Part D - Field and Office Practices

Section D1.00 - Project Records

D1.01 - General

Adequate records are of the utmost importance for all projects. Records are necessary for basic control of the Contract during construction, as well as to substantiate past directives, decisions, and controversial items or actions whenever a question concerning these may arise later. The records are valuable when debating a contractor’s claim, particularly when legal action is instituted. Records are not an unnecessary burden, but rather an integral part of a successfully constructed project. Memory cannot replace valid permanent records.

Records required for basic control of projects can be classified into three categories: preconstruction, progressive, and post construction. The following subsections list the records most frequently encountered and should prove helpful for record control. It should be noted, however, that not all types of records listed are always applicable. Instructions and explanations for each type of record are not included in these subsections. Instructions and explanations for the more significant records are described elsewhere in this Manual or Standard Specifications.

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D1.02 - Preconstruction Records

• Records supplied by the Department staff
  • Plans
  • Standard Specifications
  • Supplemental Specifications
  • Special Provisions
  • Executed Contract
  • Cross Sections
  • Bid price tabulation
  • Plan Comment Matrices
  • ROW Status & Agreements
  • Utility Statement
  • As-builts
• Records developed or obtained in the field
  • Notes from guard stakes
  • Benchmarks
  • Engineering checklist
  • Book of names, addresses, telephone numbers, and other contact information for both Department and Contractor personnel
  • Photographs (particularly for right-of-way and similar problems) and videotapes that record the field conditions before construction begins
  • Any other information required for project administration
• Records supplied by Contractor
  • Original CPM Schedule
  • Sub-contractor List & agreements
  • Source of Supply
  • Disposal Sites
  • Proposed storage/lay-down areas outside of LOC

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D1.03 - Progressive Records

• Procedural Documents
  • Letters: Award, Approved Subcontractors, Schedule of Work, Approved Sources of Materials, Minutes of Preconstruction Meeting, Notice to Proceed (NTP), First Chargeable Day of work, instructions to the Contractor, temporary suspensions, Extra Work (price agreements), inspections, and other relevant correspondence
  • Working Day records
  • Weekly Reports
  • Change Orders
  • Schedule updates and reports
  • Photographs and videotapes of work completed or in progress (such as piles in place)
  • Any other information that pertains to administrative aspects of the work
• Shop Drawings
  • Permanent construction
  • Temporary construction (falsework, formwork, etc.)
• Contractor Schedules
  • 2 week schedules
  • CPM schedules
• Material records
  • Tickets
  • Quantity control (for example, hot-mix by weight)
  • Quality control (for example, central mixed concrete)
  • Materials delivery records
  • Materials and Research information such as soil density, soil analysis, materials analysis, subgrade pretests, cylinder and core records, and hot- mix production
  • Materials used in field with or without Materials and Research inspection
  • Test pile and bearing pile records
  • Material safety data sheets (MSDS)
  • Mill test reports
• Safety Records
  • DelDOT MOT Inspection Reports
  • OSHA inspection reports
• Inspection Documentation
  • Construction Diary
  • Inspector’s Daily Reports
• Pay Item measurements
  • Source documents
  • Cumulative Record Book
  • Estimate Books
  • Pay Ticket

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D1.04 - Post Construction Records

All documentation shall be printed and kept at the Construction Group Office. If a project is of significant size/complexity and a field office is provided the files may be kept in the field office in a fireproof cabinet. This may be done at the discretion of the Group Engineer. Electronic based files shall be stored on the Department network in the appropriate Construction Group Construction folder and shall be as consistent in its contents as hard copy files.

• All of the records listed below may come in printed or electronic format:
  • As-built plans
  • Utility relocation records/as-builts (if applicable)
  • Semi-final & Final inspection records
  • Final acceptance documents
  • Warranties and Guaranties
  • Close out documentation

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Section D2.00 - Filing Practices

D2.01 - General

Record keeping is an essential part of the responsibilities of the Construction personnel. In order to keep good usable records, the records must be easy to find when they are needed. This requires good filing practice and good office procedures. Due to variations in the type and size of projects, no one suggested procedure would exactly fit them all. The information provided in this section should help Construction personnel to keep a neat, orderly office file.

In addition, no matter what the size or type of Project, there are certain record-keeping and filing techniques that the personnel should consider using. One such technique is known as double filing. Double filing is the practice of filing copies of the same document in two different locations to make it easier to find the information later and to keep important information together. For example, project correspondence is typically kept in a chronological file that covers the entire project. Correspondence that deals with a change order item can also be found in the change order file. This way, if someone needs to find information about a specific change order, he or she can look in the change order file instead of sorting through other portions of files.

All files shall be kept in reverse chronological order in each section with the newest documents filed towards the front and oldest files towards the back. Additionally, keeping electronic back up of project files further assists in ease of locating and distributing records. Electronic files should be kept up to date in the same order as hard copy files.

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D2.02 - General Instructions for File Drawers

The permanent Contract files shall be stored in a metal file cabinet supplied by the Construction Group at the Construction Group office. If a contract of significant size/complexity has a field office permanent files may be stored in fireproof cabinets in the field office at the discretion of the Group Engineer.

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D2.03 - File Categories

The following outlines are to be used in setting up titles for filing pockets and file folders. It should be noted that information given in parentheses is intended as comments for construction personnel and is not to be included in the file labels. The outlines are meant as recommended filing system. Two filing systems are shown, one for Simple Projects and another for Complex Projects. Construction personnel should asses what their filing needs are for each project and make modifications accordingly.

• 

  Filing System Simple Project
• 

  Filing System Complex Project

Letter naming convention illustrated above is for use on electronic files stored on the Department network.

Official correspondence generated by Construction staff for a Contract shall include labeling indicating the appropriate file folder the correspondence is to be incorporated into. Changes to the above filing system shall be approved by the Area Engineer prior to implementation. Official correspondence or documentation received by Construction personnel from other sections or the Contractor shall be stamped, dated, and labeled upon receipt for appropriate filing. The Area Engineer or Project Supervisor should be consulted for clarification on where items are to be filed if there are questions. A hard copy of all electronic documents saved on the Department network shall be included in printed permanent files. Relevant or important emails should also be saved in electronic files and printed for hard copy files as well.

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D2.04 - Permanent Files

During the course of a project files should be kept up to date with the latest correspondence/documents as it is generated and received. Multiple staff including office and field personnel will be adding documentation to files. This includes contractor and Department correspondence, test reports, materials tickets, as well as the project Diary Books, Quantity Books, and Estimate Books. As such it should be determined at the start of a new project where the permanent project files will be stored. In general all project files should be kept and updated at the district office. All personnel shall provide original documentation received to the office administrative specialist for filing upon receipt. All documentation shall be stamped on the date received distributed and filed in its appropriate location immediately.

When construction starts if the project is of sufficient size and staffing the files may be stored and updated at the field office at the discretion of the Group Engineer. Files stored at the project field office shall be kept in a fire proof filing cabinet of sufficient size to hold all files associated with the project. The project resident will be responsible for keeping the files updated. When projects files are stored at the field office all personnel generating or receiving documentation relating to the project shall forward hardcopies, to the project resident for filing.

It is understood that a member of the field staff may have the Diary Books, Quantity Books, and Estimate Books in their possession as a project undergoes construction. During this time field personnel who possess these books must keep them safe and complete throughout the project. It is recommend that at the end of each day work day the books are stored with the permanent files to ensure they are available in case the field staff member becomes absent.

In lieu of returning to the office regularly to look at documentation field personnel may elect to keep copies of documentation with them while in the field. All personnel must ensure that the designated permanent files remain complete and together. Original copies of documentation should not be removed from the files unless they are to be immediately returned. Copies may be made for use in temporary files if necessary.

