Beruflich Dokumente
Kultur Dokumente
April 2013
TABLE OF CONTENTS
Page
Section 1 -- Introduction 3
Section 9 -- Resources 29
SECTION 1: INTRODUCTION
PURPOSE
The purpose of this document is to provide guidance to ODOT Project Management staff who
oversees consultants performing Contract Administration/Construction Engineering work on
construction projects. The guidance provided in this document is not for projects being handled by
Certified Agencies.
For purposes of this guidance document, the ODOT Project Manager or Local Agency Liaison will
be referred to as the Agency PM, the Consultant or city/county personnel as the Construction PM,
and the Construction Contractor as the Contractor.
There are work requirements throughout this document that are the Agency PM’s responsibility to
ensure are completed. However, it is understood that the Agency PM’s workload may not allow for
the Agency PM to complete all the tasks on their own. The Agency PM should know what resources
are available within their region so they can ask for help. For example, the Construction PM staff,
Maintenance staff, Region Assurance staff, and/or Quality Assurance staff might be available to do
some inspection work on a project if their work allows. Contacting the Construction PM or the
District Maintenance supervisor in the area of the project to let them know about the project and
what assistance might be needed may help ensure that the project is more successful.
This document will assist the Agency PM by providing reasonable checks and balances on the
performance of the Construction PM. The goal is to have a quality project that meets all the
requirements of the construction contract and the practices established in the ODOT Construction
Manual, the Inspector’s Manual, QCCS Manual, Manual of Field Test Procedures, and/or other
relevant manuals.
DEFINITIONS
This guidance document is subdivided into nine sections that coincide with the issuance of the
WOC and the construction of a project. The sections are:
Section 1: Introduction
Section 2: CA/CE WOC Preparation
Section 3: Prior to Construction Contract Pre-Bid to Bid Letting (includes WOC
Administration)
Section 4: Bid Letting to Construction Contract NTP
Section 5: Construction Contract NTP to Second Notification
Section 6: Second Notification to Third Notification and Project Close-Out Activities
Section 7: WOC Closeout
Section 8: Tools and Form Examples
Section 9: Resources
Two documents have been developed to assist the Agency PM with administering the Work Order
Contract between ODOT and a selected Consultant. The first document is the Agency Oversight
Responsibility Matrix (Appendix A) which outlines tasks throughout the construction project and
defines the roles and responsibilities for the Contractor, the Construction PM, and the Agency PM.
The second document is the Agency Project Manager Checklist (Form 734-2889, Appendix B)
which documents when tasks are completed.
Links to resources, tools, and forms are included throughout as well as included at the end of this
document. The full path of the links will only be included at the end of this document.
ODOT’s Contract Administration Unit in the Construction Section is just one of the valuable
resources available to the Agency PM throughout the life of the construction project. They are
responsible for contractor payments, project documentation, and dispute resolution assistance for
the construction contract (not the WOC). The Contract Administration Unit has prepared a
document entitled Contract Services Personnel Duties List that provides additional information
regarding the services provided by the Contract Administration Unit as well as contact information.
Construction Manual
Although there are many manuals utilized during the construction project, the Construction Manual
provides instructions and guidance to the Construction PM. The Agency PM should become very
familiar with the Construction Manual. The Construction Manual’s website is located at:
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/pages/cm.aspx.
The price agreements referenced above are maintained by the ODOT Procurement Office
(OPO). All personal services WOCs, project-specific contracts and amendments must be
requested and processed through OPO. A request form and Information on how to request a
personal services WOC/contract is available at the following link: Contract Requests (click on
Personal Services).
The standard CA/CEI Statement of Work and Delivery Schedule template (Appendix C) must be
used and the tasks must be adequately detailed and deliverables defined to cover all of the
work that the Consultant needs to perform. Use only the latest template available at the link
above. The Agency PM must edit the template to include only what is to be performed by the
Consultant. As part of the WOC development, the Agency PM should review the 5-page “Project
Manager Checklist” located in the front of the ODOT Construction Manual to assure that the
WOC is all inclusive.
The Agency PM should visit the project site to get a good understanding of the project scope
and to have a better understanding of the services the Consultant is being requested to perform.
The Consultant is required to use the current Breakdown of Costs template (BOC or BOC-NBR,
as applicable) to prepare and submit a cost estimate for the services. The Consultant tasks
listed in the WOC must align with the tasks listed in the BOC. The BOC shall show all
Consultant staff by name and position who will be working on the project, their hourly rates,
overhead, profit and the estimated hours per task. The BOC needs to match the scope and
duration of the project. Other direct charges for vehicles, equipment and computers, etc., may
be included in the Consultant’s cost.
The Agency must prepare a detailed internal estimate (prior to receipt of Consultant estimate)
for purposes of cost analysis and negotiation.
It may be beneficial to have a small amount of contingency hours/dollars set aside for
unanticipated project problems or construction issues. A contingency task can be an additional
task that is not anticipated when preparing the initial WOC such as Partnering or it can also be
additional hours assigned to any of the tasks within the approved WOC such as Project
Management or Construction Project Management. The benefit of having contingency
hours/dollars within the WOC is that activating a contingency task can be authorized quickly.
Although the authorization must be done in writing, an email will work as the written
authorization. A WOC Amendment can take a many days since it could involve approval not
only from OPO, but from DOJ as well.
The Agency PM must check that the Consultant has the personnel necessary to carry out the
CA/CEI services. This must include a review of the certifications held by the inspector(s) and
QCCS personnel used on the project. All construction inspectors and QCCS personnel must
have the proper certification(s) in order to work on the project. This certification check should
occur prior to signing the WOC and semi-annually (or as staffing changes occur) thereafter.
This information must be documented on the Quality Assurance & Contract Administration Plan
(discussed further in Section 5 of this document). It may be all right for the Consultant to have a
plan to obtain the certifications at the time the WOC is signed. One example would be a project
where the duration is more than a year and the Consultant would have plenty of opportunity for
their staff to obtain the HMAC certification before the paving work begins. Additional checking of
certifications must take place if this plan is allowed.
Personnel performing QCCS duties in specific areas are required to have an ODOT technician
certifications as appropriate in the following areas:
Certified Aggregate Technician (CAgT)
Certified Asphalt Technician 1 (CAT-I)
Certified Embankment and Base Technician (CEBT)
Certified Density Technician (CDT)
Quality Control Technician (QCT)
As outlined in the ODOT Inspection Certification Program document, all inspectors are required
to have the following ODOT certification:
Certified General Inspector (CGI)
However, the document does discuss the situation regarding Project Manager’s supplementing
staff with non-Certified personnel during periods of heavy construction activities. Please refer to
the program document for further discussion.
In addition, inspectors are required to have the following ODOT certification(s) if they inspect
any work covered by the separate discipline(s):
Certified Bridge Construction Inspector (CBCI)
Certified Drilled Shaft Inspector (CDSI)
Certified Environmental Construction Inspector (CECI)
Certified Hot Mix Asphalt Concrete Inspector (HMAC)
Certified Traffic Signal Inspector (CTSI)
Once the CA/CEI Statement of Work and Delivery Schedule template has been completed and
all parties agree that the work as outlined is accurate for the construction project, documentation
must be sent to OPO for processing of the WOC. The documents that must be submitted to
OPO are the Contract Request, the Record of Negotiations, the Profit (Fee) Worksheet, and the
completed Breakdown of Costs.
OPO will process the WOC which may include a review by the Department of Justice for legal
sufficiency. This process may take several weeks due to workload. OPO will provide a redline
review copy of the final draft to the APM to ensure that the WOC meets the needs of the project.
Once both OPO and the APM are satisfied with the drafted WOC, OPO will finalize the
document and obtain the appropriate signatures. After all signatures have been obtained, OPO
will send a notice of contract execution to the APM and the Consultant, this is not the notice to
proceed. The Notice to Proceed comes from the APM.
Firm's PM Name:
Name of Firm:
Contract Value:
Contract Expiration:
All required signatures have been obtained on this contract. Please consider this email
your Notice to Proceed effective ___________ for the above referenced project.
