction/Construction%20Manual/Constructional%20Manual%20Records%20and%20Reports%20R122%20thru%20R244%202012.pdf pg. 123
SUPPLEMENTAL AGREEMENT WORKFLOW
Gather information
Meet with Contractor to negotiate
Prepare the SA & print all information and
attach to file copy of SA
Make Sure NCDOT is involved
Someone identifies
an issue not
covered in the
contract document.
The Contractor
notifies the
Agency/Rep prior to
performing the work,
that there is extra work
involved
The Agency/Rep
investigates
and…
HOW?
Agrees that there is
additional
compensation due,
requests a price and
begins investigating
the costs
Notifies the Contractor in
writing that they disagree about
this being compensable. Also
advises the contractor to
proceed in accordance with
104-8 if they still think
additional compensation is due
The contractor files
notice of intent
Agency,
Contractor
and NCDOT
negotiate
costs
SA is executed
FA notice
issued
Work performed
Agency/Rep notifies
NCDOT
NCDOT
investigates and
responds to
Agency/Rep
Contractor files
notice of intent and
files claim upon
completion
NCDOT and Agency
notifies Contractor that
this is compensable
Contractor
reconsiders
and agrees
with
Agency/Rep
DIARIES
Why is documentation important? Pg. 78
What do I document? Pg. 57 - 60
What does it take to make a project diary? Pg. 76
Operations
Separating equipment per operation
Inspection details
Conversations
https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR2%20R33%20thru%20R85%202013.pdf Pg. 57 - 85
INSPECTORS DAILY REPORT
INSPECTORS DAILY REPORT
INSPECTORS DAILY REPORT
PROJECT DIARY
Project Inspector to Complete
Collect and Review Daily
Reports
Signature and Initials
Complete Daily Summary of
delays and disputed work
PROJECT DIARY
DIARIES – HINTS FOR GOOD DAILY REPORTING
Begin working on your diary early in the day
Capture personnel and equipment as it arrives
Record information directly on your form, not on a “scratch” sheet.
Use the “inspection details” sections of the Construction Manual
Actually measure, test and touch work items and record those results
Refrain from “observed”, “witnessed” and other non-action words and replace them with “probed and the rod embedded 6” etc.
CERTIFIED PAYROLLS
When is one required? Weekly submissions by Prime Contractor required for all Federal-Aid contracts
What should be on the payroll? Employees Name, Address, Employee ID #, Classification, Hourly Wages Paid, Hours Worked, Deductions made and Actual Wages Paid.
What is my role when a payroll is submitted? Compare to Daily Inspection Reports for reasonable accuracy.
What if a payroll shows a discrepancy?
Write letter to Contractor asking for explanation
https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%2001%20
General%20Requirements%202013.pdf Pg. 50 - 56
CERTIFIED PAYROLL
WAGE RATE INTERVIEWS
Minimum of one interview required per calendar quarter.
Must conduct at least one interview with Prime Contractor and all Subcontractors utilized throughout the life of the project.
Compare Interview with Certified Payrolls to ensure consistency.
WAGE RATE INTERVIEWS
Contract Number: ___________
Division and County: ________________
Prime or Subcontractor: _______________________
Company Name: __________________
North Carolina Department of Transportation
Subject: Interview of Wages and Hours
First and Last Name: ________________________________________________
Street Address ________________________________________
City: _______________________________ State _____________________
Zip Code: _______________________
Telephone Number: ___________________________________
Name of Company your employer: _____________________________
How long have you worked for this company? ____________________________
Date you were hired? __________________________________________
Job Classification ______________________________________
Hourly Wage _____________________________
Are you paid by check or paid in cash? _________________________
Are taxes deducted from your pay? ________________________
Who pays you? _______________________________________________
Do you work more than 40 hours per week? ___________________
Do you receive over-time pay for working more than 40 hours? __________
Who is your supervisor? _______________________________________
https://connect.ncdot.gov/projects/construction/Construction%20Manual/Constr
uction
%20Manual%2001%20General%20Requirements%202013.pdf Pg. 62
How many hours did you work last week? _________________________
My employer has my permission to review this information. ____________
Signature: ______________________________________________
Date: ___________________________________________________
Interviewer : __________________________________ Dat:e ___________________
Interviewer evaluation:
Are certified payrolls required for this project? _______________________
*Exempt projects are those located on a roadway classified as a local road or rural minor collector. If this
is an exempt project, do not complete the remainder of this form.