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D2.05 - Archiving

Upon completion of a project, final acceptance and close-out all the files shall be archived. Documents will be sorted in boxes as described by the retention schedule provided by the Delaware Public archives. A link to the retention schedule is provided below. All documents shall be free of staples, paperclips, and binding. Only paper will be placed in the boxes. For additional information see: http://archives.delaware.gov/govsvcs/pdfs/AgencySpecific/DelDOT_ret_20160322.pdf

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Section D3.00 - Written Correspondence

D3.01 - General

Written correspondence serves the purpose of providing information, direction, and documentation concerning the occurrences on a project. This may pertain to standard business task such as notifications for a scheduled meeting or special circumstances such as a project shut-down due to non-compliance issues. When preparing correspondence the author must ensure that it is written in a manner that is professional and addresses the subject matter objectively, accurately, and clearly while upholding the Department’s requirements and priorities. Authors should not use vulgar language or make disparaging remarks in written correspondence as all forms of communication from Department personnel may be subject use or revelation in the future due to litigation or Freedom of Information Act (FOIA) requests.

Authors should first determine whether or not their communications need to be sent in a formal matter. Informal communication may be sent via e-mail, text messaging, or other available media. These methods may be used for simple communication where the subject or consequences of the discussion are not yet serious and may not need to be recorded in the permanent project files. They may also be used for an immediate communication that will be followed up by formal documentation. Formal communications shall be sent on Department letterhead and shall be generated and distributed by authorized personnel only. All formal written communications are to be recorded in the project files. Keep in mind written correspondence may be sent and received in hardcopy or electronic formats. At a minimum written correspondence is to be sent electronically to the recipient from Construction personnel. Hardcopies may be sent upon request. Refer to the DelDOT Communication and Protocol Manual (on the DelDOT Intranet) for details on the presentation and appearance of written communications. Template letters are available in the Standard Forms. Templates are meant to be used as a guide for typical situations that require official correspondence be sent out. The author of correspondence should tailor their letter to fit any unique details pertaining to their specific project.

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D3.02 - Contractor Correspondence

At the preconstruction meeting it should be established who will be responsible for correspondence for a particular project. For matters related to a project the Contractor shall address formal correspondence to the Group Engineer. The Area Engineer and Project Supervisor shall be copied on the correspondence. In general the Area Engineer will issue formal correspondence to the Contractor on behalf of the Group Engineer. The Area Engineer shall copy the Group Engineer on all formal correspondence issued. As necessary other parties may be copied on the correspondence.

When responding to or issuing correspondence to the Contractor the author shall clearly designate which contract the correspondence is in reference to. Depending on the subject direct references should be made to the contract plans, specifications, or other documents for clarity. Any position taken by the author on behalf of the Department should be based on and supported by the Contract documents.

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D3.03 - Request for Information

When a conflict exists in the field or the Contractor has a question related to the interpretation of the Contract document they may make a formal written Request for Information or RFI. When an RFI is issued it is the responsibility of the Area Engineer to respond directly to the inquiry or to forward the inquiry to the appropriate party such as the Engineer of Record or Department subject matter expert for a response. Once the response has been determined the Area Engineer is to reply to the Contractor’s RFI. RFI’s are to be submitted on the standard RFI form.

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Section D4.00 - Meetings

D4.01 - General

Meetings are an important tool in the effective management of a project. They help set the pace and direction of work for all parties involved. They provide an opportunity to ask questions, address current or future issues, and ensure mutual understanding of the path forward for all parties. Meetings can be held in the office or in the field depending on the circumstances or topics of discussion. The Department personnel responsible for conducting the meeting should determine which setting best suits the purpose of addressing the issues to be discussed.

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D4.02 - Types of Meetings

Meetings can be held at the discretion or request of any and all parties involved on a contract. The Department however shall require that the following meetings take place as a part of every contract.

• Preconstruction Meeting (Contract Start Up) – After award of the Contract and prior to a Notice to Proceed the Department shall hold a Preconstruction Meeting. A representative from the Contractor, preferably the project manager and super-intendent, shall be present for the meeting. All members of the Department with direct or indirect involvement on the project shall also be attendance including the Area Engineer, project supervisor, and design engineer. Any other stakeholders for the project including FHWA, DNREC, and utility company shall be invited to the meeting. During this meeting the Department shall review details of the contract in description of the project, protocols for communication during work, schedules, and any special topics relating to the project. The Contractor is expected to provide their initial submissions at this meeting including the initial schedule or CPM documents, temporary traffic control device compliance submissions, emergency contact information, and source of materials to be supplied on the project. Below is template to serve as an agenda and meeting minutes for Preconstruction Meetings. See Section C4.00 for additional information and Standard Forms for State Preconstruction Meeting Minutes Template and Federal Preconstruction Meeting Minutes Template. Note official correspondence from the Department will be sent on DelDOT letterhead.
• Progress Meetings - Once a project has started regular progress meetings shall be held to monitor the status of progress. Discussions at the meeting shall include the status of the project estimate payments, change orders, CPM/work schedule updates, labor, sub-contracting, DBE goals, requests for information, and maintenance of traffic. These meetings should be used as an opportunity to plan ahead for future issues or attempt to resolve current conflicts that may have arisen in the time leading up to the meeting. In general the meeting is run by the project supervisor or designee. The Area Engineer/Manager, the Contractor's project manager, and/or superintendent shall be in attendance. Other stakeholders may attend these meetings as well.
• Construction Advisory Group Meetings - Construction Advisory Group (CAG) meetings may be held on projects that are determined to have a significant impact on the local public. These meetings are held for the benefit of keeping the local community informed about the current progress of the project and upcoming work. Through the CAG meeting the public can be given advanced notice of changes or disruptions to traffic patterns as a result of the project. The public may also share issues or concerns with the project staff that may need to be addressed. The project supervisor shall be present for these meeting along with a staff member from the Department's Community Relations section. The Contractor's project manager may need to be in attendance as determined by the Department.
• Preconstruction Meeting (Field Activity) - Prior to the start of major or specialized field activities a preconstruction meeting shall be held for the specific work activity. The activities requiring preconstruction meetings are listed below.
  • Erosion & Sediment Control
  • Paving
  • Pile driving or deep foundation construction
  • Concrete placement
  • Mass concrete pours
  • Bridge deck pours
  • Major traffic shifts
  • Utility Tie-ins
  • Specialized work activities

These meetings are generally held in the field with the Project Supervisor, inspectors, and foreman of the aforementioned work activities. They should be held in advance of the start of work to ensure proper time to address any concerns brought up during the meeting. The standard specifications and procedures for performing the work should be reviewed with the Contractor. Common issues that may arise should also be discussed. For specialty work that may have required submissions to be reviewed by an engineer the Engineer of Record shall be invited to the meeting. Plans and any shop drawing submissions or special provisions should also be reviewed at the meeting to ensure adherence during construction.

• Semi-final & Final Inspection Meeting - Upon substantial completion of the project a Semi-final inspection will be held. The Department and Contractor shall go into the field and review the project for completeness and identify and deficiencies that need to be addressed prior to final inspection. A punch-list shall be generated noting all items that need to be addressed by the Contractor prior to Final Inspection. Upon completion of the punch-list items a Final Inspection meeting shall be held to ensure completion and that all deficiencies have been addressed. Reference to Section C18.00 for additional information.

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D4.03 - Preparing & Conducting Meetings

Once a determination has been made that a meeting will be held the Department personnel responsible for the meeting should start by issuing notice to all parties whose presence is required at the meeting. For official Department meetings such as Preconstruction or Semi-final Inspection a meeting notification shall be sent out on Department letterhead. The notice shall be addressed to the Contractor and all parties that need to be in attendance shall be carbon copied. For other less formal meetings requests and notification may be handled via e-mail or verbally.