Please be advised that any changes including scope, schedule, and budget requires
prior execution of an amendment to the WOC/Contract to be legally valid. Please
advise me as soon as possible if you believe changes to the WOC/Contract become
necessary so that an amendment can be considered and negotiated if determined by
Agency to be appropriate. The NTE amount, Fixed-Price, or Fixed-Fee amount (as
applicable to this WOC/Contract) may be adjusted by Agency or renegotiated to:
Reduce the NTE, Fixed-Price or Fixed-Fee amount associated with WOC Tasks
and/or Deliverables that were not authorized by Agency or not performed by
Consultant;
Reduce the NTE, Fixed-Price or Fixed-Fee amount commensurate with
deductive amendments to reduce the risk associated with the project or to
reduce the scope of work required under the WOC;
Increase the NTE, Fixed-Price or Fixed-Fee amount for additional Tasks and/or
Deliverables added to the scope of work via amendment to the WOC.
If there are contingency dollars available on this WOC, a separate Notice to Proceed
email from me is required before the work may begin.
Send a copy of the NTP email to the OPO Consultant Performance Evaluation mailbox. Once
the Notice to Proceed has been sent to the Consultant, work can begin.
When the WOC has been executed, OPO will send an email to the Agency PM. Once this
happens, the Agency PM must issue a Notice to Proceed to the Consultant to let them know
that their work can commence on the project. This can be done by email. Example language
could be “The WOC for the _________ project has been executed effective [date]. This is your
official notice to proceed on the work outlined in the WOC.” Any work done prior to the Notice to
Proceed being sent to the Consultant cannot be paid for under the WOC.
Once the Consultant Notice to Proceed has been sent to the Construction PM, the Agency PM
will set up an orientation meeting with the Consultant. It is recommended that the Region
Assurance Specialist who will be assigned to the project and any appropriate local agency
personnel also be invited to the meeting. At this meeting the agenda should include at a
minimum:
Work Order Contract requirements
Invoice and Progress Report submittals
Construction Project Manager Responsibilities and Project Authorities
Communication
Advertising and Bid Letting Requirements
Documentation Requirements
o Project Documents
o Chapter 12 of the Construction Manual
o Progress Estimates (payment requirements to the Contractor)
o Sample Quantity and Quality guidelines
o Responsibility Matrix
Consultant Performance Evaluations
There are many deliverables outlined in the WOC. Having a meeting would grant an
opportunity to review those deliverables and to ensure that there is an understanding of the
tasks and associated scheduled deliverables.
The Consultant is required to submit monthly invoices which include a progress report.
Consultants will submit copies of the invoice to OPO and the Agency PM for review and
approval. OPO will review the invoice for appropriate billing rates and appropriate
documentation. OPO will then submit the invoice to the Agency PM indicating that the invoice
meets all the contract requirements along with a form for the Agency PM to sign and complete.
The Agency PM should review the invoice to ensure that the work was completed as detailed on
the invoice and that all deliverables were received as appropriate. The Agency PM should
forward the signed form showing their recommended approval for payment. OPO will process
the invoice through Teams for payment. The Agency PM should maintain a spreadsheet to
track the progress of the WOC. A link to a WOC Payment Spreadsheet template is included in
the resources section (Section 9 of this document).
If additional time and/or money are needed to complete any of the work, a WOC amendment
needs to be prepared and processed through OPO.
Chapter 9 of the Construction Manual outlines the different roles and responsibilities of the
Construction PM as it relates to the construction project. This chapter goes hand-in-hand with
Chapter 3, Delegation of Authority. The Agency PM must be familiar with these responsibilities
and authorities and review them with the Construction PM prior to meeting with the Construction
Contractor to ensure there is no discrepancy when explaining responsibilities and authorities to
the Construction Contractor. It must be made clear that the Construction PM has
responsibilities of fulfilling the role of the PM; however, the delegated authorities will differ.
The Agency PM should ensure that the Construction PM is aware that the Agency PM or other
ODOT staff will conduct periodic reviews of the Consultant’s work and that their project records
may be checked at any time during the progress of the project. Such reviews may be
unscheduled and may be performed by an ODOT staff or a third party firm. It is recommended
that the Agency PM perform monthly reviews. To assist with those reviews, a Project Review
Checklist and Corrective Action Plan has been developed (Form 734-2890, Appendix E). The
form is a communication tool to document when things are going well and also documents when
tasks or items need corrective action. This will help ensure the project’s success.
Although this document is similar to the Document Review Report (DRR) prepared by the RAS,
this is not meant to replace that document. The DRR is targeted towards the documentation
around quantity and quality of the material placed on the project. The Project Review Checklist
is targeted towards specific tasks (for example: Traffic Control Plan submitted, TOD/Business
Logo submittal completed, Erosion Control Plan revised as appropriate, etc.).
The Agency PM should thoroughly discuss Chapter 3 from the Construction Manual with the
Construction PM. Chapter 3 discusses the Delegated Authorities and approval levels for the
project.
COMMUNICATION
Communication between Agency personnel and the Construction PM is critical to the success of
the project. In order to ensure proper communication the Agency PM should:
Provide the names and phone numbers for the appropriate local agency personnel
involved in the project (as appropriate), Region Public Information Officer (PIO) unless
the local agency is performing this work, Region Environmental Coordinator (REC) and
Motor Carrier Transportation Division (MCTD) to the Construction PM prior to the Pre-
Con meeting.
Chapter 6 of the Construction Manual discusses the tasks that need to be completed by the
Construction PM prior to bid letting. If the Consultant is hired prior to bid letting, the Agency PM
must ensure that the Construction PM is aware of the responsibilities. Below is a brief summary
of those responsibilities:
Review the Project Plans, Special Provisions, and relevant project data to become
familiar with specific project requirements and situations. Defects, conflicts, omissions,
or discrepancies, should be discussed with the Agency PM and Agency PM may involve
the Project Designer, Professional of Record (POR), and/or the Agency’s Specification
Technical Expert to address the issues. The Construction PM is the subject matter
expert for constructability issues.
Assure that the contract documents reflect the requirements of the environmental
permits. The Construction PM is responsible for resolution of conflicts, omissions or
discrepancies between the project documents through the Agency PM, but has no
authority to make changes.
Prepare the project site for examination by Bidders. Assure that the project site is plainly
marked or that the project site can be identified by prospective Bidders and other parties.
Allow prospective Bidders to review the data used in or developed during the project
development stage, including subsurface or geologic reports. The PM is required to
provide all Bidders equal opportunity to review the data.
Coordinate the response to all Bidders for the Agency.
Respond to bidders’ questions as appropriate. Any information provided to one bidder
must be provided to all Bidders.
o Do not discuss possible or probable changes unless the changes have been
formalized by issuance of an Addendum.
o If the appropriate response to a Bidder’s question conflicts with the Bid
documents, assure that an Addendum is issued.
All conversations with or visits from prospective Bidders, details of any project information that
was examined, and all appropriate discussions or comments between the prospective bidder
and the Construction PM or Agency PM must be documented.
Project Documents
At the orientation meeting, the Agency PM will provide a copy of the Project Plans, Special
Provisions and other relevant project data to allow the Construction PM to become familiar with
specific project requirements prior to bid letting if they haven’t done so already.
The Agency PM should review Chapter 12 and all it’s subchapters with the Consultant at the
orientation meeting, preferably with the Region Assurance Specialist (RAS). Chapter 12
discusses the project record requirements of the project. The items that should be covered are:
Definition of a project record
Importance of the organization of project records
Public records
Retention of project records
Another topic to cover at this meeting would be to review project’s QC/QA program, including
what the coordination for materials testing and fabrication inspection would entail.
The Agency PM should consider inviting the RAS to the meeting. This will enable the RAS to
discuss what he/she will be looking for when they visit the project office. Section 5 of this
document provides detailed guidance around documentation.
Progress Estimates
The Agency PM needs to ensure that the Construction PM has the correct access to the
Contractor Payment System (CPS). At the meeting, there should be understanding regarding
how the process will work for submitting payments through CPS.
The Construction PM will enter paynotes into the system as recommended for payment.
The Agency PM will review the progress estimates and cost reports and upload the
information for a progress payment to the Contractor.