Is the employee properly classified for work performed? ________________
Is this classification included in the contract? __________________________
What is the wage rate required by the contract? ________________________
Does the certified payroll information submitted by contractor agree with the information provided by the
employee interviewed? _________________
Does it agree with the contract wage requirements? _________________
List the week ending of the payroll checked: _________________________
Name of the payroll checker: _________________________________________
SOURCE DOCUMENTATION
There will be a source document for each pay item included in a contract.
All entries pertaining to pay items should be originally entered in a bound book (pay record book), ticket book, or on a specified form.
Entries should be made when measurements are taken and not copied from scratch notes to a bound book at a later date.
There should be no erasures.
PAY RECORD BOOKS
All entries & computation are to include sufficient detail so they can be identified, checked, and verified by others.
The date & initials of the individual making an entry should be shown for each entry. Entries are made on the date work was performed so it can be cross-referenced with the diary.
Index of pay items & numbered pages required.
All computations will be checked & initialed.
PAY RECORD BOOKS
A list of names & initials of each individual who enters information or initials entries should be placed in the front of each book.
A “REMARKS” section should be used to provide additional information for the entry.
Each page should have a “Page Total”.
Each line item should have a “Project Total”.
Document when a line item isn’t used.
PAY RECORD BOOKS
If a spreadsheet is being used, changes should be tracked and not just deleted / corrected. Save both spreadsheets so changes are easily identifiable OR note changes in the spreadsheet.
Significant figures are critical. –Ex. Clearing & Grubbing has a $40,000 Unit Price for 0.5 acres. 0.15 ac C&G = $6,000. If rounded to 0.2 ac, you would pay $8,000. Difference = $2,000
PD Pay App #4 2,840 1/4/18 JBM
PD Pay App #3 186.5 12/1/07 JBM
Someone other than inspector
should be checking
TICKET BOOKS
Used when material is to be paid for on a weight basis.
Scales are to be certified by NC Dept. of Ag.
Scales must be operated by a NC Public Weighmaster & a certified weight certificate must be issued in the form of a ticket.
Tickets for each day should be bound separately with the total for the day shown on the front cover for each line item.
TICKET BOOKS
Upon receipt, inspector should make sure the ticket is legible and the following information has been listed on the ticket:
Project number, the date & time the ticket is issued, the type of material, the gross weight of the vehicle, the tare weight of the vehicle, the net weight of the material, the location of the quarry / plant, the name of the Contractor, the stamp or number of the weighmaster, and the signature or initials of the public weighmaster in ink.
TICKET BOOKS
MATERIALS RECEIVED REPORTS
What Items Are Received?
The Material Received Report (MRR) (M&T Form 251) should be completed when any material received on the project is to be incorporated into the construction on a temporary or permanent basis.
Exceptions- Material items that are delivered and accompanied by a ticket with a Weigh Master stamp, such as Quarried Materials and Asphalt. These tickets will be placed in a Ticket Book as the source documentation for the product
Most material items that are delivered to the project will be accompanied by a Bill of Lading, Invoice, or a Packing Slip. This documentation should clearly identify the item as well as the quantity that was received.
Make sure to place certifications, tags, identification numbers to MRR.
Filling Out A Material Received Report
Common Errors
MATERIALS RECEIVED
Contractors will need to furnish a material certification for certain materials items that are incorporated into the project.