After notice has been issued an agenda should be prepared. All topics that need to be discussed should be organized and arranged in a logical manner. The agenda may be distributed to all the attendees prior to the meeting to allow for the addition of other topics or to ensure preparation to discuss the items listed at the meeting.

During the meeting the Department personnel responsible for the meeting shall ensure the discussion is recorded. Minor meetings may be summarized in an email issued immediately after the meeting. Official meetings shall have minutes prepared. Notes shall be taken during the meeting to ensure the minutes accurately reflect the discussions held. This may be done by the Department personnel responsible for the project or designated to other personnel such as an administrative specialist. If it is anticipated that the discussion at the meeting is of major significance a stenographer or audio recorder may need to be present at the meeting to ensure accurate notes are kept. A sign-in sheet should also be distributed during to the meeting to record attendance. The discussion should stay in line with the agenda to ensure all topics are covered. Additional topics may be added as the discussion requires.

Upon completion of any meeting a summary or minutes to the meeting should be prepared immediately. Immediate preparation of the minutes allows for personnel preparing them to include as much detail as possible while all the information is still fresh in their mind. Minutes should include detailed accounts of the discussion including what comments were made by which individuals in attendance. This is very important as disputes later on in the project may need to be traced back to a meeting and specific comments made. The minutes or summary shall be sent to all attendees for concurrence on the accuracy. Should any comments or corrections be recommended by attendees after issuance of the minutes or summary they shall be changed accordingly, recorded, and filed for future reference.

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Section D5.00 - Construction Inspection

D5.01 - General

A group of inspectors, headed by a Resident Engineer/Project Supervisor, is assigned to each Department project to administer it. [105.02] Administration of the Project includes inspection of the Contractor’s work, preparation of daily reports of all Project activities, measurement and calculation of installed quantities, and rejection of materials and suspension of work, if necessary, until Specification compliance issues are resolved.

The inspection of the Work will consume the bulk of the Inspector’s time. Inspectors must have a thorough knowledge of the Plans and maintain close contact with the Work in order to achieve their goals for the best possible project with the least possible inconvenience to the general public, utilities, and local industry. In order to accomplish these goals, the Inspectors must exercise what is known as “construction control.” Construction control means using a combination of experience, training, judgment, and common sense in inspecting the project. These factors, in order to be effective, must be applied continuously and consistently from the beginning of the project to the end. The purpose is the translation of the Contract into a completed, effective highway facility.

The Contractor will establish a Schedule of Work that will indicate how and when it plans to take the necessary steps and advance the various stages to complete the Project, depending on its ability, work force, and equipment. The means and methods of construction that the Contractor elects to use, providing they do not violate the Plans, Specifications, other Contract provisions, and the various local codes and safety statutes, are the Contractor’s prerogative. The responsibility for successfully completing the highway facility according to the Plans and Specifications is a joint effort of both the Department inspection force and the Contractor. To get the highest quality work possible, Inspectors and the Contractor must work together and aim for a single common goal. In addition to inspecting on-going construction activities, the Inspector must plan for upcoming construction activities. The Contractor and the Inspectors must discuss and agree on the work planned and the methods to be used for upcoming stages of construction so that both know what work will be done and what methods will be used to accomplish the work. The Inspector should not wait to see what the Contractor is going to do next and how it is going to be done before telling the Contractor that its plan is unacceptable. Working in this manner does not fulfill the Inspector’s responsibilities to the State and does not advance the Project in a sound manner.

The Resident Engineer/Project Supervisor must be careful to exercise a very delicate degree of supervision, particularly with respect to the manner in which the work is to be performed. There is a very definite area of Contractor responsibility, and as long as the Contract is being followed, the Resident Engineer/Project Supervisor should not reject the Contractor‘s planned means and methods unless they are clearly unsound or unsafe. By rejecting the Contractor’s means or methods, the Resident Engineer/Project Supervisor will be assuming a greater responsibility for the work than the Contract intends. By interfering with the Contractor’s means and methods, the Resident Engineer/Project Supervisor may become legally liable for the work. See the Inspector's Reference Manual for additional helpful information.

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D5.02 - Inspection Equipment

Each construction inspector assigned to a project should have at his/hers disposal sufficient measuring and inspection equipment to allow proper inspection and measurement on the work site. The following is a list of the minimum inspection each inspector should have with him/her on the job site:

• Measuring Tape(s) – A 25 foot (minimum) retractable tape for general measurements.
• Measuring Folding Ruler - A 6 foot folding ruler for general measurements.
• Engineer Scale Ruler(s) - NEVER measure from a set of plans with a scale to determine location. Contact the designer or the Resident Engineer/Project Supervisor for the proper location. However, when creating the red-line as-built plan, the scale will allow the inspector to place changes properly on the plan sheet. A scale will also allow a rough measurement to determine is further, more detailed measurements are required.
• 100 Foot Measuring Tape(s) - A steel tape is the most accurate measuring hand tool. For use where a shorter tape is not long enough to measure a distance in one measurement. It is also used to measure longer distances across uneven routes or for a longer radius. (See table T-1 or T-1M for temperature correction values per foot).
• Measuring Wheel – For measuring longer distances along a fixed, even route.
• Level(s) - A level allows the transfer of grade or as a straight edge to measure deviations.
• Camera - A camera allows in progress documenting of conditions at the time.
• Light(s) - A flashlight allows inspection in low light conditions.
• Writing Supplies – An inspector should always have a way to document what is occurring around him/her at all times. Information from these notes will be transferred to the inspectors IDR for preservation. Notes should always contain who – what – where – when in as much detail as possible.
• Thermometer(s) - An ambient air thermometer for location specific weather reporting. A contact thermometer to measure hot mix. A non-contact IR thermometer is also useful for spot checking temperatures on in-place hot mix.

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D5.03 - Daily Diary/Reports

A Project Construction Diary is considered the official record of the daily events pertaining to a given project. The Diary must contain a complete record of all field activities for the project. It may be comprised of the daily reports of a single Project Supervisor/Inspector or be the compilation of the daily reports of multiple inspectors on a project. A Diary must be maintained for each project. The Project Supervisor is responsible for maintaining the Diary and may assign an inspector to make entries. The personnel designated to complete the Diary shall regularly collect daily reports from other inspectors and make entries of the daily activities in the Diary. The Diary shall be kept up to date throughout the life of the project. Please make reference to Section D6.02 for additional information on the Diary.

If multiple inspectors are on a project each inspector is required to complete an Inspector's Daily Report (IDR) form for each day they are assigned to work activities. The Inspector shall record all pertinent information concerning their assigned work activities and crews on their IDRs daily. Please make reference to Section D6.03 for additional information on IDRs.

Daily reporting also includes recording and calculating quantities for payment as well as collecting documentation of materials delivered to the project. Please make reference to Section D6.00 for additional details.

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D5.04 - Method Measurement & Payment

Work completed under the Contract will be measured by the Engineer according to the United States customary units (English units). An Inspector is an authorized representative of the Engineer. As such, any measurement taken must be as precise and reproducible as possible. All measurements shall reference the project baseline and positive or negative offset as a location. All measurements shall reference the beginning and the end of the item being measured as reference to the project baseline and positive or negative offset. All measurements and final item quantities shall be made to two (2) places after the decimal point. All measurements shall be made in the unit of measurement of the bid item. Should a conversion be required, (cubic feet to ton for example), the conversion shall be made only once, at the bottom of the source document. The conversion shall be the quantity for payment. The term “ton” means the short ton consisting of 2000 pounds. For items measured by linear foot, such as pipes, culverts, guardrails, underdrains, etc., take measurements parallel to the base or foundation upon which such structures are placed. For items that are less than a complete linear foot, take measurements using one tenth (1/10) of a foot increments, not in inches, unless otherwise instructed by the Engineer. Surface area payments shall be made in square foot or square yard measurements with calculations in two dimensions. Volume areas shall be made in cubic foot or cubic yard measurements with calculations in three dimensions. No deductions in any area measurement will be made for individual fixtures (such as manholes, utility poles, etc.) having an area of 9 square feet or less. When requested by the Contractor and approved by the Engineer in writing, material specified to be measured by the cubic yard may be weighed and such weights will be converted to volumes for payment purposes. Factors for conversion from weight measurement to volume measurement will be determined by the Engineer. The Engineer and the Contractor must mutually agree to use such conversions before using them. If no agreement can be reached, the material will be measured in place by volume. When a complete structure or structural unit (in effect, "lump sum" work) is specified as the unit of measurement, the unit will be construed to include all necessary fittings and accessories.

