CHAPTER 1 OFFICE ORGANIZATION AND CORRESPONDENCE

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PROJECT START-UP
Receive Plans, Proposals, and Engineers work up, to familiarize yourself with the project o Highlight pertinent information in the plans o Tab special notes, special specification and other pertinent information in proposal o Tab different sections of Contract Plans for easy access Contact the Projects Designers, ROW Group, Landscaper and others that were involved with the design for any pertinent background information, or specific concerns. Attend preconstruction meeting, set up by Regional Office o Exchange of documents between Contractor and EIC o Discussion of Project specific details o Obtain EEO requirements information With Contractor, assist the Engineer In Charge in locating and setting up Field Office, adhere to Field office Specifications Initial Letters/Memos to be sent once Project begins: o Internal Memos: Travel Restrictions ~ to Permits Dept. (1R-5) o If your project will have any travel restrictions, notification must be given to the permits department so that no permits will be issued. In addition, all lane restriction must be reported to the CARS system (whether through the field office or the Region) as they occur. Bridge Posting ~ to Structures Dept. (1R-6) o If there is a bridge on your project that will be closed, you may be required to fill out a bridge posting/closure/opening report and submit it to the bridge inspection department at the closing/opening of the bridge. Contract Information Sheet ~ to Regional Construction Office (1R-11, 12, or 14) o Use appropriate one for your Contract Emergency Phone Numbers for Project ~ to Regional Construction Office (1R-13) o To the Contractor: Review of Contractors Project Schedule, send appropriate letter Approval or Disapproval (1R1&2) Specific language required, use letters in 1R Chapter Acknowledgement of Health and Safety Plan (1R-3) Specific language required use letter in 1R Chapter Listing State Owned Equipment (1R-4) SEAT Management Computer Equipment Survey/Testing Equipment Any other

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PROJECT START-UP (continued) Verify that the stakeout service has been notified BY CONTRACTOR for a stake out for any
excavation work. NOTE: Stakeout is ONLY good for 10 days, so several notifications may be needed. Remember not all utilities (NYSDOT Signals for example) are members of Dig Safely or other regional services; they will need to be notified separately. Project Inventory of Pre-Construction conditions o Some projects may be using stakeless survey/GPS to locate existing features this would be through a request to your regional survey/construction survey group o At the very least, the following needs to be checked/verified/measured: Existing signs (condition and location) 1R-34 Pavement markings (station and symbol) Guide rail (measure locations to be removed) 1R-35 Mailboxes (number and locations) Water & gas/valve boxes, manholes (location and count) Trees for removal/protection (verify count and location) Driveway/ sidewalk condition prior to construction - PHOTOGRAPH!

Anything that is slated for removal should be verified and counted/measured, and photographed if needed. Photograph anything historic ie: carriage steps, hitching posts, slate sidewalks etc. * Photo/video project BEFORE the start of construction *

OFFICE SET-UP
Obtain needed supplies from Construction Office for non-consultant projects. (MURK forms, office supplies, etc.) Line up testing equipment (including forms/supplies) and needed survey equipment for project. Verify that a set of Metric/English (as appropriate) Standard Sheets are in the field office. If you need Project specific sheets, contact your Regional Construction Office for assistance. Engineering Force Sign-In Sheet. (1R-7); o All State or Consultant staff on the project must sign in and sign out. Include temporary staff o Must be established for every project (project specific) o Needs to be kept up to date o Must be placed in front of each Engineers Diary book(s) o Suggest placing a copy in front of each DWR book(s) Make out a monthly DWR Summary Sheet linking the inspector to a specific dated DWR. This belongs in the DWR book. (2R-1) 1-2

OFFICE SET-UP (continued)