These type of material certifications can be found in Section 106-3 of the Standard Specifications for Roads and Structures.
106-3 CONTRACTOR FURNISHED CERTIFICATION The Contractor shall furnish the Department material certifications obtained from the producer, supplier, or an approved independent testing laboratory for the following types of materials, unless otherwise directed by the Engineer. (A) Materials required to meet criteria documented by tests that are normally performed during the production process. (B) Materials that are required to meet specifications other than those published by AASHTO, ASTM, or the Division of Highways. (C) Materials produced at locations that are not within routine travel distance for Department representatives. (D) Materials required to meet criteria documented by tests involving special equipment not readily available to Department representatives. (E) Any other special material when so directed by the Engineer. (F) Material certifications of one of the following types shall be furnished for pre-tested materials. The specific type of material certification for each material shall be in accordance with the schedule maintained by the Materials and Tests Unit. Copies of this schedule may be obtained from the Materials and Tests Unit
MATERIALS RECEIVED
The following Link will help you to determine
the type of certification that may be required.
http://www.ncdot.org/doh/operations/dp_chief_
eng/constructionunit/formsmanuals/constructio
n/Div10.pdf
MATERIALS SAMPLING AND TESTING
All sampling and testing on site should be done by a NCDOT Certified
Technician
Documentation of all test results/information must be recorded on
approved forms (i.e. 903s, 250s, 913s, quantity tickets, daily reports, etc.)
Any precast or prestressed concrete items must be approved/stamped by
NCDOT Materials and Tests Unit
All consultant documentation must be turned over to NCDOT at project
completion
Follow the Minimum Sampling Guide
MATERIALS AND TESTS WEBPAGE
Minimum Sampling Guide https://apps.dot.state.nc.us/vendor/approvedproducts/MinimumSamplingGuide.aspx
Materials And Test Approved Resources Website https://apps.dot.state.nc.us/vendor/approvedproducts/Default.aspx
Qualified Products List https://apps.ncdot.gov/Products/QPL/
NCDOT Std Specifications for Roads and Structures https://connect.ncdot.gov/resources/Specifications/Specification%20Resour
ces/2012%20Standard%20Specifications.pdf
INDEPENDENT ASSURANCE TESTING
Required by FHWA
Performed by Materials and Tests Unit or their representative
See minimum sampling guide for materials which require IA testing
Prior to construction contact Area Materials Engineer for assistance
PAY ESTIMATES
PARTIAL PAY ESTIMATES
Scheduling the Monthly Estimate
Monthly end dates
Dollar Value
Quantities are checked
Special estimates
https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR4%20R122%20thru%20R246%202013.pdf Pg. 188
FINAL INSPECTION
A final inspection is scheduled
Who attends?
Who accepts the project?
Who notifies the Contractor of the completion of recommendations and final acceptance?
When should the final be scheduled?
What are common punch list items?
When is the project accepted?
https://connect.ncdot.gov/projects/construction/Construction%20Manual/Construction%20Manual%20RR2%20R33%20thru%20R85%202013.pdf Pg. 42 - 46
CLAIMS
CLAIMS
Typically initiated by the Contractor seeking additional compensation or contract time.
Contractor claims for additional compensation must be made in accordance with Article 104-8(B) for consideration.
Contractor claims for additional contract time must be made in accordance with Article 108-10(B)3 or 108-10(B)4.
PROCESS FOR CLAIM RESOLUTION
Agency should notify NCDOT engineer to discuss claim issues once identified.
Contractor submits claim on Contractor Claim Submittal Form(Form CCSF).
Municipality reviews claim and makes recommendation on Claim Resolution Forms(ACRF-2 ARRA).
Agency along with NCDOT will process and make final recommendation.
Agency will notify the contractor of decision.
IMPORTANT ITEMS TO CONSIDER
It is the contractor’s responsibility to document his claim thoroughly and provide justification for his request.