For more information regarding the authority and duties of the Engineer and the Inspector, see Section 105 of the DelDOT Standard Specifications.

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D5.05 - Construction Surveying and Layout

The purpose of this Section is to provide basic information pertaining to Surveying and Layout appropriate to construction field personnel.

This Section is not intended to replace a surveyor’s manual.** Material believed to be useful is included and should be used as a reference prior to starting, during, and after completing construction.

• Field Work and Staking - The “stake-out” is the work done by the Department to show the Contractor the exact location on the ground and to what dimensions the highway, its appurtenances, and structures are to be built. When there is not a Construction Engineering Pay Item in the Contract, stake-out is the responsibility of the Department. Staking responsibilities of the Department and the Contractor are clarified in Section 105.10 of the Standard Specifications.The stake-out work must be done carefully and accurately, as the Contractor is expected to base the location of its construction work on the Department stake-out. For this reason, the stake-out should be started well in advance of the beginning of the construction to avoid hurried work that may result in inaccuracies. The work in the field should be discussed with the Contractor’s representative. The staking procedures and markings should be carefully explained. If the Inspector has any doubt as to the Contractor’s understanding of the staking procedures and markings, a written explanation should be given to the Contractor. A written record leaves little doubt and may prove to be a valuable record in the event the work is not built to proper lines and grades as staked in the field.
• Staking Centerline - In staking out a project for grading, the first operation is to stake the Project centerline. The Department will locate and reference the centerline in all cases. Where the centerline of the Project is the same as the baseline of the location survey, the centerline may already be staked.
• Slope Stakes - Slope stakes, which are flat marker stakes, are to be set at the computed actual top (cut) and toe (fill) of the side slopes. The slope stakes will be used by the Contractor to determine where and to what extent excavation and embankment work should be done. This, in turn, will determine the final lines and grades of the finished roadway and all ditches.
• Staking Right-of-Way and Easement Lines - After the centerline has been staked, the right-of-way lines should be staked on both sides of the centerline. Hubs should be set at right angles or radially to the centerline at all locations where the right-of-way and easement change width. Marker hubs must be driven flush with the ground. At the same time, guard stakes must be driven, the station number must be marked on the back of the guard stake, and the distance from the centerline must be marked on the other side facing the center line of the roadway.
• Cross Sections for Roadway - All cross-sections are done by the Department. The original cross sections should indicate the elevations of the existing ground at the time of the survey. It is suggested that they be checked for accuracy prior to actual construction. If an unsatisfactory average variation is found, new “shots” should be requested and taken to be used in lieu of the Plan sections for computation of the excavation quantities. When rock is encountered, the rock area should be cross-sectioned as soon as the overburden has been removed. These sections should be taken at the stations where the original cross sections were taken. Any additional sections that will be needed to arrive at the correct volume should also be taken. After the rock has been excavated, and before any backfill is placed, final cross sections must be taken to show the true lower limits of rock for quantity calculations. While this information applies specifically to roadway excavation, the principles apply to all excavation, such as structure, channel, and muck excavation. Where Plan quantities are estimated, complete preconstruction cross sections must be taken for accurate quantity calculations.
• Cross Sections for Borrow - Places from which borrow is to be obtained must be cross sectioned before and after borrow excavation in order to compute the quantity of material excavated. Where the site for a borrow pit is not close enough to the roadway, an independent baseline should be established that passes through the approximate center of the borrow pit, and sufficient cross sections should be referred to this baseline. If the pit is likely to be very large, two or more parallel lines should be referred to this baseline. The baseline should be referenced in such a manner that the references will not be disturbed so that the line and the stationing on it may be re-established for final sectioning. A reference stake should be set at each limit of each cross section taken at a borrow pit. Such stakes should be marked to show the station number and distance from the baseline so that the Contractor will have some idea of the borrow pit limits.
• Staking Pavements - In staking out a pavement project, a single row of hubs is generally set on an offset line at one side of the center line. If conditions are favorable, offset hubs should be set on the side of the road in which the first lane of paving is to be placed. This should be considered when it can be done without inconvenience or danger of loss of the hubs. The offset distance should be the same for all hubs.
• Staking Pipes - Generally, only a few stakes are needed by the Contractor to set a pipe culvert. Usually, a stake offset from the centerline of the pipe at each end of each run, and intermediate offset stakes are required. The offset distance should be adequate to place the stakes well out of the way of construction work, and should be marked on the face of each grade stake. Elevations to the flowline of the pipe can be placed on these stakes.
• Stakes for Box Culverts - In the case of a box culvert, more details and measurements for construction are required, and therefore, more stakes are necessary. Offset hubs that are well out of the way of the construction should be set on each side of the work. The inside face or other required working line of each of the main culvert walls should be located, and these lines similarly should be referenced by offset hubs. Offset hubs are set in a similar fashion for the wingwall lines. All control points, whether on working lines or on offset lines, should be marked with tacks. To avoid confusion, a guard stake should be driven near each hub on an offset line and should be plainly marked to show the offset distance and the point on the structure to which the offset refers. Notes and sketches on the stake-out should be kept in a convenient stake-out book.
• Other Work for Box Culverts - Before excavation for a box culvert is begun, cross sections should be taken from the centerline established for the culvert. Sections should be located at enough points to make an accurate computation of the quantities of structural excavation and channel excavation.
• Staking Bridges - Because of the wide range of variations in Plans for bridges, standard methods for the stake-out of bridges cannot be established. In the stake-out for a bridge, especially one for crossing a large body of water, a highly precise horizontal control system is necessary. Such a system will make it possible to locate accurately and quickly various widely scattered piers and other component parts of the bridge. Because the staking system for a bridge may differ from that used for other bridges, the Inspector should be familiar with the particular staking system before any bridge work begins. As a general procedure, the centerline of the bridge is carefully established and referenced. Points at the faces or other working lines of each abutment, and at the axis of each pier or row of footings, are located at the bridge centerline, and the angles corresponding to the skew of the bridge are turned at these points. Each line thus located is extended to reference points well beyond the work area. At each intersection of the face of an abutment and the face of a wingwall, the wingwall angle is turned, and the line thus located is referenced. As in any other stake-out, notes should be recorded, and the notebook retained by the District Office or the Inspector.
• Final Surveys - The purpose of the final survey on a project is to determine the quantities of the various items of work for which the Contractor is to receive payment in the final settlement of the Contract. The method of calculating the quantity of each individual item is always made a part of the Specifications for the item under the subsection “Method of Measurement”. For the determination of the final quantities of excavation, borrow, and similar items for which payment is made per cubic yard (meter), it is necessary that final cross sections be taken. The important step in the procedure for taking final sections is to reset the centerline of the road or the baseline from which the original sections were taken. The final sections must be taken from the same stations on the reference line as the originals. This means that a final section must be taken from every station on the line from which an original section was taken.