The Construction PM will enter the CE spent into CPS using the Expenditure Report
data from CPS. The Agency PM should double-check for accuracy.
The Agency PM should determine if the Agency or Consultant needs training regarding
the use of CPS. If so, the Agency PM should contact the Contract Administration Unit.
There are two guidelines that have been established that summarizes the measurement and
documentation requirements out of the Standard Specifications for Highway Construction. The
Quantity Measurement Guide summarizes measurement and payment information. The Non-
Field Tested Materials Guide summarizes the documentation required for acceptance of
materials.
The Agency PM should ensure that the Construction PM is aware of and knows where to obtain
copies of these guidelines.
Review the Agency Oversight Responsibility Matrix. This matrix is a summary of the specific
tasks outlined through the Construction Manual. Below shows the fields available in the matrix:
If the WOC is in effect for longer than one year, evaluations must be done on the anniversary
date of the WOC Notice to proceed. A final evaluation is required at the end of the project as
part of the project close-out.
An example of a completed form is found in Appendix F as well as guidance regarding the form.
A link to the form is found in Section 9 of this document.
OPO coordinates the award process and distributes all of the documentation to appropriate parties.
This will include the Award Letter, the Construction Notice to Proceed, and the Original
Construction Authorization. The Agency PM should review and understand what is in the Original
Construction Authorization for the project (see below matrix for a breakdown of what the
authorization contains).
The Agency PM should be familiar with the project’s construction authorization and review the
authorization with the Construction PM. The Agency PM must stress that under no circumstances
should the budget be overspent without discussions with the Agency PM who will coordinate with
the appropriate Region staff on the options available to complete the project.
The Construction Engineering (CE) budget is one aspect of the Construction Authorization. PD-08
outlines the process for establishing CE Budgets. The Agency PM should review the CE budget
with the Construction PM to ensure that the CE budget reflects expected costs during the
orientation meeting after the WOC NTP. After the Notice of Intent to Award is sent to the
Construction Contractor by OPO and in accordance with PD-08, OPO will request the final CE
budget from the Agency PM. PD-08 provides the guidelines for establishing the CE budget which is
determined by the category of project (i.e., modernization, bridge, preservation, etc.).
The Agency PM must ensure that the CE budget includes amounts to cover Agency PM oversight,
Region costs, Consultant costs, and Construction Section costs. If the CE budget percentage
exceeds the guidelines, the Agency PM must supply a narrative justifying the additional amount to
their appropriate Area Manager for review. It is assumed that this will occur on most projects
covered under this document since there are additional oversight costs by ODOT which are in
addition to standard project management costs.
The Agency PM and the Area Manager will sign the final CE Budget and return the CE Budget to
OPO along with any justification for exceeding the guidelines within 3 days (5 days for a local
agency project) after receiving the request from OPO.
Chapter 7 of the Construction Manual provides guidance regarding unbalanced bids. If there is an
unbalanced bid, the Agency PM should work with the Construction PM to deal with unbalanced bid
items as directed in the chapter.
The activities for the Construction PM under this section are covered in the Construction Manual.
The discussions below pertain specifically to the Agency PM’s role to ensure that the work is being
completed. The Agency Oversight Responsibility Matrix summarizes the information in a table
format.
The information below provides additional information specifically relating to the Agency PM’s
responsibilities for these specific tasks in Chapter 11 of the Construction Manual.
Cooperative Arrangements: If the Construction Contractor has indicated that they are interested in
participating in a Cooperative Arrangement (Section 150.05, Standard Specifications for Highway
Construction), the Construction Contractor will send a completed form to the Construction Section.
The Construction Section will forward a copy of the notice to the Agency PM. It is the Agency PM’s
responsibility to coordinate between the Construction PM and the Construction Section on pursuing
a Partnered Project Workshop (PPW). The document that is completed at these workshops is the
Cooperative Arrangement.
If the Construction Contractor indicated that they did not want to participate in a Cooperative
Arrangement, the Agency PM and/or Construction PM may determine that holding a PPW would be
beneficial to the project. If this occurs, the Construction PM should contact the Construction
Contractor and discuss the pros and cons to having a PPW. If at any time it is determined that a
PPW would be beneficial, the Construction PM should contact the Agency PM who in turn will
contact the Construction Section to start the selection process for a facilitator.
The Construction Section has Personal Services Contracts in place that provides for a facilitator to
assist with the PPW. The cost of the PPW facilitator and participation by the ODOT representatives
are covered under the Construction Engineering Budget. The Construction Contractor is
responsible for the costs of their staff to participate in the session. This is currently a contingency
task in the WOC template and should allow for hours for Consultant staff in the event that a PPW is
held. The Agency PM should participate in the PPW if one is held.
Pre-Construction Meeting: The Construction PM is responsible for scheduling and leading the pre-
construction conference (as outlined in the WOC). The Agency PM should direct any questions
from the Construction Contractor to the Construction PM to ensure that the Construction Contractor
understands who has the administrative authority on the construction contract. The Pre-
Construction meeting should be scheduled only after the Construction Contractor has fulfilled all of
the required submittals in preparation for the meeting. The Agency PM is expected to participate in
the pre-construction meeting.
TP & DT: The Agency PM should check to see that the Construction PM has documented all Traffic
Control Measures and that Traffic Control Devices are in proper working order and location. If an
accident occurs within the project limits, the Agency PM should check to see that the Construction
PM performed an accident investigation as described in Section 12A-5 of the ODOT Construction
Manual.
First Note: The Construction PM must prepare and submit First Note (Form 734-3233) to the
Construction Section with a copy to the Agency PM. First Notification is defined as “…generally the
General Guidance
This section provides some general guidance to use throughout the life of the project.
Weekly Meetings: Depending on the size and complexity of the project the Agency PM may
consider periodically attending a weekly project meeting, if applicable. If any meetings are held, the
Agency PM should obtain and review the meeting minutes. If any issues are apparent the Agency
PM should contact the Construction PM to determine how the issue will be resolved.
Site Visits: It is recommended that the Agency PM visit the project site and Construction PM project
office once per month during construction of the project to perform a review of the Construction
PM’s work.
Prior to going to the Construction PM’s office to do the review, pull the Expenditure Report from the
Reports view in the Contract Payment System. This report shows expenditures by EA/Subjob, by
activity, by crew number. The Agency PM should review this with the Construction PM to ensure
that the project budget is on track. A sample of this report is shown in Appendix G.
Using the Project Checklist, the RAS Document Review Form, and the Consultant Evaluation form,
the Agency PM should complete the Project Review Checklist and Corrective Action Plan (Form
734-2890) and review with the Construction PM on a quarterly basis. This should start the first
month after active construction begins to assure that the Construction PM gets started properly.
The checklist will indicate whether or not the Construction PM’s work meets construction contract
requirements. Any deficiencies that are found during a review will be documented that identifies the
deficiency and the timeline to correct the deficiency. The Construction PM will prepare a response
that will show how the deficiency was rectified, by whom, and what efforts will be taken to prevent
reoccurrence. The Agency PM will keep these checklists and corresponding responses and submit
them as part of the final documentation.
Independent Region Assurance Specialist Reviews: The Construction Section will assign a Region
Assurance Specialist (RAS) to perform checks throughout the construction project. The RAS will
schedule an initial interview with the Construction PM. For periodic reviews, the RAS typically
reviews project documentation every 90 days. During the review the RAS documents any
unresolved items on the Document Review Report (DRR). The Construction Leadership Team
developed a system for prioritizing issues on the DRR (see Appendix H). Issues may be prioritized
as Low, Medium, and High. The priority level will identify the individuals to whom the notification of
the issues will be escalated to if the issue remains unresolved.
Overruns/Increases: Chapter 5 of the Construction Manual discusses the process for addressing
overruns or increases in the construction authorization. The Agency PM and the Construction PM
are both responsible to ensure that the Construction Authorization is not exceeded without proper
approval. The Agency PM needs to be aware of the expenditures on a project and ensure that the
Construction PM understands how important it is to communicate any issues with the
Authorizations so that approvals can be obtained when needed (before the dollars are expended).