Emergency Staff Notification Sheet (1R-10) o This sheet should be filled out for all State Consultant/Inspection staff o The emergency number/notification sheet(s) should be filed and accessible to the EIC, Resident Engineer and Office Engineer. o Update as needed o Optional, but highly recommended Record answering machine with outgoing message, a suggestion is: You have reached the New York State Department of Transportation Field Office for Contract Dxxxxxx, description of project. We are unable to answer your call at this time, please leave your name, telephone number, and a brief message and we will return your call as soon as possible. Thank you. Designate a set of large plans and label them Record Plans or As Built IN RED INK Designate a set of small plans and label them Office Plans (use these for tracking completed payments) Verify that notification regarding the project has been sent to, but not limited to: Town/Village/Town Officials, Fire/Emergency/911 dispatch, State Police/County Sheriff/Local Police, Schools, Travel Advisory Officials, Regional Public Relations, Maintenance Residencies, DPW (if county or town facility), and adjacent property owners. Label all Project Books (DWR, Diary, MURK 14, and any other bound information) with If found return to... label. Prepare Initial Entry forms (ROW 114A) for all affected Properties, THESE MUST BE SENT TO REAL-ESTATE AS SOON AS CONTRACTOR HAS MADE FIRST ENTRY ON A PARCEL Daily Work Schedule (1R-9) o Receive a daily schedule from the contractor (usually established at preconstruction meeting) Some projects may receive a weekly as opposed to a daily schedule, only upon concurrence from the Engineer In Charge o Have schedule filled out by EIC or Resident Engineer for work assignments o Daily work schedule should be posted either the afternoon before or the morning of the date of work prior to the start of operations o At the end of the day, place in folder for reference o Daily work schedule assists in numbering of DWRs, recording weather/temperatures, and keeping track of inspection staff 1-3

OFFICE SET-UP (continued)

Bulletin Board (Field Office) The bulletin board is to be established in the field office and placed in an area visible to all inspection and office staff. The bulletin board is to be set up as per CAM Section 96 under Part II (Engineers Field Office Bulletin Board). Most posters are available on the Office of Construction website. If there are any issues with attaining the EEO, Safety or Environmental posters, contact your Regional representative for assistance. Bulletin Board (Contractor) The bulletin board is to be established in the Contractors field office and placed in an area visible to all field staff/employees and office staff. The bulletin board is to be set up as per CAM Section 96 under Part I. The bulletin board for the Contractor is to be verified by NYSDOT that it has been placed in a visible spot and all postings are exhibited. o Use checklist for verification (1R-15) Note: There are instances where a stationary structure does not exist for a field office (the EIC is using his/her vehicle as the office) it is suggested that the EIC keep a folder in the car of all pertinent bulletin board information for easy reference

PROJECT FILES Establish Correspondence Files (File Folders) (Reference CAM Section 90) Establish a correspondence log as per the Engineer In Charge and Resident Engineer o Examples of logs (1R16 -21) o File as per file listing (establish only those files pertinent to the project) o If correspondence log is on computer program make sure to print out and back up periodically. Establish a list of abbreviations for correspondence log, where applicable. Adhere a copy of active list of files to front of fire proof cabinet(s).

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CORRESPONDENCE FILES The following are generic if your Region has established a filing system in addition to these they should be utilized, not all files will be utilized on all projects and you should only maintain files pertinent to your project. NAME ACCIDENT REPORTS FILE DESCRIPTION All vehicular and pedestrian accidents that occur on the project site are filed in date order. Reminder: EIC/RE to record any accident in the remarks section of the project diary. All asbestos submittals, notifications to Labor Department and EPA are to be filed here.

ASBESTOS PROJECT RECORD

ASPHALT PLANT APPROVALS The letters from the contractor requesting the approval of each asphalt plant are filed here along with the letter from the regional office approving the specific plant. It is recommended that the approval letter be stapled on top of the request for the plant. Any changes that are submitted and the resulting action should be stapled on top of the original submission as latest approval. ASPHALT TICKETS & PLANT REPORTS All asphalt plant reports (BR forms) are filed in the appropriate item folder in date order, most recent on top. The daily asphalt tickets should be stapled behind the respective plant report in sequential order. This is a temporary file, not part of the final records, and should be taken from project to project. This file is to include any memos, e-mail and instructions pertaining to software programs or applications (ie. CEES updates) developed for use by NYSDOT.

CEES COMPUTER FOLDER

COLD PATCH CERTIFICATION All cold patch certifications with the respective daily cold patch delivery ticket are to be attached (stapled) in sequential order behind the certification. CONCRETE CYLINDER REPORTS All BR 300 reports are filed in date order

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CORRESPONDENCE FILES CONTINUED: NAME CONCRETE MIX DESIGN FILE DESCRIPTION The mix proportion printout should be obtained from the technical services group after the plant is approved. This is required for special mixes.

