m19 ca project doc - oregon.gov

General Construction Inspector November 2021

Contract Administration – Project Documentation 19-1

Unit 19Project Documentation

Unit 19 Topics

2

Daily Reports

Public Records

Region Assurance Specialist (RAS) Role

Quarterly Release of Retainage

CPS – How to Request Access



Daily Reports

General Daily Progress Reports

– What should be documented

– Why they are important

– Public Record implications

Accident Investigation and Reporting

– What to do, and why

Construction Manual, Chapter 12A3

4

General Daily Progress ReportForm 734-3474, Page 1

Project Information

Weather

Personnel/Equipment

Work Description

Traffic Control

Equipment

Effects on Work



5

General Daily Progress ReportForm 734-3474, Page 2

Materials rejectedProject visitorsRemarks

6

General Daily Progress ReportForm 734-3474,

Pictures!

Pictures!

Pictures!




7

Your reports are Public Record.

Be factual

Be concise

Be relevant

Appropriate pictures are also nice.

What should be Documented?

Refer to 12A-2 of the Construction Manual

Generally track the progress of the Work

– What got accomplished?

– Are there positive or negative schedule impacts?

– Any disagreements or disputes

– Workmanship problems

– Relevant conversations with the Contractor

– Accidents or damage

8



What should NOT be documented?

Personal opinions…even if they are positive

Irrelevant information

9


Four years from now you should be able to answer a few questions.

10




When, exactly, did the earthwork begin?

What caused the delay?

Who was involved in the conversation?

Did the Contractor follow their schedule?

Was the corrective work completed? When?

Was the superintendent present and in control of the work?

How much work was completed that day?

11

Public Records

Public Record:

…any writing that contains information relating to the conduct of the public’s business…prepared, owned, used or retained by a public body regardless of physical form or characteristics.

ORS 192.410(4)(a)

12

OREGON DEPARTMENT OF TRANSPORTATION CONSTRUCTION MANUAL

Chapter 12A 12A - 1 Updated 01/17

∗CHAPTER 12A – DAILY REPORTS / DIARIES

Day–to-day records of Project activity and progress are extremely important. The Project Manager (PM) is responsible for ensuring Project Records are kept, and that they are accurate and adequate records of the progress of the Project. The following forms are used to record project progress information, and are discussed in detail in this chapter: 12A-1: General Daily Progress Report, form 734-3474, (Structure Coating Daily

Progress Report, form 734-1789, may be used for structural coating work) 12A-1: Project Manager’s Diary, form 734-3120 12A-2: Traffic Control Inspection Report, form 734-2474 12A-3: Erosion Control Monitoring, form 734-2361 12A-4 Turbidity Monitoring Report, form 734-2755 12A-5: Report of Motor Vehicle Accident or Hazardous Material Incident Observed or

Investigated by Employee, form 734-3589 and Report of Damage to Highway Structure, form 734-3373

The most current forms and examples are available on the Construction Section Website at:

http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/Pages/HwyConstForms1.aspx 12A-1 ∗GENERAL DAILY PROGRESS REPORT /PROJECT MANAGER’S

DIARY All personnel associated with the Project (Inspector, Asst. PM, Project Coordinator, QCCS, etc.) must use the General Daily Progress Report form 734-3474. If additional information is deemed necessary the Project Manager’s Diary, form 734-3120 may be used to record Project activities and events. The Structure Coating Daily Progress Report, form 734-1789 may be used for structural coating work. The PM must ensure that all appropriate information for a Project is recorded on a daily basis. If the PM uses form 734-3474 or 734-1789 (Daily) as well as form 734-3120 (Diary), the same information does not need to be recorded on both forms. The forms are meant to supplement each other, not to include duplicate information. It is very important to record each days Work and the resources used for activities; especially those that are impacting the Project schedule. This needs to be done daily. It is often beneficial to augment the record of events or situations with sketches, photos, video recordings, or other methods.

∗ All marked text updated January 2017

http://www.odot.state.or.us/forms/odot/highway734/734-3474.pdf

http://www.odot.state.or.us/forms/odot/highway734/734-1789.xlsm




http://www.odot.state.or.us/forms/odot/highway734/2361.pdf

http://www.odot.state.or.us/forms/odot/highway734/2755.xls





http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/Pages/HwyConstForms1.aspx







On large Projects, each Inspector assigned to a major operation must keep a separate General Daily Progress Report or diary. The PM and other key Project personnel must record Project information, including:

• Weather, Contractor personnel, and Equipment (including a list of Equipment downtime and Subcontractors).