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D5.06 - Materials & Research

It is the responsibility of the contractor to have material sources approved before the material is used on the contract jobsite. The Inspector shall know which sources have been approved for use on this contract. The use of any other source for material shall be documented and not included for payment. Inspectors in the field are responsible for collecting tickets for all materials received on the project. See Section D6.04 Materials Ticket Collection & Control for further information. The Inspector shall keep the Materials & Research Section of DelDOT up to date on the progress of the project and the nature of the work being performed. The Materials & Research Section has a minimum number of tests to be performed during the various construction aspects of the Contract. Communication with the Materials & Research Section will allow prompt testing when needed of materials and conditions. The Inspector shall schedule these field tests with the Materials & Research Section on an as-needed basis depending on the nature of the work being performed. It is the responsibility of the Contractor to schedule with the Materials & Research Section for the testing of materials at source locations (i.e. quarry pit or stock yard). For portland cement concrete (PCC) and bituminous concrete material testing, the Contractor must notify the Materials & Research Section of the quantity and time of the scheduled release by 3:00 P.M. the business day prior. No portland cement concrete or bituminous concrete materials shall be shipped to the job without first being released by the DelDOT Inspector. When DelDOT releases materials for shipment, DelDOT does not guaranty that the materials meet the specifications or are suitable for use. The Contractor is solely responsible for the suitability of the materials shipped. DelDOT may waive the release requirements on a case by case basis. Waivers of releases by DelDOT do not waive the release requirements for future shipments.

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D5.07 - As-Builts

A set of as-built plans must be maintained for each construction contract by the respective Resident Engineer/Project Supervisor. The as-built plans should be filed in the field office and used for the sole purpose for which they are intended. Periodic progress markings should not be recorded on the as-built plans. It is suggested that the title sheet be clearly marked with red pencil for ease of identification. The as-built plans are an assembly containing a print of each original plan sheet or revised sheet. Original sheets that have been superseded need not be included. These as-built plans are maintained for recording (with a red pencil) approved field changes that are not shown on a revised sheet. Such field changes are usually of a minor nature, as significant changes must be formally documented by a revised sheet or sheets. The as-built plans should be carefully and accurately prepared. They should be clean and neat. All applicable field changes should be immediately recorded there on, and not at a later date “as remembered” by the Inspector. It is stressed that the as-built plans are the most current set of plans, and thus they should always be up-to-date. The neat appearance of these plans should reflect the conscientious manner in which the Project was administered in the field. When the Project is complete and accepted by the Department, the as-built plans should be submitted to the Construction Engineer. The District staff, in turn, reviews them for completeness and acceptability and forwards them to the Office of Performance Man. The construction plan sheets are then revised to reflect the changes noted on the as-built plans. Prints may be obtained from the Quality Section.

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D5.08 - Safety

DelDOT Rules for Personnel Safety -The safety rules listed in this Section have been extracted from DelDOT directives. Employees may be subject to disciplinary action for violation of these rules. When in doubt, the inspector should verify with the Resident Engineer/Project Supervisor as to what personal protective equipment (PPE) is required at each contract location. The Inspector should wear proper protective clothing for the site conditions and make sure that fellow employees and visitors protect themselves with proper PPE, while at the project location.

• Water Work - Department employees are required to take adequate water safety precautions and wear a safety jacket approved by the United States Coast Guard when working over water, in a boat, on a float, or involved in any type of over-water bridge work. When work is being done on the water, the Resident Engineer/Project Supervisor should assign one or more people to be available on the shore to provide assistance in the event that individuals working off shore require help. The people on shore should be provided with adequate rope, a ring-type life preserver, and a mobile phone to use if assistance is required.
• Hard Hats - The hard hat is accepted by industry as a valuable safety tool. Hard hats are provided to Department personnel for the safety of the user and as an identifier on the Project site of a Department employee. The following hard hat requirements are from the Department’s Personnel Safety Manual and more recent directives:
  • Department personnel are required to wear hard harts at all times on construction projects or in materials plants.
  • Hard hats are not required during semi-final and final inspections.
• Protective Clothing
  • Clothes - Department personnel working or otherwise located within the highway right-of-way are required to wear an approved vest, shirt, or jacket. Due to the nature and work climate of construction projects, Department personnel must be aware of and provide for protection against environmental and mechanical hazards such as scratches, lacerations, insect stings, and noxious and poisonous plants. Department personnel are to wear long trousers or slacks while on duty. Shorts, sleeveless shirts, and bare torsos are not permitted.
  • Ear Protection - Ear protection devices can be furnished by the Department and are to be worn by employees whenever engaged in work operations where the noise level is suspected to be within damaging levels. Work that usually requires the use of ear protection includes blasting, jackhammers, and pile driving.
  • Foot Protection - It is strongly recommended that shoes worn by employees conducting field or industrial type operations of any kind have hard soles. Soft- sole shoes such as tennis shoes are not recommended. If a non-slip sole surface is desired, it should have a hard sole base. “Safety toe” and foot protection devices are to be worn by employees whenever performing any work operation where individuals may be subject to having a heavy or penetrating object strike their feet.
  • Eye and Face Protection - Protection devices are furnished by the Department and are to be worn under all circumstances where there is a possibility of eye or face injury from flying particles or objects. Examples of this type of work are sand blasting, jack hammering, welding, chipping, and rock crushing.

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D5.09 - Emergency/Accident Procedures

When an emergency or an accident occurs, contact 911 immediately. Unless you are properly trained and certified, to not attempt to move the injured person or to render medical attention. Providing the wrong assistance can be worse to the injured person than not providing any hands-on assistance. Contact the TMC and inform them of the situation. The TMC can contact other parties who need to be notified of the situation and to provide additional manpower. Contact the Resident Engineer/Project Supervisor and inform them of the situation. Secure the accident scene until relieved by law enforcement, or emergency personnel. At the scene of an accident, law enforcement and the fire chief have legal responsibility to control the situation; follow their instructions until relieved. Never direct blame to others or accept blame for the incident. As soon as possible, take notes on the conditions at the time of the accident. List possible witnesses from the project and contractors staff who were on site at the time. If possible take photographs of the accident scene from multiple angles or draw a sketch of the scene.

• Visitor/General Public Incident/Injury Response Procedures for the State of Delaware
• Delaware Department of Transportation Safety Manual

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Section D6.00 - Project Diary & Daily Reporting

D6.01 - General

The Project Diary is considered the official record of the daily events pertaining to a project. It contains all information related to the daily activities on the project. This includes man power and equipment for contractors, sub-subcontractors, utilities, and the Department. Weather, work activities, measured quantities, materials deliveries, and visitors are all noted in the Diary. The Diary must contain a complete record of the Project, starting with the first chargeable day and continuing through the day all field operations are complete including punchlist work. If project related field work begins prior to the first chargeable day Diary entries shall begin with the work. The Diary is to be filled out for every day during the project including non-work days and weekends. The exception can be made for prolonged work suspensions when time is not charged or time between tasks on open-end projects. Other records such as Source Documents, tickets, or Inspectors Daily Reports are to be filed and stored in their appropriate locations as indicated in Section D2.03 of this manual. No documents should be stored within the Diary Book itself.

The Project Resident/Supervisor is responsible for maintaining the Diary and may delegate an inspector to complete entries. Inspectors should be making entries into the Diary daily. On large projects with multiple inspectors each inspector shall fill out an Inspector's Daily Report (IDR). Each IDR shall document all the work activities and information an inspector is assigned to. The Project Resident/Supervisor or designee shall compile all the IDRs' pertinent information into the Diary. Inspectors should not delay beyond a day prior to filling out IDRs and making Diary entries for the previous day's work. All reports and Diary entries shall be printed in black ink with no erasures. If an error is made simply cross it out with one line through the error and initial next to it. Do not remove pages. Do not waste pages, but if necessary multiple IDR or Diary pages may be used for one date.

In addition to filling out the Diary and/or IDRs on site construction staff must ensure other necessary documents are created or collected. This includes Source Documents, materials/delivery tickets, Force Account sheets, as well other documents discussed in this manual.