More information for tracking project costs is included above under Site Visits.
The Construction Authorization can only be changed by the formal process for
overrunning/increasing the construction authorization. Chapter 5 of the Construction Manual
provides full instructions for that process.
Chapter 12 of the construction manual defines Project Records as “all information in any way
relating to the Project or performance of the Contract.” Please refer to Chapter 12 for current list of
project records.
The Agency PM must review the DRR supplied to them by the RAS. If the Construction PM has not
resolved an issue over several DRR reports, the Agency PM should identify this on the Project
Review Checklist and Corrective Action Plan.
Chapter 13 of the Construction Manual provides discussion on many processes that deal with
contract time. The Construction PM is responsible for preparing the documentation associated with
contract time issues.
The Construction PM has authority to suspend contract time by up to 14 calendar days. However,
the Agency PM should be notified immediately if any suspensions are required. For any
suspensions longer than 14 days, ODOT personnel must approve. The Agency PM is responsible
for coordinating the approvals through the Region and the Construction Section as appropriate.
The Construction PM will send copies of completed subcontracts to the Construction Section. The
Construction PM will send copies of only the forms supplied with the subcontract to the Agency PM,
the Office of Civil Rights, and FHWA as appropriate.
The Construction Contractor must perform 30% of the work on the project. This information is
based on the original authorization amount. This means that any work that is added by contract
change order should be accounted for separately from the original contract amount.
Occasionally there are situations where it becomes difficult to stay within the 70% subcontracted
limit. In those cases, approval to exceed the 70% subcontracted limit is required. If approval is
needed, contact the Contract Administration Engineer. The Construction Administration Engineer
will obtain the necessary approvals. For Federal projects, FHWA must provide the approval. Non-
federal projects will be handled on a case by case basis. To determine funding, check the project’s
special provisions. Funding information can be found in the Class of Project section (usually Page
1 of the main part of the Special Provisions).
Prior to contacting FHWA or the CAE, a thorough review of all subcontracts should occur to ensure
that everything has been accounted for properly. If it appears that the 70% limit is going to be
exceeded, the Construction PM should contact the Agency PM and make them aware of the
situation. The Agency PM should coordinate with FHWA and/or the CAE to obtain the necessary
approvals to exceed the amount. This can be done by email. No work covered by the
subcontracted work must occur until approval has been obtained. If work does happen,
The Construction Section enters subcontract information into a database to ensure that the math is
correct and verifies that the numbering is correct. If there are any problems with the information
submitted, the Construction Section will send an email to the Construction PM and the Agency PM
outlining the issues. If the amount exceeds the 70% limit and there isn’t an FHWA approval
included with the subcontract, the Construction Section will contact the Agency PM to make them
aware of the problem.
Chapter 15 discusses change order documents (Contract Change Orders, Extra Work Orders, and
State Force Orders). The Agency PM must be familiar with the requirements established in
Chapter 15. Only Change Orders are submitted to the Construction Contractor for their review and
signature. Extra Work Orders and Order for Force Work documents are internal documents only
and are not submitted to the Construction Contractor. The Construction PM is responsible for
providing the Contractor with a written order to begin extra work. For each day that extra work is
performed, a Daily Force Account Record form must be completed (typically by the inspector).
Before sending a Contract Change Order to the Construction Contractor, the Construction PM must
coordinate review and approval of the technical specification owner(s), professional(s) of record,
and FHWA as appropriate. The Agency PM needs to review the change order and ensure that it
meets the requirements of Chapter 15 of the Construction Manual and the Standard Specifications
for Highway Construction. These reviews and approvals must be recorded on the Change Order
Supporting Data sheet.
Once all approvals have been obtained, the Construction PM will submit the Contract Change
Order to the Construction Contractor. (The supporting data sheet and supporting data is not
submitted to the Construction Contractor.) Once the Construction Contractor has signed the
document, the Construction PM should get the appropriate Local Agency individual to sign the
Change Order. The Construction PM will submit the Contract Change Order to the Agency PM for
review and the appropriate approval. Once the Agency PM signs the change order document, the
document is forwarded to the appropriate Area Manager (or individual with Area Manager authority)
for further processing. The Area Manager will return the document to the Agency PM who will then
forward the document to the Construction Section for final review and approval. Approval levels are
outlined in Chapter 3 of the Construction Manual.
Once the Construction Section signs the document, they will distribute fully-signed copies of the
document to the Agency PM and the Construction PM and copies of just the change order
document (without the supporting documentation) to the Construction Contractor.
The Construction PM must prepare and submit each change order, if possible, before the affected
work. If the work must begin before the order is approved, the Construction PM must obtain
proper verbal approval to allow the work to start. The Construction PM must record the prior
approval on the Work or Change Order Supporting Data sheet. The Construction PM must give
detailed written instructions to the Contractor, and must prepare and submit the change order soon
thereafter. The Construction PM does not have delegated authority to make any contract changes.
Payments to Contractors are done using a web-based Contract Payment System (CPS). Local
agencies and consultants will be granted external access to CPS. Using CPS, the Construction PM
would prepare a progress estimate and then contact the Agency PM requesting that the Agency PM
review and submit the estimate for payment prior to the 8th of each month. The Construction PM
should meet with the Contractor to review the progress estimate prior to submittal to the Agency
PM. This step is needed to correct errors and/or omissions of bid item quantities.
The Contract Administration Unit will process the progress estimate and request that ODOT’s
Financial Services release payment prior to the 23rd of the month. Financial Services will mail a
voucher to the Contractor. Construction Section will provide a copy of the payment voucher to the
Agency PM.
If there are any data entry errors or omissions found, contact Construction Section’s Contract
Administration Unit immediately.
Chapter 27 of the Construction Manual provides guidance around disagreements, disputes, and
claims. Disputes/claims should be resolved at the lowest possible administrative level.
If a dispute is escalated to a claim, there are three possible areas where these are resolved:
Once the Second Notification is issued by the Construction PM, a meeting should occur at the
project site which would include the Agency PM, the Construction PM, and appropriate Local
Agency staff to develop an agreed upon punch-list for the Construction Contractor. The Agency
PM should monitor the Construction PM’s progress of the project close-out activities and the
Construction Contractor’s completion of the punch-list items. The Agency PM should participate
in the final inspection of the project with the Construction PM and the Construction Contractor.
The Agency PM should check to see that the Construction PM has submitted all original records
that substantiate the supporting data for the final quality and quantities. The Agency PM should
check to see that the Document Review Report that is prepared by the Region Assurance
Specialist is complete for all identified items and OCR Field Coordinator records and reports are
completed. The Agency PM should check to see that the Consultant distributed the final project
records to the appropriate Agency offices. Refer to the Agency Oversight Matrix for a list of the
semi-final submittal requirements.
After Second Notification has been issued, the Construction Section tracks the following
submittals: Final Q&Q, Labor Compliance, Third Notification, Final Payment (by others), State
Force Work completion, PM Narrative Report, and ROW Monumentation. The plant
establishment period will be identified in the Special Provisions for the Construction Project.
Third Notification cannot be issued until the plant establishment period is complete.
The Agency PM must check the status of the above submittals quarterly until all submittals are
received by the Construction Section. The best way to do this is to use the monthly update of
the “Status Report – 2nd Note to Final” report prepared by the Construction Section. The
Agency PM should document missing submittals on the Agency Oversight Project Review
Checklist and Corrective Action Plan (Form 734-2890). The Agency PM should meet with the
Construction PM quarterly to track missing items and assure proper resolution. The
Construction Section will set the date for the EA to close once all of the submittals have been
received and final payment has been made to the Construction Contractor which includes
payrolls for the final plant establishment period.
Once all the work has been completed under the WOC, the Agency PM must fill out the
Consultant Performance Evaluation. It is recommended that the tools used to track the project
(e.g., Agency PM Checklist, Agency Oversight Project Review Checklist and Corrective Action
Plan, Document Review Report) be used to assist with the completion of the evaluation.
The Agency PM should try and meet with the Consultant and review the evaluation with them.
Once the form has been completed, send a copy to OPO.