• Location and description of the Work and estimated quantities performed that day. • Arrivals and departure of major Equipment. • Condition of traffic control and Roadway. Also record significant changes or

problems with traffic control and devices. • Significant communications with the Contractor, especially those pertaining to Work

schedule, Work methods, Materials, or payment. • Orders and directives given the Contractor. The PM must also send a memo or

letter to confirm significant verbal instructions or agreements. • References to significant letters, minutes of meetings and attendees, reports,

photographs, telephone conversations, etc. • Disagreements with the Contractor over Work quality or performance, including

rejected Work or Materials. List reasons for disagreement, and specific reasons why Work and/or Materials were rejected.

• Delays, difficulties, accidents, Utility damages, and other unusual conditions. Describe factors or conditions that may hinder the Contractor’s operations and cause delays. Also include the time of suspending or resuming Work and explanations.

• Comparison between scheduled Work activities (from Contractor’s schedule) and actual Work activities. Explain differences.

• Significant visits or communications within Agency or with FHWA, Utilities, local officials, or property owners.

• Days or periods when no Work is in progress or no Work was accomplished and reasons why.

The daily diaries and reports are considered public records. Include only factual information in them. Do not include personal remarks and opinions regarding operations and/or personnel on the Project.

Submit the original General Daily Progress Reports and Project Manager Diaries with the final Project documentation. Arrange the reports in chronological order and assemble them into pads. [Refer to Chapter 37 – Submittal of Final Project Documentation] The PM must also ensure that other needed reports, including those discussed below are completed as required.

http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/ConstructionManual/cm37.pdf




12A-5 ACCIDENT INVESTIGATION AND REPORTING When a serious or fatal accident involving the travelling public or a pedestrian occurs within the limits of a construction Project, the PM or Inspector must investigate the accident to: 1. Ensure that the traffic control was and is operating adequately and properly. If the

traffic control needs to be modified, the PM or Inspector must ensure that it is done immediately by the Contractor.

2. Record information that will allow the Agency to adequately defend itself in the event

of legal action or an insurance claim. If possible take pictures and/or video of the accident site. Agency personnel may also be called to testify in private legal actions about conditions at the time of an accident.

Complete a Report of Motor Vehicle Accident or Hazardous Material Incident Observed or Investigated by Employee, form 734-3589, when required or requested to do so by others. For more information regarding Project safety and reporting requirements, refer to Chapter 17 – Safety. Complete an investigation and Report of Damage to Highway Structure, form 734-3373. Submit the form, along with any accident photos and police reports to the Claims Against Others (CAO) Coordinator. Any questions regarding this process should be directed to the CAO Coordinator at (503) 986-3040. [Refer to Chapter 31 – Protection of Work / Responsibility for Damages]









Public Records

Writing:

…handwriting, typewriting, printing, photographing and every means of recording, including letters, words, pictures, sounds, or symbols, or combination thereof, and all papers, maps, files, facsimiles or electronic recordings.

ORS 192.410(6)

13

Public Records

Don’t create documents that you wouldn’t want in the newspaper

– Including emails, letters, text messages, inappropriate photos, etc.

– Keep it professional

– No personal opinions

14



How long should documents be kept?

Contract Administration Documents

– Includes: email, paper files, electronic files

– Must be kept 20 years after final payment

– Structures, such as bridges, require longer retention times

15

The Region Assurance Specialists (RAS)

Their role in helping to assure documentation compliance

16


Chapter 12 12 - 1 Updated 10/13

∗CHAPTER 12 – PROJECT RECORDS The Project Manager (PM) will develop or receive many documents and records while administering a construction Project. The documents and records include those that are needed to justify that the Work has been completed according to Contract requirements and that payment has been properly made. For the purposes of this manual, “Project Records” is defined as follows:

All information in any way relating to the Project or performance of the Contract, including but not limited to all:

• Financial and accounting records and information. • Correspondence – including internal communications, emails, field notes, file

notes, diary entries, communications with Agency, Subcontractors and authorities. • Notices, orders, permits, and opinions. • Survey data – including survey drawings, reports, maps, original computations

and other data. • Materials testing records and Materials certifications. • Work products. • All other documents and information whether generated by, for, or received by the

Agency in the performance of the Contract, and whether any of such records are:

o Paper-based. o In the form of electronic data. o In electronic/digital format capable of being reduced to paper-based or

electronic/digital format, o In audio format. o Constitute visual reproductions such as photos or videotape.

