Section 4: Project Records

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Notice of Beginning Work

After the pre-construction conference and prior to beginning work, the area engineer (AE) will send the construction engineer (CE) a Notice of Beginning Work. The notice, which may be sent by e-mail or fax, includes the:

  • project number
  • CCSJ
  • date work will begin
  • AE’s name, address, and telephone number and
  • contractor’s name, address and telephone number.

Immediately after the contractor begins work, the district inputs the Work Began date directly in SiteManager, Critical Dates tab. Consult with the automation administrator for assistance in accessing SiteManager and for local network or system problems.

When the contractor requests payment for material-on-hand (MOH) for projects such as seal coat or traffic signal installation before actually beginning work, the AE may issue a “Notice of Beginning Work.” The AE suspends all work and working day charges until work or working day charges begin in accordance with the contract.

The notice of beginning work needs to be submitted only once for each construction contract. Individual projects within the contract. and suspensions or resumption of time during the project duration do not require additional beginning notices.

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Progress Schedules

Obtain a progress schedule from the contractor prior to beginning of work. Ensure that the progress schedule conforms to the contract requirements and contains the following:

  • all planned work activities and sequences
  • contract completion within the number of working days specified
  • major material procurements
  • known utility relocations
  • beginning and ending dates, and duration in number of working days for each activity
  • estimated production rate per working day for each work activity and
  • other activities that may affect completion of the contract.

Unless otherwise shown in the contract, obtain monthly updated progress schedules from the contractor. Review the schedule to ensure conformance with the contract. If the progress schedule indicates that the contract will not be completed within the number of working days specified, obtain written clarification from the contractor that states whether they will revise the progress schedule to meet the number of working days specified or exceed the number of working days specified.

Review major changes to the progress schedule submitted by the contractor that may affect compliance with the contract requirements or that change the critical path or controlling item of work. These proposed major changes may be rejected.

For multiple work order contracts, ensure that the contractor submits a progress schedule for each work order.

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Project Diary

Maintain a project diary. A properly maintained project diary provides invaluable documentation of the prosecution of work and related events should controversies arise later. Record working day charges and important events, activities, and discussions which occurred on the project. For projects involving multiple inspectors, the project engineer or chief inspector maintains the general project diary while all other inspectors file diary supplements to the general diary.

Maintain and update the project diary daily in such a manner that new personnel may take over the inspection work and maintenance of the diary at any time. Make diary entries in ink and corrections by lining out the entry, initialing, and dating. Do not make erasures or use correction fluids, like Wite-�Out®.

For SiteManager projects, while hard copies of the project diary may be used, make all official project diary entries in a SiteManager Daily Work Report (DWR).

Daily diary entries include:

  • date
  • weather conditions
  • contract time charged and reasons for days credited
  • work in progress, including temporary erosion control
  • location of work
  • approximate quantities of work
  • contractor’s and subcontractor’s work force
  • arrival and departure of equipment
  • quantity and type of equipment and activity at the project site
  • important instructions to the contractor
  • names of official visitors and a summary of any discussions with the visitors
  • unusual construction or work conditions
  • decision-making discussions with the contractor
  • direction provided to the contractor
  • disagreements with the contractor
  • detailed information that may have a connection with a probable dispute or claim against the department
  • utility or other construction conflicts
  • project completion and final inspection activities
  • other important features of the project, such as discussions concerning Disadvantaged Business Enterprise ( DBE) and Equal Employment Opportunity ( EEO) requirements, Commercially Useful Function (CUF) reviews, etc.

When working day charges are suspended due to non-acquired right of way ( ROW), railroad issues, or utility relocation, list the weather conditions in the diary with a note indicating whether a day would normally be charged in accordance with the contract. This allows for easy determination of Federal Highway Administration (FHWA) participation. Exclude working days that would not have been charged due to weather conditions when calculating FHWA non-participation.

Complete at least one page for each day from the date the contractor begins work or the date working day charges begin, whichever occurs first, to the completion of the work.

Sign the daily diary entries. If more than one person makes notes on a daily entry, each person signs in his or her own handwriting for his or her individual portion.

When the project is complete, combine all project records into one file (i.e., the diaries, pay records, correspondence, etc.).

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Materials Received

Maintain records for all materials received on each project. When purchasing materials by weight, make sure weights are accurate. Develop and use a method to ensure that all material weight is correct. The weight verification program includes random check weighing, observation of weighing procedures, scales inspection, and observation of plant weighing. Determine the method for verifying weight based on available personnel, equipment, and existing conditions. Refer to Chapter 11, Measurement and Payment, for a summary of the measurement and payment process.