All of the documentation for the work order contract should be kept for ten years. The
documentation may be kept electronically. The documentation would include:
Work Order Contract
Documentation for selecting Consultant, including Record of Negotiations, Profit
Worksheet, etc. (if applicable)
Financial Spreadsheet
Copies of all invoices and supporting documentation
Agency PM Checklist
Agency Oversight Project Review Checklist and Corrective Action Plan
Consultant Evaluation
Statement of Work and Delivery Schedule Template. This template is used for those projects
where the Construction PM responsibilities will be performed by a Consultant.
Agency Oversight Responsibility Matrix. This matrix will assist the Agency PM and the
Construction PM to provide guidance on who is responsible for all of the tasks associated with a
construction project. It will be broken down by the following areas:
WOC Preparation
Throughout Life of the Project
Phase 1: Between Bid Letting and First Notification
Phase 2: Between First Notification and Second Notification
Phase 3: Between Second Notification and Third Notification
Phase 4: Between Third Notification and Final Payment
Agency Project Manager Checklist. This checklist will be used by the Agency PM to track
completion of submittals and major milestones throughout the construction project.
Project Review Checklist and Corrective Action Plan. This checklist will be used by the Agency
PM to assist with the review of the Consultant PM documentation and progress at scheduled
meetings. If there are deficiencies, they will be noted on this checklist and given to the
Construction PM for resolution.
Consultant Performance Evaluation. This form must be completed by the Agency PM provided
to and discussed with the Consultant. The form should be submitted to the OPO Consultant
Performance Evaluation mailbox for processing.
Forms Website. The required forms are located on the Construction Forms Website:
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/HwyConstForms1.shtml. If there are
forms that are needed that are not on this website, please contact Lori Butler at
(Lorraine.e.butler@odot.state.or.us) or at 503.986.3007.
Resource Weblink
Construction http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/pages/cm.aspx
Manual
Construction http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/Pages/HwyConstForms1.aspx
Forms
Consultant file://Scdata2/OPOnet/Forms/PSK/AE/CACEIeval.xls
Evaluation
Form
Contract http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/ca/docs/contractservicespersonnel.pdf
Administration
Unit
Information
Forms http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/ca/docs/formslist.xls
Responsibility
Matrix
Inspector’s http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/docs/InspectorsManual.pdf
Manual
Manual of http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/pages/mftp_manual.aspx
Field Test
Procedures
Non-Field http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/docs/NFTMAG.pdf
Tested
Materials
Guide
OPO Full http://transnet.odot.state.or.us/cs/opo/Webpage/AE-FullService.aspx
Service
Agreements
Local Agency http://www.oregon.gov/ODOT/CS/OPO/pages/lap_select.aspx
Consultant
Selection
Qualified http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/QPL/Docs/QPL.pdf
Products List
Standard http://www.oregon.gov/ODOT/HWY/SPECS/Pages/standard_specifications.aspx
Specifications
WOC ftp://ftp.odot.state.or.us/techserv/construction/TrainingManuals/ConsultantOversightManual/WOC_Payment_Spr
Payment eadsheet_Example.xls
Spreadsheet
template
example
ODOT ftp://ftp.odot.state.or.us/techserv/construction/QA_Certification/inspection_certification_program.pdf
Inspection
Certification
Program
document
The Agency Oversight Responsibility matrix provides a summary of required tasks and who is
responsible for what in a tabular format.
Construction SOW
2008 Spec
Task Manual Task Form No Frequency Construction PM Role Agency PM Role General Remarks
No.
Chapter* No
WORK ORDER CONTRACT PREPARATION AND ADMINISTRATION
Revise SOW template to fit SOW Once Not applicable Prepare WOC for submittal to OPO for All the forms and processes used in this section are
project Template processing located on the Agency Oversight webpage
Using OPO’s Reference Once Not applicable Responsible for working with OPO and Reference Guide/Checklist:
Guide/Checklist follow the responsible local agency to hire http://www.oregon.gov/ODOT/CS/OPO/docs/local/Tier2QuickRef.doc
process for hiring consultant to perform CA/CE work.
consultant
Send out WOC Notice to Once Can begin work. Sending out NTP allows the consultant
Proceed to commence work.
Review consultant invoices Monthly Submits completed invoice and receipts Reviews invoice to ensure meets terms
as required and conditions of WOC.
Monthly Status Report Monthly Submits completed status reports. This is Reviews status report to ensure that the
usually submitted with the monthly work being billing for and completed is
invoice. what the Agency PM believes is current.
Post WOC NTP Meeting Once Participates in meeting Set up and participate in initial meeting Sample agenda: (need to put this together)
to set parameters for the project.
PHASE 1: BETWEEN BID LETTING AND FIRST NOTIFICATION
Pre-Bid Diary Chapter 6 Until Bidding Maintains a diary which documents all Ensure Construction PM understands If consultant is not on board at this step, the Agency PM
closes conversations with or visits from and has a project diary. will perform this function.
prospective Bidders, detail of any Project
information that was examined, and all This task and the following three tasks may be included in
appropriate discussions or comments the Preliminary Engineering statement of work as Final
between the prospective Bidder and the Design/Bidding Assistance. It is included here to show the
PM. workflow from bidding to work completion.
Addenda Chapter 6 Until Bidding If it is determined that new information Submit addendum request to OPO and If consultant is not on board at this step, the Agency PM
closes should be shared, a formal addendum ensure addendum is published. will perform this function.
need to be submitted to the Agency.
Construction Engineering Chapter 5 Once After notice of intent to award, OPO will Process is outlined in PD-08.
Budget Finalized request final CE Budget. The Agency
PM is responsible for establishing and
submitting the CE Budget to OPO.
Public Works Bond Chapter 11 00170.20 Once Ensure Contractor has filed a Public Check the Contract Electronic File This is usually supplied to OPO during the award process.
Works Bond for project. folder for the project to be sure that a
bond document is located within the
folder
Quality Assurance & CE 2.3 734-2857 Once initially, Prepares plan and submits to Agency PM Reviews plan, maintains in project file.
Contract Administration quarterly with five (5) business days of the Work
Plan Prepared review Order Contract (WOC) Notice to Proceed.
Revisions should be submitted quarterly if
personnel changes.
Cooperative Arrangement / Chapter 11 00150.05 CE 2.2 Once Coordinates with Construction Contractor Coordinate with Construction Section, Contractor submits with award documents to Construction
Project Partnered to determine level of PPW to conduct, Construction PM, participates in PPW Section. The PPW can be formal or informal. Contact
Workshop participates in PPW. Construction Program Analyst for additional guidance.
This document is not required from the Contractor.
Permits Chapter 20 00170.02 CE 3.1 Once Obtain copies of all pertinent permits for Assist with obtaining copies of all Construction PM and Agency PM may be involved with
00170.03 the project for submittal to Contractor. permits. coordinating with regulatory agencies to resolve any
Assure Contractor is abiding by permit permit issues. Other specifications discuss permits, the
restrictions and obligations. specs noted identifies that the Contractor must obtain all
of the permits.
Safety Questionnaire Chapter 17 CE 2.4 Std96002 Once Ensure contractor completed safety Assure task has been completed. There isn’t one specification that requires the safety
questionnaire and returns to PM prior to questionnaire to be completed. However, most of the
Agency Oversight Responsibility Matrix Page 1 of 8
Updated April 2013
Construction SOW
2008 Spec
Task Manual Task Form No Frequency Construction PM Role Agency PM Role General Remarks
No.
Chapter* No
Preconstruction Conference. items that are requested in the Safety Questionnaire, are
required in the specifications.
Pre-Construction Chapter 11 00180.42 CE 2.1 Once Prepare agenda, invite parties, conduct Review agenda, ensure appropriate Must be done within 30-days of notice to proceed unless
Conference conference, prepare and distribute parties included, attend conference, agreed otherwise in writing.
minutes. Ensure that the Contractor has review minutes
provided all required submittals in
preparation of the Pre-Con.
Steel escalation/de- Chapter 11 00195.12(a CE 2.4 Once Contractor must submit request in writing Assist as needed. Request from Contractor must include all Pay Items
escalation (if opted in by ) to Construction PM before the selected for the steel escalation/de-escalation.