CONCRETE PLANT APPROVALS

All letters requesting approval of specific concrete plants filed in date order. If a plant is subsequently unapproved, the letter notifying the contract of the plant=s unacceptability should be stapled on top of the original letter approving the plant. Concrete plant reports (BR forms) with respective daily concrete tickets attached (stapled) in sequential order behind the plant report. The plant reports should be filed in date order. The proposal, agreement, and completed HC201 (itemized proposal) that was received with the EIC package at the start of the project, low-bid item analysis (bid sheets), tabulation of bids and vendor ranking (spread report), and all prevailing wages during the life of the contract. (Every Project is to have this package) Each consultant estimate should be filed in numerical order with the transmittal memo sent to the Regional Office, not needed as a final record but only for the duration of the contract, unless otherwise noted by the regional office. All general correspondence, incoming and outgoing. (All correspondence is to be numbered and cross referenced where applicable). All correspondence logged on contract. All related disputed work correspondence and documents between the contractor and the State are filed in date order as well as in the correspondence file.

CONCRETE TICKETS & PLANT REPORTS

CONFORMED PROPOSAL (AWARD PACKAGE)

CONSULTANT ESTIMATES

CORRESPONDENCE FILES

CORRESPONDENCE LOG DISPUTED WORK FILE

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CORRESPONDENCE FILES CONTINUED: NAME EEO APPRENTICE DOCUMENTATION EEO D/M/WBE FILE FILE DESCRIPTION Apprentice registration documentation (JT-401), wage rates, apprentice/journeyman ratios (AAP-26). AAP19, AAP21, AAPHC-89, and any correspondence pertaining to D/M/WBEs. The monthly submission and a copy of the regional office transmittal letter are filed in this folder in date order. A copy of PR 1391 forms transmitted to the regional office each July are filed in date order. The affirmative action guideline and project site record (yellow book) that is received at the preconstruction meeting, the manpower and training utilization schedule (AAP 35), which is received from the contractor at the beginning of the contract, and the affirmative action preconstruction checklist (HC183) are filed in this folder. All contact sheets for the contractor, key project staff and other emergency contact information shall be filed here. On State inspected projects, the original charge sheets for a period are submitted to the construction (area) supervisor for transmittal to payroll for calculation. The completed forms are returned to you for input as a charge to the contractor. The monthly estimate to Albany shall include two (2) copies of these charge sheets. On Consultant projects, charges for State personnel are as noted above. Charges for consultant personnel are calculated based on the rates of the consultant and added to the State personnel charges. At the completion of the contract, a summary table is prepared for all charges. The original and two (2) copies of the summary table and charge sheets for each estimate period previously submitted are submitted to contracts along with the final.

EEO UTILIZATION (33d)

EEO PR1391

EEO PROJECT SITE RECORD

EMERGENCY CONTACTS

ENGINEERING CHARGES

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CORRESPONDENCE FILES CONTINUED: NAME ENVIRONMENTAL FILE DESCRIPTION All issues pertaining to environmental documentation (ie. SPEDES Permit, ECOPAC, Hazardous Waste Manifests, etc.) should be filed in this folder. All correspondence concerning each extension of time is filed together. Each grouping should consist of the application, the letter of extension of time from the construction supervisor and any follow up correspondence. Additional extensions of time are to be filed in date order in this folder. One field change should be filed per folder with all pertinent documentation. This is a working folder and should not be filed at the end of the project. During the project any documentation received for the Final should be placed in this folder for easy access and retrieval when compiling the final for the project.

EXTENSION OF TIME

FIELD CHANGE PAYMENT (FCP) FINAL

FHWA INSPECTION REPORTS

All FHWA inspection reports and related correspondence are filed together. Additional inspection reports are filed in date order. This is a working file and the documentation for a force account is to be transferred to the corresponding OOC file when the FAW is submitted. A copy of the contractor=s certificate of insurance. All notices to the contractor advising him/her to renew all or portions of his/her insurance and subsequent new certificates of insurance are filed in date order.