At any time during the life of the Project, the Project Records may be reviewed or audited by a number of parties, including:

• Construction Section personnel. • ODOT’s Internal Audit and Review group. • Federal Highway Administration (FHWA). • Region personnel. • Representatives of Department of Justice or attorneys for a Contractor. • Any other group performing an audit. • A person reviewing records under the Public Records Law.

∗ All marked text updated October 2013



The Project Records:

• Provide documented evidence that the Project was built with Materials that were in conformance with Contract requirements;

• Provide documented evidence that the Contractor has been appropriately compensated for the Work completed;

• Record events and happenings on the Project or that involved the Project; and • Justify that Project costs are properly reimbursable with Federal or other funds

The Project Records must be maintained in such a manner that anyone can review the documentation and clearly understand how the Project progressed, what Materials were incorporated into the Project, and how much Work was performed on the Project. 12-1 ORGANIZATION OF PROJECT RECORDS For each Project, the PM and the Project staff must become familiar with conditions pertaining to all Pay Items and quality requirements, which are included in the Project Plans and Specifications. They also must establish methods to determine quantities, to assure proper quality, and to organize the Project records. The Project Records associated with an Agency construction Project must be organized, kept current, and filed in a manner that makes documents easy to find. Contact the Region Assurance Specialist (RAS) or the Contract Administration Unit (CAU) for further guidance. An efficient means of organizing and tracking the Project quality and quantity documentation is to use binders and notebooks that are divided by bid item or Pay Item. As the appropriate quality documentation is received, enter the information into the Test Summaries and place the documents in the quality notebook. [Refer to Chapter 12B – Quality] As the quantity documentation is received, check the calculations, enter the payment information into the Contract Payments System (CPS), and place the documents in the quantity notebooks. Contact the RAS or the CAU for support or guidance in setting up Project files. The RAS will periodically review the Project documentation for compliance with the Contract requirements during the life of the Project. 12-2 ∗PUBLIC RECORDS AND DISCLOSURE Project Records are generally classed as public records, under Oregon’s Public Records Law and as defined in ORS 192.005(5), and are available to be reviewed by the

∗ All marked text updated October 2013



Contractor, attorneys, and anyone else who may now, or later, have an interest in the Project. Certain Project Records are exempt from disclosure and should not be made available to persons other than Agency employees. Two (2) types of Project Records that are generally exempt from disclosure are:

• Records pertaining to litigation when a complaint has been filed or is likely to be filed, and

• Communications of an advisory nature within or between public bodies, with other than purely factual material that is preliminary to final Agency action.

As defined in ORS 192.501 to 192.515, public records that are exempt from disclosure include, but are not limited to:

• Home address. * • Date of birth. * • Telephone number. * • Social Security number. • Signature. • Trade secrets. • Information relating to the appraisal of a real estate prior to its acquisition.

If exempt information is contained in a record that has been requested, such as on a certified payroll, the record must be copied, the exempt information blacked out, and the record recopied before it is released. This is done to ensure that none of the exempt information is visible.

* Per ORS 192.502, this information may be disclosed if the requestor can show that the public interest requires its disclosure. The person requesting the information has the burden of showing that public disclosure would not constitute a reasonable invasion of privacy.

For Project Records pertaining to litigation or potential litigation, contact the Contract Administration Engineer (CAE). If you have a question about whether a specific document is exempt from public disclosure, contact the CAE. Do not provide any exempt records to persons other than Agency employees without the authorization of the CAE. When a non-ODOT employee is allowed to examine any Project Records, safeguard the records from theft, damage, or destruction, and record the event in a diary or memorandum. Include the date, place, persons present, and a listing of the records examined.



The ODOT Records Officer has developed a “Public Records Request” page with information for responding to public records requests.