Contractor) Preconstruction Conference or within
seven (7) days after the Preconstruction
Conference if they choose to opt-in to use
the steel escalation/de-escalation.
Transit-Oriented Chapter 11 00225.02 CE 2.4 Once Ensures contractor fulfills responsibility. Assure task has been completed. Can be submitted electronically to
Directional (TOD) and ODOT.ContractSvs@odot.state.or.us. The Construction
Business Logo Signs Section will submit copies to the Travel Information
Council.
Project Schedule Chapter 11 00180.41 CE 2.4 Once initially Reviews schedule and acknowledges that Review schedule and provide
and then the schedule shows that all work will be comments to Construction PM.
periodically accomplished within the Contract Time
throughout the requirements, that it does not violate any
life of the of the Contract restrictions, and that it
project depicts realistic performance of the work.
Address any concerns with the
Contractor.
Traffic Control Plan (TCP) Chapter 11 00225.05 CE 2.7 Once initially Approve any proposed changes from the Coordinate appropriate review with Any revisions to the TCP will be subject to a Contract
and then as TCP included in the Contract. technical owner. If technical owner is Change Order before implementation.
needed not available for review, then the
Agency PM should review document
and return any comments to the
Construction PM.
Erosion and Sediment Chapter 11 00280.02 CE 2.7 Once initially Submit any proposed changes to the Coordinate appropriate review with The Contractor must keep a copy of the approved ESCP
Control Plan and then as Professional of Record for review and technical owner. If technical owner is with any updated changes on-site during all construction
needed approval. This must be done before the not available for review, then the activities.
Contractor may commence any site Agency PM should review document
activities that have potential to cause and return any comments to the
erosion or sediment movement. Construction PM.
Pollution Control Plan Chapter 11 00290.30 CE 2.7 Review and approve the PCP before Coordinate appropriate review with When the PCP is included in the Contract as a bid item,
(PCP) (b) Contractor begins work. technical owner. If technical owner is specific percentages of the lump sum quantity are paid at
not available for review, then the different milestones throughout the life of the project.
Agency PM should review document
and return any comments to the
Construction PM.
Affirmative Action Chapter 18 CE 2.4 Once Contractor should submit at pre-con. PM Assure that the requirements of each Includes Disadvantaged Business Enterprise (DBE),
Programs forwards to the appropriate Civil Rights Affirmative Action program has been Equal Employment Opportunity (EEO), and On-the-Job
Specialist for approval/denial. addressed at the Pre-Con. Training (OJT)/Apprenticeship programs.
First Note Chapter 13 00110.20 CE 2.4 734-3233 Completes and submits original signed Ensure that this gets processed in a Generally the date when the Contractor begins Aggregate
copy to the Construction Section prior to timely manner. source development, erection of a plant, or the
uploading the first month’s progress performance of a construction operation.
estimate.
PHASE 2: BETWEEN FIRST NOTIFICATION AND SECOND NOTIFICATION
Project Progress Meetings CE 2.6 As Needed Schedule meetings, prepare agenda, Participate in meetings as necessary. Recommended to be held weekly during active
participate, and prepare and distribute construction periods.
minutes.
Project Records Chapter 12 CE 2.4 Once Meet with Agency PM to review Chapter Review Chapter 12 and it’s subchapter Ensures all parties understand documentation
12 and all subchapters with Construction PM requirements.
Agency Oversight Responsibility Matrix Page 2 of 8
Updated April 2013
Construction SOW
2008 Spec
Task Manual Task Form No Frequency Construction PM Role Agency PM Role General Remarks
No.
Chapter* No
Daily Progress Chapter 12-A CE 3.2 734-3474 Daily Ensure completed by inspector If there is an issue with this, RAS Original to Project Manager. Maintain on file and submit
throughout life of the project. reviews will include the item on the originals to Contract Services with final project
734-1789 Form 734-1789 is for structural coating DRR. Might need to assist the documentation submittal.
work. Construction PM to ensure the issues
are dealt with.
Traffic Control Inspection Chapter 12-A CE 3 734-2474 Daily if Review the reports to ensure that traffic If there is an issue with this, RAS This form is completed by TCS. If TCS not available,
Report required control is properly performed and reviews will include the item on the Construction PM should report results on the General
maintained. Report any problems for DRR. Might need to assist the Daily Progress Report or in the Project Manager’s diary.
immediate resolution to the Contractor. Construction PM to ensure the issues
are dealt with.
Erosion Control Monitoring Chapter 12-A CE 3.1 734-2361 Understand the permit requirements. The If there is an issue with this, RAS The form itself should be completed by the Contractor’s
Report PM must periodically check the erosion reviews will include the item on the certified ESCM. However, an ODOT Certified
control devices to ensure that appropriate DRR. Might need to assist the Environmental Construction Inspector should also make
devices are installed and that they are Construction PM to ensure the issues cursory inspections.
working property. are dealt with.
Turbidity Monitoring Chapter 12-A CE 3 734-2755 Ensure all monitoring and report is being If there is an issue with this, RAS
Report done by the Contractor. Reports must be reviews will include the item on the
kept on-site and be available for DRR. Might need to assist the
inspection at all times. Construction PM to ensure the issues
are dealt with.
Material Daily Progress Chapter 12-A CE 3 734-2599 Is required on older projects. Newer If there is an issue with this, RAS Check with Contract Services if unsure if this is required
Report projects do not need to complete this reviews will include the item on the on the project.
form. DRR. Might need to assist the
Construction PM to ensure the issues
are dealt with.
Report of Motor Vehicle Chapter 12-A CE 2.4 734-3589 Investigate any serious or fatal accident Should be notified about the
Accident or Hazardous Chapter 17 involving the public to ensure that traffic investigation.
Material Incident Observed control was and is operating adequately
or Investigated by and properly. Record any information that
Employee will allow defense in case of legal action.
Contact the APM immediately.
Report of Damage to Chapter 12-A 734-3373 As part of the investigation above, Review submittal.
Highway Structure Chapter 17 complete this form and submit to the
Claims Against Others Technician.
Test Summaries Chapter 12-B CE 3.2 734-1902A Ongoing Complete Test Summary sheet(s) for Review Test Summary and provide Some Pay Items may require the use of both Test
734-1902B each Pay Item to determine what type of concerns to Construction PM Summary A and B forms to enter different Materials for
734-1902B- documentation is needed prior to receipt, that item.
QA placement, and payment of Materials
needed. Record the quality CCO Bid Items should also be entered on test summaries.
documentation as work progresses.
Quality Documentation Chapter 12-B CE 3.3 Must review all quality records to assure If there is an issue with this, RAS
Review that the required documentation has been reviews will include the item on the
received and that the material either DRR. Might need to assist the
meets contract requirements or that price Construction PM to ensure the issues
adjustments have been properly are dealt with.
assessed.
Quality Price Adjustments Chapter 12-C 00125.25 CE 3.3 As needed Enter price adjustments into CPS Approves and uploads price Each lot must be entered as a separate adjustment as
including a reference to the pay item adjustments in CPS. calculated by StatSpec.
receiving the adjustment.
StatSpec Completion Chapter 12-C 00165.30 Worksheet As needed Complete spreadsheet to perform the If there is an issue with this, RAS StatSpec is also used to calculate the quality levels of test
statistical analysis to calculate pay factors reviews will include the item on the results from the Contractor’s process control.
and composite pay factors used in DRR. Might need to assist the
determining bonuses and price Construction PM to ensure the issues
adjustments for non-specification are dealt with.
material.
Agency Oversight Responsibility Matrix Page 3 of 8
Updated April 2013
Construction SOW
2008 Spec
Task Manual Task Form No Frequency Construction PM Role Agency PM Role General Remarks
No.
Chapter* No
Quantity Documentation Chapter 12-D CE 2.5 Often Review each source document as it is If there is an issue with this, RAS Source documents are the written evidence showing the
Review prepared to verify that documentation and reviews will include the item on the quantities of work completed or accepted. Source
calculation methods are correct. DRR. Might need to assist the documents must be clear so that anyone can follow on
Construction PM to ensure the issues paper what is being paid for and why.
are dealt with.