When the contractor furnishes materials from within the construction project, refer to established laws, policies, procedures and Article 6.8, “Use of Materials Found on the Right of Way" of the Standard Specifications. Also use the Article 9.1, "Measurement of Quantities," and Item 520 "Weighing and Measuring Equipment" of the Standard Specifications.

Document any revisions to the material testing schedules. Ensure that material testing records are audited by the district construction auditor or area engineer to ensure that all materials placed on a project are received from approved suppliers and are tested in compliance with the requirements established for the contract and approved by the project engineer.

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Records on Temporary Suspension of Work or Working Day Charges

When work or working day charges are temporarily suspended, provide the contractor a written notice listing the reasons for the action and the effective date of the suspension. Record the suspension and reasons in the project diary accordingly.

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Resumption of Work

When work and working day charges are resumed, notify the contractor in writing of the work resumption. Record the resumption in the project diary.

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Working Day Charges

Working day charges are kept correct and current by daily entry into the project diary. When the project diary shows one working day charged, follow it with the total working days charged to the project. Provide an explanation in the project diary if a working day is not charged.

Working day charges may not be changed once entered and approved in SiteManager or posted in CIS. Increase the number of contract working days to correct working days charged incorrectly. Record the added working days in the project diary and notify the contractor in writing. Additional working days may be granted either by letter or change order. If granted by a letter, send a copy of the letter to the Construction Division, Construction Section. Enter the total additional working days into either SiteManager or CIS, as appropriate.

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Anticipated Project Completion Letter

At least ten calendar days prior to contract completion, send an "Anticipated Project Completion" letter to the appropriate state senator and representative.

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Contractor’s Labor Payrolls

The contractor and approved subcontractors must pay the wage rates specified in the contract’s wage schedule, at a minimum. Ensure the wage rate schedule is posted in a conspicuous and accessible location on the project site. When the contract wage schedule does not include a job classification utilized on the project, the contractor must submit a request for an additional classification using the “ Additional Classification and Wage Rate Request” form. For federal projects, forward these requests to the CST, Labor & Contract Administration Branch (L&CA) for review and submittal to United States Department of Labor (USDOL) for approval. Review and approve Additional Classification and Wage Rate requests at the district for state funded contracts. Send copies of district approved requests to CST-L&CA. CST-L&CA maintains a list of approved additional classifications.

Employees must receive overtime pay (1.5 × regular rate) for all work in excess of 40 hrs. per week. Overtime pay is based on hours actually worked in excess of 40 hrs. Therefore, do not consider holiday, sick leave, or other pay for time not worked in determining eligibility for overtime pay.

The prime contractor must send a letter showing the name and title of each person authorized to sign payrolls and certifications. The letter must be submitted before beginning work or with the first payroll.

All contractors must pay employees not less than once a week. A copy of the weekly payroll record for each project and contractor must be received for all federal-aid contracts. Contractors may use Form WH-347 or other form that provides the same information. The prime contractor is responsible for ensuring that subcontractors comply with this requirement.

Review weekly payroll records for compliance with the contract’s minimum wage requirements. This review must include a minimum of at least 10% of the total project workforce. A review of each payroll is not required; rather, how the 10% minimum is satisfied is at the discretion of the district. A contractor’s history of compliance or non-compliance may be used as a factor in determining the 10% minimum.

Labor compliance interviews of all contractor and subcontractor project employees are required on federal-aid contracts. Use Form 2220, Labor Standards Review, to conduct at least three labor interviews for each project per quarter when work was performed during the quarter. Verify the wage rate and job classification of the interviewed employee with the weekly payroll. Retain the completed interview forms in the project file.

The first payroll record must contain the following information for each employee:

  • name
  • social security number
  • address
  • phone number
  • job classification
  • rate of pay
  • daily and weekly number of hours worked
  • gross pay
  • deductions made
  • benefit calculations made by employer (calculated on hourly bases)
  • net pay.

Employee social security numbers, addresses and phone numbers need only appear on the initial project payroll record and on the first payroll on which a new employee appears.

The job classifications listed in the Associated General Contractors (AGC) Standard Job Classification and Descriptions for Highway, Heavy, Utilities and Industrial Construction are recommended for use on a contractor’s weekly payroll record. If the contractor uses other code numbers or abbreviations, obtain a list of the code numbers or abbreviations with the corresponding job classification from the contractor for each payroll record.

The names of truck owner-operators are to appear on a contractor's weekly payroll with the designation “Truck Owner-Operator.” No other information is required.

Payroll deductions must comply with the regulations specified in 29 CFR 3.5. The reason for any deduction from an employee’s wages must be specified on the payroll record. Generally, deductions made in compliance with state or federal law (that is, social security and income taxes), a court order, or pursuant to a bona fide fringe benefit plan do not require scrutiny. Direct questions concerning the legality of any deduction to the attention of CST-L&CA.