D6.02 - Project Diary Setup

The Contract number, name of the Contract, and the Construction Group should be lettered on the front face of the binding near the hinge of the book cover. This should also be repeated on the spine or backbone of the book. All lettering must be done very neatly in permanent black ink. Below is a sample page of a Project Diary entry.

• 

  Diary Book Page 1
• 

  Diary Book Page 2

All entries into the Diary Book shall be made in black ink. Entries should be placed in the book carefully and neatly. Entries in Diary Books must not be erased and pages must not be removed from Diary Books at any time. Corrections should be made only by crossing out the mistake. Changes to entries through the book shall be initialed. Red and blue ink are not permitted to be used in the books by anyone in the Construction Groups. These colors are reserved for the Construction Group Estimating Section audit only. Keep in mind that the Diary is the official record of the daily work activities. Entries should be concise and complete and contain enough detail to accurately describe and recreate the activities and occurrences of each day of a project.

• Project Information – The first several pages of the Diary are dedicated to the recording the project information the Diary is intended for. This includes Contract number, name, location of the project, dates covered by the Diary, Department personnel in charge at the start of the project, and important dates. The list of names of all personnel on project and time of tenure shall be listed on the first blank page of the Diary. The name of designated Inspectors making entries besides the Project supervisor shall also be noted. On the following blank page the approved sub-contractors for the project shall be listed.
• Project Review – Throughout the project supervisory Construction personnel may be reviewing the Diary. The Area Engineer or Manager for a project shall review the Diary periodically. A page is provided towards the front of the Diary for recording of such reviews.
• Date – An entry shall be made for each calendar day starting on the date when work is initiated by a contractor, utility, or when the time charges are specified to begin. All dates shall be entered including non-working days outside of time suspensions or time periods between tasks on Open-end contracts. No entries are necessary when the contract is suspended for a prolonged period unless Contractor maintenance work is active. One entry page may be used to document the period and reason for non-work.
• Cumulative Days – A cumulative record of all days charged shall be recorded. All calendar days for the project shall be recorded including weekends and holidays.
• Weather & Temperature – Weather conditions shall be recorded at least three times during the day, at the start of the work day, midway during the work shift, and at the end of the shift. Weather conditions shall also be recorded for non-work days. If the project is located around tidal water abnormal tides shall also be recorded. This record is very important as it will indicated if certain work activities of the contract are being performed within the proper temperature ranges. Extreme temperatures and related weather such as weekend storms and extended wet or cold conditions should be noted for periods during and outside of work hours. For projects with long durations a Weekly Weather Report may also need to be prepared in addition to the weather and temperature entries. This document allows the Project Supervisor and Contractor to acknowledge and agree upon weather conditions that adversely affect project work. This will be important in keeping track of Weather Days on contracts.Highway Personnel – The names and hours of all Department personnel working on the project, including lab and survey personnel, shall be recorded each day. Those on sick or annual leave should also be listed as such.
• Contractor’s Personnel and Equipment – List by categories all personnel employed by the Contractor or sub-contractors and indicate worker classification. List all equipment as well. If equipment is on site but not used for work encircle the indicating number or list separately as idle equipment.
• Utilities’ Personnel and Equipment – List all personnel including worker classification. List equipment and areas of operation.
• Materials Received – List all the quantities of all materials received by the Contractor including source/manufacturer. Note if there is evidence of inspection by off-site forces. If material is rejected note the quantity and the reason for rejection. Additional details may be provided in the remarks section if necessary.
• Visitors – List all personnel visiting the site on official business related to the project including personnel from the Department or other agencies.
• Description of Work – Entries made in this section are of high importance. The report shall be orderly, clear, thorough and accurate. Description of work done each day is shall include the locations, applicable item numbers, item description, and measured quantities if applicable. If quantities are not measured for a particular work item the quantity shall be listed as TBM (for To Be Measured).
• Remarks – Provide a summarized description of the day’s activities. Note any conflicts, changes, unusual events, and deficiencies in work during the day. Note particularly any issues that may delay the Contractor’s pursuit of work. Any directives from Department personnel (verbal or written) contrary to plans or specifications shall be noted. Complaints by the Contractor or his representatives concerning specifications details or instruction should also be included. Personnel injuries, vehicle/equipment accidents shall be noted. All remarks should be factual and should not contain personal or disparaging comments that are not relevant to the description of the day's activities .
• Recorded By & Reviewed By – At the end of each Diary entry the personnel assigned to record the entry shall initial or sign their name. The Project Supervisor shall review all entries and initial or sign their name once complete. Periodically the Area Engineer will review the Diary book. The Area Engineer/Supervisor will document dates when periodic Diary reviews are performed on the appropriate pages towards the front of the diary book.

The Project Construction Diary is the single most important document prepared by the Inspector. The instructions for maintaining the Diary contained therein should be followed, and the sample page should be used as a guide for proper recording. When the Project is completed, the Diary will be reviewed and approved by the Area Engineer/Construction Manager, after which it will be submitted to the District Construction Engineer with the final documentation.

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D6.03 - Inspector’s Daily Reports

On larger projects with multiple inspectors, individual inspectors will be required to fill out Inspector’s Daily Reports (IDR). IDRs are set up similar to the pages of the Project Diary. Each inspector is expected to fill out the IDR with information applicable to their work assignments and crews. Below is a sample of and IDR.

• 

  Inspectors Daily Report Front
• 

  Inspectors Daily Report Back

Upon completion IDRs are to be turned into the Project Supervisor for review, inclusion in the Project Diary, and filing. Not all information from individual IDRs need to be included in Project Diary. The Project Supervisor or designated inspector is responsible for summarizing the pertinent information in sufficient detail to accurately represent the occurrences of the day. All man power, equipment, measured quantities, deliveries, and notable visitors shall be entered into the Diary from individual IDRs.

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D6.04 - Materials Ticket Collection & Control

As materials are being delivered to construction sites for incorporation into the project work documentation for the materials delivered must be collected, verified, and stored. Inspectors in the field are responsible for collecting tickets for all materials received on the project. This includes but not limited to borrow materials, stone materials, pavement materials, concrete, structures, and rebar. No materials should be accepted or paid for without first verifying what they are and their source from delivery tickets.

All delivery tickets shall be computed generated. Tickets shall include the Contract number, name and location of the source, description of the materials, and the quantity and units included with the delivery. They may also contain certification that the materials conform to specifications called out in the contract documents. On federally funded projects all materials must come with Buy America certification. No materials made with non-domestic components may be incorporated into permanent work without prior review or approval by the Department and FHWA.

• Tickets used to pay for materials shall include the following additional information:
  • Date & time of delivery
  • Material supplied/ID
  • Delivery truck identification (verify non-generic ID provided)
  • Legal Gross Vehicle Weight
  • Weight of truck
  • Weight of materials delivered
  • Weigh Master Identification
  • Contract Number

Upon delivery of these materials and verification of the information listed above the Project Supervisor or Inspector shall handle pay item tickets in the following manner and as depicted below:

Sample Material Ticket

• Sign ticket - If multiple deliveries are made for an item in a day the first delivery ticket shall be signed and all other tickets for that day may be initialed.
• Organize all tickets in order of delivery receipt.
• Correct overweight pay item tickets. Tickets showing weights in excess of legal gross vehicle weights will be adjusted to ensure only weight of material within the legal limit is paid. A line will be struck through the original weight in a manner to keep it legible. The adjusted weight will be handwritten next to the original weight alongside the initials of the inspector making the adjustment.
• Run adding tape for pay item tickets. The weights for individual pay items tickets will be added and totaled. Weights will be added in the unit of measurement listed on the ticket. The total shall be converted into the unit of measure used to pay the item. The contract number, date, item number, and location where the materials were used shall be written on the adding tape. The inspector running the tape shall sign at the bottom. The adding tape shall be stapled to the ticket bundle.
• Pay item tickets shall be immediately turned into Estimators for auditing and subsequently stored as determined by the Chief Estimator.