Lump Sum Adjustments Chapter 12-E 00195.20 CE 2.5 As needed If changes to lump sum amounts are Review and note or approve change
(a) made, generally a change order needed orders as appropriate.
to be prepared (see exceptions in
Construction Manual).
Escalation – De-escalation Chapter 12-E 00195.10 – CE 2.4 As needed Newer projects will handle escalation/de- Assist as necessary. Worksheets are on Construction Forms website under
analysis 00195.12 escalation through CPS. In this case, the Escalation/De-escalation Worksheets.
Construction PM will enter the information
while setting up the zero-estimate in CPS. If unsure which format to use, contact Contract Services.
Agency Oversight Responsibility Matrix Page 4 of 8
Updated April 2013
Construction SOW
2008 Spec
Task Manual Task Form No Frequency Construction PM Role Agency PM Role General Remarks
No.
Chapter* No
Railroad Protective Chapter 12-E 00170.01 CE 2.4 Rarely Review special provisions to see if Review and upload progress estimate
Services (e) provisions for railroad protective services as appropriate.
are included. If determined that the
contractor is responsible for excess
flagging hours, process a negative price
adjustment.
Materials Stored on Hand Chapter 12-F 00195.60 CE 2.4 734-2600 As needed Ensure material meets the requirements Review and upload progress estimate Contractor must make a written request for advance
Authorization in the Construction Manual. Complete a as appropriate. allowance for materials five days prior to the pay period
source document to justify payment and cut-off date.
enter into CPS.
Extra Work Performed on Chapter 12-G 00140.60 CE 2.4 734-3208 Prepare extra work order and document Approve and process extra work order. Used when a negotiated price cannot be reached on extra
a Force Account Basis Chapter 15 734-3428 work on Daily Force Account Records. Review and upload progress estimate work that was not included in the contract. There is also
(EWO) Approve monthly invoices supplied by as appropriate. an EWO workbook that will track all EWO’s for the project
Contractor and enter into CPS. on the Construction Forms website.
As Constructed Plans Chapter 12-H CE 5.2 As work progresses, maintain “dirty Assure as-built are prepared as There are links to specific guides within the SOW that
sheets” to show work progress and required. provide the requirements for as-built submittals. The
changes. This will help when preparing specific as-built requirements include: Roadway Plans,
the final “As Constructed Plans” Bridge Plans, Traffic Signal Plans, and Illumination.
Weekly Statement of Chapter 13 00180.50 CE 2.4 734-3483 Depends Complete form as outlined in the Maintain copies in file. Frequency is determined by how the Contract Time is
Contract Time Construction Manual. stated in the contract. If CCO modifies contract completion
date(s), this must be reflected on the form.
Suspensions of Work Chapter 13 00180.70 CE 2.4 As needed Determine need and authority level for Coordinate any approvals for PM – up to 14 days
suspension. Coordinate suspension with suspensions longer than 14 days. AM – 30 days
APM for any suspensions longer than 14 CAE – more than 30 days
days.
Project Delays Chapter 13 00180.60 CE 2.4 734-3320 As needed Provide written notice to contractor Should be involved in discussions on
00180.80 acknowledging receipt of the notice of ways to mitigate delays.
delay. Discuss ways to mitigate the delay
with the contractor.
Subcontract processing Chapter 14 00180.20 CE 2.4 734-1395 As needed Review the subcontract for completeness Review forms to ensure that the The total amount of subcontracted work cannot exceed
734-2518 and accuracy. Complete a Report on subcontracts are staying within 70% of the original contract amount. If it does, special
Contractor’s Request for Subcontract appropriate limits. Coordinate with approvals are required from FHWA. This does not include
Consent. Contract Services and FHWA if change order work.
subcontracted amounts exceed limits.
Form 734-1395 also comes in a workbook so that all
subcontracts for a project can be tracked in one file.
Change Order processing Chapter 15 See Const. CE 2.4 734-1169 As needed Prepare change order documents (CCO, Recommends or approves change Do not share supporting documentation with the
Manual EWO, SFO) and supporting order within delegated authority contractor. Form 734-1169 also comes in a workbook so
documentation. Obtains contractor that all change orders can be tracked in one file for a
signature. Recommends approval. project.
Extra Work Order Chapter 15 See Const. CE 2.4 734-3208 As needed Prepare extra work order and supporting Recommends or approves extra work For extra work where price could not be negotiated with
processing Manual documentation. Recommends approval. order within delegated authority. the contractor. Do not share the EWO with the contractor.
Form 734-3208 also comes in a workbook so that all
EWOs can be tracked in one file for a project.
State Force Order Chapter 15 CE 2.4 734-1105 As needed Prepare State Force Order and Recommends or approves extra work For work performed by forces other than the contractor.
processing supporting documentation. Recommends order within delegated authority. Do not share with contractor. Form 734-1105 also comes
approval. in a workbook so that all EWOs can be tracked in one file
for a project.
Shop/Working Drawing Chapter 16 00150.35 CE 2.7 As needed Coordinate reviews with professional(s) of Assist as needed. Chapter 11 of the Construction Manual indicates that the
Submittals Chapter 11 record and ensure reviews are returned to process for working drawings should have been
contractor within allowed timeframes. determined during the pre-con.
Maintain a log of all submittals.
Commercially Useful Chapter 18 CE 2.4 734-2165 Refer to Complete evaluation and submit the form Assist as needed. Must be done for any DBE working on a project whether
Function evaluation Const. Manual to the appropriate Civil Rights specialist. or not the DBE is part of the DBE commitment.
Agency Oversight Responsibility Matrix Page 5 of 8
Updated April 2013
Construction SOW
2008 Spec
Task Manual Task Form No Frequency Construction PM Role Agency PM Role General Remarks
No.
Chapter* No
Summary Report of Chapter 18 CE 2.4 734-2722 Monthly Contractor submits form to Construction Assist as needed.
Subcontractors Paid report PM who submits a copy to the appropriate
Civil Rights Specialist.
EEO Reports Chapter 18 CE 2.4 731-0668 Monthly Ensure that the contractor and each Assist as needed.
734-3858 subcontractor submit completed reports
by the 5th of each month. Forward
completed forms to appropriate Civil
Rights Specialist
ODOT Apprentice/Trainee Chapter 18 CE 2.4 734-0332 Monthly Verify the hours against hours submitted Assist as needed.
Monthly Reports on certified payroll records. Forward to
appropriate civil rights specialist each
month.
ODOT Trainee Monthly Chapter 18 CE 2.4 734-0504 Monthly Verify the hours against hours submitted Assist as needed.
Progress Record on certified payroll records. Forward to
appropriate civil rights specialist each
month.
Certified Payroll Reviews Chapter 19 CE 2.4 Monthly Verify certified payroll is correct. If not Assist as needed. Civil Rights has a checklist for PMs and Contractors for
take steps outlined in Construction Certified Payroll reviews: Checklist
Manual to correct deficiencies.
Wage Interviews Chapter 19 CE 2.4 734-3475 Every six Interview random employees of any Assist as needed.
months contractor who worked on the project
within that period.
Prevailing Wage Chapter 19 CE 2.3 734-2547 As needed Investigate prevailing wage complaints. Assist with investigation as necessary.
Complaints Coordinate with the Office of Civil Rights
as appropriate.
Construction Surveying Chapter 20 00150.15 CE 4.2 This depends on who is doing the Assist as needed.
00305.00 construction surveying on the project.
Refer to the Construction Manual.
Survey Markers Chapter 20 CE 2.4 As needed If survey markers are to be destroyed Assist as needed.
during construction, complete Survey
Mark Report Form and submit to ODOT
Geometronics Unit.
Sources of Materials Chapter 22 00160.01 CE 2.4 Check Ensure Contractor complies with all Assist as needed.
Construction material source requirements as outlined
Manual in the Construction Manual.
Buy America Chapter 22 00160.20 CE 2.4 734-2126 As needed Ensure Contractor completes a Certificate Assist as needed.
of Materials Origin before any iron or steel
are incorporated into the project. For steel
fabrication, schedule inspections with
ODOT Structure Services.