When reviewing a claim, your project diaries and other records must support your recommendation.
Time considerations are only made if there is a legitimate delay to the controlling operation on the project that is outside the contractor’s control.
MORE IMPORTANT THING TO CONSIDER
The Municipality may not grant time, additional compensation, or waive liquidated damages without following established procedures.
Awarding additional contract time and or waiving LD’s without justification creates an unfair bid advantage to the contractor and is the same as giving them money.
Risk forfeiture of FHWA funding for not following procedures.
BUY AMERICA
When does “Buy America” apply?
Blanket certification
I have a blanket certification so why should I review materials as they arrive?
What is unique about fasteners?
What if a portion of an item is foreign steel and the rest is American steel?
https://connect.ncdot.gov/resources/Specifications/Specification%20Resources/2012%20Standard
%20Specifications.pdf Pg. 1-49
FINAL ESTIMATE
All source documents used for payment, pay adjustments, and the As-built Plans submitted for checking.
The Agency will perform a 100% check of every calculation of quantities.
The Agency will advise the Owner of any changes that are required prior to payment of the Final Estimate. NCDOT should also be advised of the final quantities and be in agreement of payment.
AS BUILT PLANS
A set of plans should be designated for recording construction changes and completion of items of work.
Plan changes should be kept up to date & the information can be transferred to a “clean set” to be submitted with Final Estimate.
Examples: actual pipe lengths, additional drainage structures, actual pile lengths, actual tip elevation for drilled shafts, final footing dimensions, etc.
REIMBURSEMENT
Source Documents for Payment
Partial Payments (Monthly Estimates)
Final Estimate
As-built Plans
PROJECT VISITS/ REVIEWS
Resident Engineer / Project Manager Review
Spot Check of Project Requirements Attend Monthly Construction Meetings
Progress Schedule
Claim Issues
Review Erosion Control Measures
Documentation Review Pay Record Books Daily Inspection Reports (Diaries)
DBE Utilization
Technician Certifications are Active
Materials Received
Minimum Sampling
Is project being constructed in a reasonable method
PITFALLS
Technicians performing tests did not have proper certifications Just because Engineering Firm is on Approved list does not mean individual technicians are qualified (certified)
4yr. College Degree, FE (EIT) or PE does not qualify
NCDOT certifications required
Pay Record Books were not used, only Diaries Need to have a traceable system
Had to find quantities in diaries to justify the payments Using Pay Record Books provides a single reference and avoids potential duplication of payment
Testing was not performed adequately
Supplemental Agreements executed without NCDOT/ FHWA concurrence
Just because Engineering Firm is on prequalified list, doesn’t mean inspection staff is certified.
No Records (Pay Record Books or a reasonable method to justify payment) resulted in loss of Federal and State participation
MOST IMPORTANT RULE OF THUMB
Documentation Requirements -
Make sure you know what is required to be kept and documented for the project (be familiar with your Municipal Agreement, the NCDOT Construction Manual, NCDOT M&T’s Minimum Sampling Guide, NCDOT’s Local Programs Manual, etc.)
FHWA Authorization Date -
Any work that’s done before FHWA’s Project Authorization has been signed is ineligible for reimbursement
Make sure you have a Notice To Proceed letter from NCDOT before beginning work
MORE IMPORTANT RULES
LPA must invoice NCDOT at least once every six (6) months to keep the project active
The FHWA Final Voucher date starts your records retention period
NCDOT will notify the LPA of the FHWA Final Voucher date beginning the records retention period
Records are to be kept for three (3) years after the FHWA Final Voucher date
After the three (3) year retention period is met, the LPA may destroy the records
MICKLEY ROAD
LINCOLNTON RAIL TRAIL
CONOVER STATION
?
CONTACTS
Ritchie Hearne, Division 10
(704) 983-4422
Jackie McSwain, Division 12
(704) 480-9027