If a public records request is received, it must be processed according to the procedure outlined in the ODOT Records Manual. The Agency cannot waive or reduce any fees over $13, or time required for processing the request over 15 minutes. The fee schedule for employee time, copies and delivery costs, which are stipulated in OAR 731-001-0025, include, but are not limited to:

• Beginning on the 16th minute, employee labor charge for researching, locating, compiling, editing or otherwise processing information and records is $25/hour or $6.25/quarter hour.

• The actual cost for delivery of records such as postage or courier fees. • $5.00 for each true copy certification. • $0.25 per page for photocopies. • $5.00 for the first page and $1.00 for each additional page, limited to a 20-page

maximum, not including the cover page. • Actual cost for use of material and equipment for producing copies of non-standard

records. • $5.00 each for CD’s. The person processing the public records request should refer to the ODOT Records Manual and OAR 731-001-0025 for guidance. 12-3 RETENTION OF PROJECT RECORDS The CAU is responsible for storage of the Project documentation that is required to be submitted to the Construction Section at the completion of a Project. [Refer to Chapter 37 - Submittal of Final Project Documentation] The submitted quality, quantity, and labor compliance documentation is combined with the Construction Section files and, along with all other Project Records, is submitted to the State Archives to be archived for the applicable retention period. The records retention period is defined in the Special Records Retention Schedules for program and administrative records which are unique to ODOT. For more information on the ODOT records retention schedule, contact the CAU, and visit the Oregon State Archives record management special schedule at:

http://bluebook.state.or.us/state/executive/Transportation_Dept/transportationsched.htm.

http://www.oregon.gov/ODOT/Get-Involved/Pages/Public-Records.aspx

http://arcweb.sos.state.or.us/pages/rules/oars_700/oar_731/731_tofc.html

http://arcweb.sos.state.or.us/pages/rules/oars_700/oar_731/731_tofc.html

http://bluebook.state.or.us/state/executive/Transportation_Dept/transportationsched.htm



The PM and Region Manager must retain all Project Records not submitted to the Construction Section for the retention period identified in the Special Records Retention Schedule.



The Goals for the Region Assurance Specialist (RAS)

Provide early, timely project documentation reviews in the Project Managers office

Review the organization and documentation process

Provide technical help to inspectors and Contract Administration Specialist

Valued resource to ODOT, Local Agency and Consultant Project Managers

17

Documentation Review Report (DRR)Form 734-1903

List of comments, missing items or deficiencies

Distributed to Contract Administration Specialist, APM or PM

RAS reviews through DocExpress®

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Documentation Review Report (DRR)

All items should be addressed or resolved prior to the next RAS review

Final DRR signatures of Project Manager and RAS

– Quantities are considered to be FINAL

– No Changes will be made at Final Acceptance unless discovery of gross errors or lump sum items not paid at 100%

19


Section 00195.50(d)

20



00195.50(d) – Quarterly Release of Retainage

Release of the amounts retained will only be considered for Pay Items that have been satisfactorily completed.

A Pay Item will be considered satisfactorily completed only if all of the Work for the Pay Item is complete and all contractual requirements pertaining to the Pay Item and Work have been satisfied.

Beginning with the fourth month after First Notification and every third month thereafter, the agency will release retainage for satisfactorily completed Pay Items.

21

Contract Payment System

22



Contract Payment System Access (CPS)

Internal ODOT Users

Contact the Contract Administration Unit

– Provide user name

– User authority

– Responsible contracts

23


External Users (Local Agencies & Consultants)

Contact the Contract Administration Unit

– Request a pin

– Return request user name (email address), user authority, responsible contracts

24




CPS Contract Administration Requirements

QPL Product Number Tracking

Potential Unbalanced Bid Item Tracking

25

The Contract Payment System Retainage Tool & Reports

26

Contact:

James SealyODOT Contract Payments Specialist

503-986-3028 [email protected]



Key Inspection Points

General Dailies are a necessary evil and the most important document

A good picture is worth a thousand words

Region Assurance Specialist is a resource

Address items noted on Document Review Report

Stay organized by writing paynotes and keep up with your documentation. Don’t wait until the end of the month!!!!

27

Unit 19 Review

Daily Reports

Public Records

Region Assurance Specialist (RAS) Role


CPS – How to Request Access

28