FORCE ACCOUNT WORK (FAW)

INSURANCE FILE

INVENTORY - EXISTING

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

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CORRESPONDENCE FILES CONTINUED: NAME ITEM(S) FILE DESCRIPTION Every Project should have item folders as noted. All evidence of acceptability, catalog cuts, and miscellaneous information pertaining to a specific item including work-ups and studies. One folder is used per item except for items that can be grouped by families (like items with identical requirements/documentation) All labor law violation reports and follow-up correspondence are filed by each incident. Multiple violations are to be filed in date order. The listing of materials and evidences of acceptability required for each item from the CEES (Material Basis Summary Report #31, Display/Print) and any additional information obtained by the MURK person or OE. This list is used for the MURK 14b sheets optional suggested to use for multiple material requirements for single project item. All minutes of meetings filed in date order. The forms for each (monthly) estimate are filed here, a folder per estimate. The CEES CONR 22 printout, the data entry form, the fuel and asphalt summary report(#19), the CONR 30b and the contractors affidavit of payment to the Subcontractors (applicable AAP21), the DWR listing for payment period (check) and the returned CONR from Albany. Include modified DWR report, FCO signature sheet, charges to contractor, if applicable. All orders on contract (OOC) and all directly related correspondence for that order on contract. The approved copy of the OOC should be filed on top of package. The orders on contract are to be filed in number order.

LABOR LAW VIOLATIONS

MATERIAL ACCEPTANCE CHECKLIST

MINUTES TO MEETING FILE MONTHLY ESTIMATES

ORDERS ON CONTRACT

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CORRESPONDENCE FILES CONTINUED: NAME ORIGINAL ENGINEERS ESTIMATE FILE DESCRIPTION The design engineer's estimate that is provided at the beginning of the project is filed here. Additional design work-ups/clarifications provided as the project progresses can be stored here or in their respective item folders. The contractors request for overtime dispensation and the States approval or disapproval are filed here. All subsequent requests are filed here in date order. Where applicable the contractor is paid up to 85% of material costs for specific items, this is a partial payment. The CONR 314 form is used to calculate the partial payment and/or reduction there of. One form per item is used. The CONR 314's are filed here; attached behind each one are the certificate of title or bill of sale, a release of liens, the request by the contractor to the construction supervisor for partial payment and the State=s approval. Subsequent CONR 314's for the same item are filed on top of the original CONR in date order, since each form makes reference to information on the previous form. Note: Evidence of acceptability are filed in their respective item folders. Core reports (concrete and/or asphalt pavement). The contractors payrolls and compliance statements for himself and each subcontractor are submitted for each week they work any amount of time on the project. A separate folder is used for the contractor and each subcontractor. The payrolls are filed in date order in folders in alphabetical order. A copy of all permits for private or public work on the project site are filed in date order and any accompanying memorandums or transmittals. All DEC permits are filed in date order.

OVERTIME DISPENSATION

PARTIAL PAYMENTS

PAVEMENT CORES PAYROLLS

PERMITS

PERMITS - DEC

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CORRESPONDENCE FILES CONTINUED: NAME PERSONNEL FILE FILE DESCRIPTION Any documentation on State personnel assigned to project sent from Regional Office. Photographs, disk (with log) and/or video cassette of project All construction punch lists given to the contractors with transmittal letters are filed in date order Any changes or revisions to plans stipulated on DWR, copy of DWR should be placed here for future reference when updating record plans. HC 199 (request for re-establishment of approaches to private lands)

PHOTO/VIDEO LOG

PUNCH LIST

RECORD PLANS

RELEASES ROW/DRIVEWAY

ROW 114 FORMS

A copy of the 114a.type memos generated by the computer. These memos/forms are sent to the real estate group for temporary occupancy or temporary easement of properties. All ROW maps are stored in this folder. If the maps do not fit the folders, they can be rolled and stored in a box similar to record and working plans. Copies of the contractor & consultants hazardous communication program, health & safety plan and applicable State bulletins. Also, any other contractor related health and safety communications. The material safety data sheets provided by the contractor for all chemicals used on the project are filed alphabetically in this file, as well as in pertinent item folders. Minutes of all tailgate meetings

ROW-MAP

SAFETY & HEALTH

SAFETY - MATERIAL DATA SHEETS

SAFETY TAILGATE MEETINGS

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CORRESPONDENCE FILES CONTINUED: NAME SALVAGED MATERIALS FILE DESCRIPTION All salvaged material receipts filed in item and date order.

SAMPLING & TESTING REPORTS

All BE 249, BR 250, and SM 464 reports. (Recommend placing with corresponding item in item folder) Project schedules: CPM, weekly, monthly etc. Log of shop drawing submissions for each applicable item, filed and posted on the wall for all inspectors to view.