Tickets used for source verification shall be organized and stored according to the filing system setup for the project as discussed in Section D2.00 – Filing Practices.

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D6.05 - Source Documents

Source Documents show the written measurements and calculations of item work performed on a project. Any documents including spreadsheets, pay ticket packets, and sketches may be considered a Source Document. ALL items that are calculated quantities are required to have a Source Document. As work is performed and completed Inspectors should take measurements to determine the dimensions and calculate the quantities for payment. Upon completion of pay item work the associated Source Document should be completed the same day that payments are made and turned in with an IDR by the inspector. Once the source document has be checked by the Project Supervisor for accuracy it may be incorporated into the Quantity Book. Refer to Section D7.03 for more details on the preparation of Source Documents.

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D6.06 - Force Account

As discussed in Section 109.04 of the Standard Specification and Section C12.09 of this manual Force Accounts are to performed when the Department and the Contractor are unable to reach an agreement on how pay for change order work or if the Contractor disputes how work they are performing is being paid. The Force Account Form below shall be completed by the Inspector assigned to the work activity. The Inspector and Contractor’s foreman shall review the labor, equipment and materials used at the conclusion of each day of related work. All information shall be recorded on the Force Account sheet and signed by both the Inspector and Contractor’s foreman. A copy shall be provided to the Contractor for submission with the completed Force Account packet for payment. The completed Force Account packet shall include all the information required be Standard specification Section [109.04]. Upon submission the Project Supervisor shall review and verify the submission is complete and accurate. Once approved the Force Account will be submitted and included on the next change order.

Daily Force Account Sheet

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D6.07 - Photos & Video Recordings

The use of photography is encouraged. Photographs are useful for recording work progress, documenting work that was rejected, and keeping a record of work that will be concealed. For example, a photograph of a pile driven into a foundation, which is to be concealed, may be important for future record purposes. Photographing certain construction details prior to the placement of concrete may also be important for future purposes. Similarly, the general cleaning-up of a structural site prior to final inspection is important to the acceptance decision, and should be documented with photographs. In addition to photographs, video recordings may also be used for documentation of field conditions. The advantage of video recordings is that the Inspector can explain what is being recorded. For example, a video recording of painting that needs to be touched up is much easier to understand than a photograph, because the Inspector can explain conditions on the video recordings that may not be apparent from a photograph.

Video recordings or photos should be done prior to any work beginning. As well as other things, pavement markers can be properly located. Video recordings of underdrain and storm sewers will be required on most contracts. Inspector’s supervision of this work is imperative. On the reverse of each photograph, the name of the person who took the photo, as well as the date and time should be documented. For a video recording, the name of the person making the video, as well as the date and time the video was made should be listed on the media containing the video recording. The video (and digital copy of all photographs if applicable) should be stored as not to allow editing after recording. The existence of these photographs or video recording should be documented in the Project Diary.

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D6.08 - Electronic Diary System

Refer to Part F - eConstruction of this manual for more details.

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Section D7.00 - Quantity Book

D7.01 - General

The purpose of the quantity book is to organize daily quantities measured or calculated for payment. It consists of a complete record of what items were paid for each contract each day, where they were placed and how the quantities were calculated. Source documents generated throughout the project for calculated quantities are also stored in the Quantity Book. Because these are the basic records of the quantities used for the Project, they should be kept in a neat, legible, and systematic order. Quantity Books are the legal record regarding where and how much material was used on the Project and are subject to audit by anyone, including representatives of FHWA.

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D7.02 - Quantity Book Setup

Click on the following links for Quantity Book Templates:

• Quantity Books 2001 Spec
• Quantity Books 2016 Spec

Use a 3 ring binder that has a sleeve front cover so that the Cover sheet can be printed and slid into the front. Each cover must show the Contract number, Contract Name, FAP # (if necessary), Calendar Days bid, and Contractor responsible. An example is shown below.

Quantity Cover Sheet

All items shall be organized in NUMERICAL ORDER. Use the bid tab summary sheet to label dividers with each item number on the contract including 401502 and 401699 if necessary. Make a tab for MOT if individual MOT items such as drums or temporary signs are included in your contract. Quantity sheets are used to keep track and total the quantities paid on each Source Document for an item. They are also used in preparation to produce an Estimate. Source Documents for an item will be inserted behind Quantity Sheet for the appropriate item. Any NEW items added throughout the contract should be tabbed appropriately and placed into the quantity book in NUMERICAL ORDER.

Quantity Summary Sheet

For most items the quantity sheet pictured above is used. However for some items have special sheets. Examples of such items include 401502—AC Cost Adjustment, 401699—QA/QC, and 743007—Traffic officers. If there are individual MOT items (drums, temporary signs etc.) on a project a complete MOT log tab will be created. Behind this tab weekly MOT summary sheets which includes all individual MOT items on the contract. The weekly totals from these sheets will be put on the Item Summary sheet for each item. The weekly summary sheets will serves as the Source Documents for all MOT items included on them. For Flaggers, the weekly Flagger report sheet serves as a source document under the item for regular flagger hours. The weekly totals from the Flagger Report are to be transferred to the summary sheet. Any overtime hours will be transferred to the Flagger OT summary sheet with a reference to the Source Docs that are kept under the tab for regular flagger hours.

As entries are being made onto Quantity Sheets personnel should verify that the Total Quantity does not exceed the Bid Quantity. If the Bid Quantity is exceeded a change order shall be prepared prior to preparation and payment on the next estimate. Change orders shall be tracked on the Change Order Summary sheet depicted below. Make reference to Section C12.10 for additional information on preparing change orders.

Change Order Quantity Sheet

The bid tab should be placed in a Sleeve and placed in the front of the Quantity book binder.All entries onto the Quantity Summary sheets shall be made in black ink. Source Documents shall be placed in the Quantity Book following the Quantity Summary sheet corresponding to the applicable item. Entries should be placed in the book carefully and neatly. Entries in Quantity Books must not be erased and pages must not be removed from Quantity Books at any time. Corrections should be made only by crossing out the mistake. Changes to entries through the book shall be initialed and dated. Red and blue ink is not permitted to be used in the books by anyone in the Construction Groups. These colors are reserved for the Construction Group Estimating Section audit only.

Each line of the Quantity Sheet is used for each entry. The appropriate date, descriptive location and quantity shall be entered under the corresponding column. Source Document number shall be included in the descriptive location when applicable. Ticketed items must be logged on the Quantity Sheet with “see tickets” and descriptive location. The value for each quantity entry shall be entered to the second decimal place. The total quantity shall be calculated and entered only on the line of the final entry prior to and estimate cut-off. NO calculations are to be written into the Descriptive location box. All calculations belong on Source Documents.

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D7.03 - Source Documents

Source Documents show the written measurements and calculations of item work performed on a project. Any documents including spreadsheets, ticket packets, and sketches may be considered a Source Document. ALL items that are calculated quantities are required to have a Source Document. Linear foot (one dimensional) items with the exception of striping, as well as counted each items can be logged directly onto the item summary sheet in the Quantity Book each day; however, detailed descriptive location and or stationing is required. All source documents shall be concise, clear and legible. Hand drawn calculations may be done on the blank Source Document Sheet below:

Standard Source Document

Each source document shall be enumerated for an item as they are created for. Source documents are to be placed in numerical reverse chronological order (newest items towards the front) behind the applicable Quantity Summary sheets for each item once entered. A standard sample of a source document can be seen above. However there are a variety template source documents available that relate to specific items such as Pipe. These can be found in the Standard forms section at the end of this manual. (See Standard Forms)

For items such as 401699 and 401502 the Source Document is the printout of the test report from the lab. For 743007—Traffic Officers – The actual invoices count as the source document.