Each week, contractors must furnish a statement regarding compliance with the various wage and payment requirements. The compliance statement must be signed by the contractor or an authorized agent responsible for the payment of wages. The statement must be on Form WH-347, "Payroll (For Contractors Optional Use)," or on any form with identical wording. Each weekly payroll and compliance statement must be submitted within seven calendar days after the end of the payroll period. For weeks when no work is performed, the statement of compliance is submitted with the statement "No work done this week." For longer periods of inactivity, the statement "No work until further notice" may be written with no subsequent statements submitted until work resumes.

In accordance with federal regulations, each contractor must retain weekly payroll records for a period of three years from the date of the project final acceptance.

Generally, prevailing wage rate requirements apply to hauling work that is either within the project limits or to or from an offsite location that is dedicated exclusively to the project. Obtain guidance regarding the minimum wage requirements for hauling work from CST-L&CA. Use the “Subcontracting and Payroll Requirements" to determine when payroll records are required and when a firm must be approved as a subcontractor on a project.

Retain payrolls and associated records during the life of the contract. Refer to the Records Management Manual for the record retention schedule.

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Final Plans

Upon project completion, revise the original plans to show the project as-built. Place the words “FINAL PLANS” in a conspicuous place on the title sheet with the following:

  • contractor’s name
  • letting date
  • begin date of work and
  • date of completion and acceptance.

Show a summary of all change orders (COs) on the title sheet. If needed, insert a separate summary sheet immediately following the title sheet.

For projects involving bridge construction, the drilled shaft or pile foundations tip elevation must be indicated on the bridge layouts in the final (as-built) plans. Completed Form168*, Form181*, and Form1276* may be used to determine the tip elevations. (*Note: Forms available through the TxDOT Intranet only.)

The responsible engineer signs, seals, and dates the title sheet of the final as-built plans to reflect that work was done according to the contract. Initiate the following procedures in developing final as-built plan sets:

  • Submit a Form 1515 with the entire as-built construction plan sets to the General Services Division (GSD) Reprographics.
  • Mark deleted plan sheets with a large X, otherwise delete the sheets.
  • Submit as-built plan sets in hard copy or electronically. If submitting electronically, contact GSD Reprographics for imaging and naming standards to ensure the quality and integrity of the plan sets.
  • As-built plans will be permanently retained and may be viewed through the department’s Intranet site, “Crossroads,” at http://iplans/. This site will allow viewing; however, it prints only one page at a time. Complete as-built plans may be transmitted to districts electronically. To obtain an electronic copy of a complete as-built plan, send a GroupWise request to PLANSOL. An electronic copy of the file will be posted for retrieval via the internal Plans Online site at ftp://iplans/. Plans Online is the official source for plan retention.
  • Except for working/shop drawings (such as prestressed beam shop drawings) that show details needed for permanent reference, maintain working drawings as part of the project records rather than the as-built plans. For a list of the drawings to be submitted as part of the as-built plan, please refer to the 2004 Construction Specification Required Shop/Working Drawing Submittals chart located on the Intranet. Drawings to be submitted are indicated with a number 6 in the comment column of the chart. Districts should include any contractor’s as-built plans such as intelligent transportation and irrigation system as-built plans. Include a listing of the final working drawings and/or contractor drawings on the index of sheets.

GSD will scan the plan sheets and insert the image files into the Plans Online database.

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Required Reports and Forms

Submit the following reports and forms (see Chapter 17, Forms and Documents, for referenced forms or click the "highlighted" text).

Change Order (CO). After preparation, send all CO's ( Form 2146, Change Order and SiteManager COs) to CST-L&CA for further processing. CST-L&CA will notify the Finance Division (FIN) and distribute copies as needed. For auditing purposes, all COs with original signatures are filed with the contract.

For CIS projects only, submit a supplemental CO to change a previously submitted CO. Show only the amount of adjustment to the original CO on the supplemental CO. Indicate a zero on the “added line” if changes apply only to the description or code. Identify the CO as supplemental by inserting an “S” after the CO number on the CO form.

Supplemental Agreement (SA). Send all SAs to CST for review and execution. Refer to Chapter 7, Supplemental Agreements, for detailed information.

Time Extension (TE). When TEs are granted by letter rather than CO, send the TE letter to the contractor with a copy to CST. COs must be issued for SiteManager TEs.