SCHEDULES SHOP DRAWING LOG

SHOP DRAWINGS

All correspondence and shop drawing submissions filed per item with approved shop drawing on top. The soil boring reports that are obtained from the design or soils group are stored in this folder. These should be obtained at the beginning of the project. All compaction and gradation test reports filed in date order and broken down by item number if applicable. All subcontractor approvals, CONR 89, and subsequent modifications to the original submissions. Each form is given a number by the contracts section, the forms should be filed sequentially by this number, not by the subcontractors name. Note: A copy of the summary chart should be attached to the inside front of this folder for first and last day of work and subcontractors item numbers. Letters of material suppliers, manufacturers, or fabricators submitted by the contractor to the EIC/Resident Engineer, listed by item and specific material. A copy of any correspondence rejecting any material supplier is attached to that specific suppliers submission, on top.

SOIL BORINGS

SOIL TEST RECORDS

SUBCONTRACTOR APPROVAL

SUPPLIER SUBMISSIONS

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CORRESPONDENCE FILES CONTINUED: NAME SURVEY NOTES FILE DESCRIPTION All survey notes taken by the State, consultant, or field personnel. Any computer forms used are to be kept in this file. A copy of all transmittal letters including the contractors transmittal letters for payrolls, EEO forms, material acceptance, etc. are filed here in date order. The actual information being transmitted is filed in the respective files. Exception to this is that shop drawing transmittals must be in the appropriate shop drawing folder.

TRANSMITTAL LETTERS

UTILITY FILE

All utility permits, drawings, plans, sketches and correspondence concerning utility work on the project is filed in this folder. A copy of wage rate interview forms completed during the life of the contract in date order. A copy of welder certification card for each welder used on the project.

WAGE RATES

WELDER DOCUMENTATION

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

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

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LIST OF ACTIVE FILES FOR Dxxxxxx Asphalt/Fuel Reports Asphalt Plant Approvals Asphalt Plant Tickets CEES Back-up Log CEES Computer File Cold Patch Certification Concrete Cylinder Reports Concrete Mix Design Disputed Work Delays Engineering Charges Extension of Time EEO Training Reports EEO Correspondence A1 A2 A3 CEES1 CEES2 C1 C2 C3 D1 D2 E1 E2 EEO1 EEO2

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

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MEETINGS Keep minutes to all pertinent meetings on site or with EIC. o Pre-construction o Pre-paving o Pre-Erection o Pre-Demolition o Health and Safety o Any other pertinent meetings on project o Sample of attendance sheet 1R-22

AS-BUILT RECORD PLANS (Reference CAM, Section 90 and Section 109-05) Keep a file of field changes (ie. use Finals Folder) Keep up Record Plans in red pencil through out the duration of the project (for use in revising the As-Builts which are to be penned in black ink) The draft Record Plans (red pencil) are to be turned in as Draft As-Built Record Plans along with As-Built Record Plans (penned in black ink).

PHOTOGRAPHS (Reference CAM Section 90) Prior to construction preconstruction photos are to be taken of the site. Keep a photo log / index of all photos taken (pre-construction, progress, and post construction photos). o Suggest to keep thumbnail photo sheets of all photos and index / label/ number them and detail if they are preconstruction , progress or post construction photos Photos are to be dated, job stamped, numbered, and direction taken noted as well as description/location taken of photo o If photos are not individually printed a log needs to be kept on each photo taken and the direction and location of the photo At the close of the project the photo disk (computer disk) should be turned in labeled with the contract number, description and duration of contract dated o The thumbnail sheets should be included with submission of the photo disk Remember to photograph: o Historic item(s) on project. o Check with Environmental Specialist o Pre-existing drainage issues o Take during wet conditions

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SHOP DRAWINGS (Reference CAM, Section 105-16) Establish a shop drawing log (1R-30) Distribute as necessary and review in house for site conditions Return to contractor for reproduction, correction, re-submission and file Post copy of log for inspectors to see status ASSURE that the inspectors are using only APPROVED shop drawings Assure contractor submits approved reproductions to Main Office Structures when necessary (without this submission the project will not get accepted) The majority of approved shop drawings will have a transmittal letter or memo with them there may be instances where the project may receive an e-mail notifying you of an approved drawing this is sufficient as long as it refers to a shop drawing number and date of approval and you have a copy of the reference drawing with the date that is referenced in the e-mail. All shop drawings must be stamped and signed approved by the appropriate reviewing grouping order to be considered approved.

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