All items are to be measured in the field to two decimal places when practical. Calculations shall be performed in the units measured. Conversions from a units of measurement to a units of payment shall be made as the final calculation. Rounding should be done on final calculation of results at the end of each source document’s total quantity. It should not be done on interim results. When final calculations result in greater than 2 decimals quantities the quantity will be rounded to the nearest second decimal place for the final quantity on the source document for all items. QAQC calculations are the exception as they are rounded to the third decimal place. Quantities will be rounded up for values where the third decimal value is 5 or more and remain unchanged for values less than 5. For example, the quantity of 12.345 will be rounded to 12.35. The quantity of 12.344 will be rounded to 12.34. The rounded 2 decimal quantity is entered for each quantity sheet entry in the Quantity Book.

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D7.04 - Electronic Quantity Books

Refer to Section F - eConstruction of this manual for more details.

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Section D8.00 - Electronic Books

Refer to Section F - eConstruction of this manual for more details.

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Section D9.00 - Estimators & Financing Procedures

D9.01 - General

Throughout the project it will be necessary to coordinate funding the projects with Finance Section. This includes the initial set up of funds for the project as well as other tasks such as invoice payments, change orders, and close-out. Primarily contact with the Finance Section takes place through the Funds Allocation for Capital Transportation Systems (FACTS) and the Project Payment Tracking System (PPT).

The FACTS manual can be found at http://mydot/divisions/finance/manuals/facts_manual.pdf and the PPT manual can be found at http://mydot/divisions/tech_sup_serv/manuals/PPT_User_Manual.doc.

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D9.02 - Contract Financing Procedures

The general sequence of communicating with the Finance Section for various funding requirements is listed below as well as responsibilities of various Construction Group personnel.

• Recommend to Award
  • Upon receipt of recommend to award Group Engineer & Area Engineer/Manager review budget needs including project award amount as well as budget for inspection services if applicable. Chief Estimator shall communicate the budget requirements to Finance.
• Contract Award
  • Upon receipt of award letter Chief Estimator shall verify funding with Finance then Encumber award amount in FACTS.
    • Prior to issuing NTP Group Engineers and Area Engineer is to confirm with Chief Estimator that a project award value has been encumbered. This applies to consultant agreements and other service agreements as well. After the fact purchase orders are not permitted.
• Field Audit
  • Estimators shall regularly perform field audits of books throughout a project. Schedule of audits shall be determined by the Chief Estimator for each project.
  • Estimator blue checks Quantity Books and associated source documents.
  • Pay tickets packets shall be turned into Estimators immediately after Inspectors or Project Supervisor runs adding tape on tickets.
  • Upon completion of field audit Inspectors or Project Supervisors shall update the Daily Diary to reflect any changes made after blue checking.
• Generating Estimates
  • Project supervisor prepares Estimate Book and Quantity Books along with Estimate Summary
  • Area Engineer reviews Estimate Book, Quantity Book and Estimate Summary with Project Supervisor
  • Estimator blue checks Estimate Books, Quantity Books, and Estimate Summary
  • Estimator Enter estimate into PPT
  • Estimate printed and distributed for signature by Contractor, Group Engineer, Estimator, & Area Engineer/Manager
  • After signature back to Estimator enter into FACTS for Payment
  • Encumbrances
• Generating Change Order
  • Project supervisor prepares Estimate Book and Quantity Books along with Change Order Summary and back up documentation
  • Provide Reason Code(s) for each change.
  • Area Engineer reviews Change Order Summary with Project Supervisor/DelDOT design manager/FHWA
  • Estimator blue checks Estimate Books, Quantity Books, and Estimate Summary
  • Estimator Enter change order into PPT
  • Estimator prints change order cover sheet and back up and distributes to Group Engineer and Contractor for signatures
  • Estimator loads change order into FACTS
• Generating Consultant Invoices
  • Consultant prepares and submits invoice to Construction Group
  • Area Engineer/Manager reviews and complete Consultant Checklist form
  • Group Engineer signs-off on Consultant Checklist form
  • Group Estimator enters invoice into FACTS for payment
• Generating Contingency Increase Request
  • Area Engineer/Manager prepares contingency increase form and back up documentation
  • Area Engineer/Manager communicate with Chief Estimator to confirm current available contingency
  • Area Engineer/Manager submits to Group Engineer for review and signature
  • Group Engineer submits contingency increase request for concurrence from design engineer, Assistant Director of Construction, and Chief Engineer
  • Follow Finance procedure for concurrence
  • Finance and Group Estimator processes authorization, allotment and encumbrance. For additional details (See: Finance Contingency Increase Procedure)
• Semi-final Estimate/Change Order
  • Project supervisor zeros out all remaining unused item quantities via change order
  • Estimator blue checks change order
  • Estimator enters change order into PPT
    • Marked as semi-final in PPT
  • Pay estimate procedures
    • Marked as semi-final in PPT
• Project Close out
  • Fill out Project Close-out Checklist
  • Upon receipt of final acceptance letter Estimator requests the following documents the from Contractor
  • General Contractor’s Certification of Payment, CN-91
  • Release of General Contractor, CN-102
  • Release of Subcontractor, CN-103
  • Bonding Company Release
  • Upon receipt of final releases Chief Estimator prepares Final Estimate
  • Pay out all remaining payments
  • Include final releases with signed Final Estimate form (signed estimate by Assistant Director) and send to finance retain copy for records
  • Follow archive procedures for all project files.

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D9.03 - Blue Checking

The Construction Estimators should check and correct the Estimate Books, Quantity Books, and Source Documents entries for accuracy. For large projects blue checking shall be performed periodically between estimate periods. Smaller projects blue checking may be performed at the time of estimate or change order submissions. This may be performed by an Estimator at the Group main office or in the project field office.

The checking of estimated quantities and Source Documents should consist not only of going over the mathematical extensions of figures, but of checking the figures against the plans and specifications. The formulas used should be checked for their applicability. Errors can often be spotted by reviewing the sketches to verify that their component dimensions are realistic. When errors are discovered the Estimator is to strike through the error with a single line and enter the corrected values adjacent to the correction. All corrections are to be initialed by the Estimator performing the blue checking. It is recommended that before finalizing major changes Estimators discuss the changes with the Project Supervisor or Area Engineer/Manager. All blue checking shall be performed in blue pencil or ink only. After books are returned Project Supervisors are to correct quantity entries in the Diary Book to match blue checked changes.

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D9.04 - Certified Payroll

On projects with Federal funding Contractors are required to submit certified payroll records throughout the duration of the contract and maintain records of them for up to three years after its conclusion.

Payrolls shall be submitted in accordance with Section IV– Davis-Bacon and Related Act Provisions of FHWA 1273.

Upon receipt of the weekly pay rolls Estimators shall review them to confirm that all the pertinent information for employees working on the contract is present and that employees receive compensation meeting the requirements of prevailing wages set for the contract. Estimators shall compare payroll rates to that of the State and Federal Prevailing Wage Rates. The higher of the two rates shall apply when the rates differ. Should it be found that proper compensations are not being made to employees Estimators shall advise the Area Engineer/Manager.

The Contractor shall be contacted and directed to make corrections to employee compensation to address the violation. The Contractor shall submit verification showing corrections in payroll and compensation retroactive to the start of the violation.

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D9.05 - Audit

The Department’s Audit section or FHWA may elect to audit a project during a contract or at the conclusion. During the project the Project Supervisor and Estimators shall compile all the documents requested for review. They shall respond to any questions and take note of any discrepancies found during the audit. Estimators shall advise the Area Engineer/Manager of any follow up action that may be required by the Department or the Contractor. Following the conclusion of a contract if an audit is requested the Estimator shall compile the contract documents requested for review. Similar to contracts in process the Estimator shall note discrepancies and advise the Area Engineer/Manager of any follow up action that may be required by the Department or the Contractor.

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