Final Estimates (FE)

Prior to approving the FE:

  • obtain material and tests clearances
  • verify that the Disadvantaged Business Enterprise/Small Business Enterprise ( DBE/SBE) goal has been met. If the project DBE/SBE goal has not been met, obtain approval from the Business Opportunity Programs Office (BOP) prior to processing the FE.
  • obtain an On-the-Job Training (OJT) summary from the contractor, if applicable (see Chapter 15, Contractor Workforce)
  • complete and approve all COs
  • obtain a completed FHWA-47 on federally funded contracts.

For CIS projects, submit the approved FEs to FIN no later than 60 calendar days after the final acceptance of the work using the CIS02, CIS04, and CIS05 reports.

For SiteManager projects, submit local participation reports, if applicable, federal-aid project forms, and Statements of Cost (SOC) to FIN, Accounting Management Branch no later than 60 calendar days after the final estimate approval. The Accounting Management Branch will review and notify the district of concurrence or the need for a corrected SOC. Refer to the Financial Management Policy Manual, 'Local Participation' for further information.

CCSJ Removal from CIS

Complete the "Date Work Completed" CIS field in a timely manner to ensure the proper removal of the contract record from CIS. All CIS contracts are removed on the third anniversary of the project's FIN finaled date.

Federal Highway Administration Form FHWA-47 – ‘Statement of Materials and Labor used by Contractors on Highway Construction Involving Federal Funds’

For all National Highway System (NHS) federal-aid construction contracts, complete Part A of FHWA-47 immediately after work is completed. Ensure the contractor completed Part B of the form in accordance with instructions listed on the back. The following are exempt from this requirement:

  • projects less than $1,000,000
  • projects installing protective devices at railroad crossings or
  • projects for highway beautification.

Verify the information on Parts A and B of the completed form is accurate.

For exempt (state oversight) federal-aid projects, sign, date, and send the form to:

Federal Highway Administration

Office of Program Administration HIPA-10

400 7th Street, S. W.

Washington, DC 20590

  • For non-exempt (federal oversight) federal-aid projects, sign, date and send the form to:

Federal Highway Administration

826 Federal Office Building

300 E. Eighth St.

Austin, TX 78701

Form FHWA1494 – Semi-Annual Labor Compliance Enforcement Report

This report contains information concerning the compliance and enforcement of the Davis-Bacon and Related Acts (DBRA) for a project. Semi-annual reports are required for the following time periods:

  • October 1st through March 31st and
  • April 1 through September 30th.

Complete this form for each project and submit to the CST-L&CA.

Form 2235 (replacing Form FHWA-1446C) – Final Inspection of Federal-Aid Project Constructed under 23 U.S.C. 117

Complete Form 2235 when accepting the project for federal-aid participation. Send a copy of this form to the Finance Division, Accounting Management Section within 60 calendar days of the final contractor payment.

On the form, include all non-participating costs, such as any non-participating change orders and their respective amounts, any non-participating time extensions due to delay of utility adjustments or any other reason, and any other miscellaneous non-participating costs.

The original Form 2235 should be retained in the district’s contract file. The FHWA and Construction Division do not need a copy of this form.

Letter of Certification of Materials Used

Prepare a “Letter of Certification of Materials Used” for non-exempt federal-aid contracts and submit to the FHWA division office in Austin. Exempt federal-aid contracts do not require this letter.

Form FHWA-1391 - Equal Employment Opportunity (EEO) Compliance Program Forms

Ensure that each contractor and subcontractor submit FHWA-1391 (Federal-Aid Highway Construction Contractors Annual EEO Report) by August 5th for each contract. The form should reflect all employees working during peak activity during the month of July. Subcontractors may submit this form through the prime contractor or directly to the department. Reports indicating no activity are required when no work is performed during the month of July. Subcontractors with contracts of less than $10,000 are exempt from this requirement.

Review and sign Form FHWA-1391 as the “reviewer.” Distribute one copy to the AE contract file and one copy to the district office.

Consolidate the results of all completed forms FHWA-1391 received from contractors within a district on Form 1392 (Summary of Employment Data). Submit Form FHWA-1392 along with all FHWA-1391 forms received, to the Office of Civil Rights (OCR) by August 15th

Form168* - Pile Record

The original of this record shall be maintained by the TxDOT district. It shall be made a part of the permanent project file and incorporated into the final as-built plans. No distribution outside of the district is required.

Form181* - Test Pile Data

The original of this record shall be maintained by the TxDOT district. It shall be made a part of the permanent project file and incorporated into the final as-built plans. No distribution outside of the district is required.

Form1276* - Drilled Shaft Records

The original of this record shall be maintained by the TxDOT district. It shall be made a part of the permanent project file and incorporated into the final as-built plans. No distribution outside of the district is required.

*Forms available through the TxDOT Intranet only.

NOTE: For forms 168, 181 and 1276, document the work used for trouble shooting problems and determining pay quantities during the operation.

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