Material Quantities Chapter 23 CE 2.4 Verify and document material quantities Assist as needed.
needed for the project.
Release of Retainage by Chapter 25 CE 2.4 734-2510 As needed Review submittals by Contractor, review Assist Construction PM as appropriate.
Subcontractor work of subcontractor to ensure their work
is complete. Submit to the Contract
Services Unit for processing as warranted
Claims Against Chapter 26 CE 2.4 As needed If PM receives request for payment Assist as needed.
Contractors Bond against a contractor’s bond, submit the
letter to the Contract Administration
Engineer.
Disputes and/or Claims Chapter 27 00140.40 CE As needed Follow claims process outlined in Assist with claims process. If a third party neutral is warranted earlier in the project to
00180.60- 2.10 Specifications. help resolve disputes. PM should contact Contract
80 Administration Engineer.
00199.00
Agency Oversight Responsibility Matrix Page 6 of 8
Updated April 2013
Construction SOW
2008 Spec
Task Manual Task Form No Frequency Construction PM Role Agency PM Role General Remarks
No.
Chapter* No
Load Restrictions Chapter 30 00150.60 CE 2.4 Periodically Review weigh memos to determine load Assist as needed.
limits are within legal limits. Resolve any
issues with overweight loads.
Contractor’s Request for Chapter 31 CE 2.4 734-2768 As needed Review and complete ODOT’s portion of Assist as needed. No more than two forms can be submitted per month by
Relief of Responsibility the form within seven days of receipt. Contractor.
Contractor Performance Chapter 34 CE 5.1 734-2469b See remarks Complete evaluation and submit to Ensure evaluations are occurring. Process annually from NTP date for multi-year projects.
Evaluation Contractor for review. If Contractor does Review submittal for possible issues. One final one within 60 days of 2nd Note. When completing
not submit within 15 days, submit copy to final evaluation also send the Contractor’s Construction
ODOT Construction Section and the Process Feedback Form as detailed below.
Agency PM.
Second Notification Chapter 13 CE 5.1 734-3233 See remarks Process 2nd note when work has been Ensure that this gets processed in a Refer to 00180.50(h) in the Special Provisions. More than
completed. timely manner. one 2nd Note may need to be prepared if multiple dates
are shown in 00180.50(h).
PHASE 3: BETWEEN SECOND NOTIFICATION AND THIRD NOTIFICATION
As Constructed Plans Chapter 37 CE 5.2 As needed Submit marked up copy to the Region
Tech Center.
Civil Rights Notification Chapter 18 CE 5 Once Notify the Civil Rights Specialist when 2nd Assist as needed.
Chapter 19 Note is issued to they may determine if
any paperwork is missing prior to 3rd Note.
Labor Compliance Chapter 19 CE 5.4 734-1734 Once Coordinate with the Civil Rights Specialist Assist as needed.
Certification for a final review and acceptance of the
labor compliance documentation.
Materials Remaining Chapter 33 00195.80 CE 2.4 As needed Determine reason for left-over materials Assist as needed.
and take appropriate action as outlined in
the Construction Manual.
Contractor’s Construction Chapter 34 CE 5.1 734-2469a Once Complete final performance evaluation Ensure evaluation is completed.
Process Feedback (see above) and send a copy of 734-
2469a to contractor for their completion to
evaluation construction process.
Final Inspection Chapter 36 00150.90 CE 5.1 Once Within 15 calendar days of 2nd Note, Participate in final review and
review project and notify the Contractor of inspection.
any remaining work.
Final Acceptance Chapter 36 00150.95 CE 5.1 734-1384 Once Complete form as appropriate and submit Review and submit to Area Manager for
to Agency PM for further processing. signature. Submit final form to
Construction Section.
Semi-Final RAS Review Chapter 37 CE 5.4 Once Coordinate with Region Assurance Review submitted DRR from RAS and
Specialist to perform final review of work with Construction PM to resolve
project. any issues.
Semi-Final Documentation Chapter 37 CE 5.4 734-2706 Once Complete the Semi-Final Checklist and Review Semi-Final Checklist and Refer to Chapter 37 for all submittal requirements.
submit the checklist and appropriate coordinate with Region Assurance Specific forms and completion notices are shown below.
documents to the Region Assurance Specialist to ensure that all
Specialist. documentation has been submitted as
appropriate.
Materials Certification Chapter 37 CE 5.4 734-1979 Once Complete and submit with Semi-Final See Semi-Final Documentation above Lists all quality related price adjustments (both positive
(Final) documentation. and negative)
Foreign Steel Summary Chapter 37 CE 5.4 734-1968 Once Complete, attach copies of completed See Semi-Final Documentation above
CMO forms and submit with Semi-Final
documentation.
Quantity Ledger Report Chapter 37 CE 5.4 Once Submit latest report from CPS with Semi- See Semi-Final Documentation above RAS will review and make comments as appropriate.
Final documentation.
Preliminary Progress Chapter 37 CE 5.4 Once Include latest Preliminary Progress See Semi-Final Documentation above RAS will review and verify quantities.
Payment Report Payment Report from CPS.
State Force Order Notice Chapter 37 CE 5.4 Once Send an email message to the ODOT See Semi-Final Documentation above
of Completion Contract Services mailbox. Send a copy
to Agency PM. Include a copy in the
Semi-Final submittal.
Agency Oversight Responsibility Matrix Page 7 of 8
Updated April 2013
Construction SOW
2008 Spec
Task Manual Task Form No Frequency Construction PM Role Agency PM Role General Remarks
No.
Chapter* No
ROW Monumentation Chapter 37 CE 5.4 Once Send an email message to the ODOT See Semi-Final Documentation above
Completion Notice Contract Services mailbox. Send a copy
to Agency PM. Include a copy in the
Semi-Final submittal.
Project Manager’s Chapter 37 CE 5.4 734-2756 Once Complete PM Narrative as instructed in See Semi-Final Documentation above
Narrative the Construction Manual. Submit signed
copy by email to the ODOT Contract
Services mailbox and others as shown on
the distribution list.
Local Agency Acceptance Chapter 37 CE 5.4 Once Obtain a letter of acceptance from the See Semi-Final Documentation above
Local Agency as appropriate and include
with Semi-Final documentation. Submit a
scanned copy by email to the ODOT
Contract Services mailbox.
Warranties and Chapter 37 CE 5.4 Once Submit all warranties and guarantees to See Semi-Final Documentation above
Guarantees the appropriate District Maintenance
Manager. Submit a scanned copy by
email to the ODOT Contract Services
mailbox.
Landscape Establishment Chapter 39 CE 5.4 As required Assure Contractor is performing the Assist as needed. Also referred to as Plant Establishment in contract
establishment work as required in the documents. More than one 2nd Note may need to be
Contract. Also assure that Contractor prepared if multiple dates are shown in 00180.50(h).
payroll is submitted for plant
establishment period.
Third Notification Chapter 40 00150.90 CE 5.1 734-3233 Once Issue 3rd Note. Ensure that this gets processed in a
(b) timely manner.
PHASE 4: BETWEEN THIRD NOTIFICATION AND FINAL PAYMENT
WOC Closeout See remarks Not applicable. Complete final Consultant Performance If WOC is multiple years, an evaluation must be
Evaluation using the tracking tools used completed on an annual basis from the WOC’s NTP date.
for the project. Meet with the consultant A final evaluation must be done during the WOC Closeout.
to review the evaluation with them.
Send the final copy to OPO.
WOC Closeout Once Not applicable. Bundle all of the documentation for the Documents should include tracking forms, invoices,
WOC and kept for three years. After invoice tracking spreadsheet, etc.
three years the documentation can be
shredded.
Agency Oversight Responsibility Matrix Page 8 of 8
Updated April 2013
Appendix B
Agency PM Checklist
The Agency PM Checklist is a tool to help the Agency PM track what has been done and when
for the project. The checklist should be maintained on an on-going basis and an electronic copy
submitted to the ODOT Contract Services mailbox (ODOTContractSvcs@odot.state.or.us) and
to the responsible local agency on a quarterly basis.
The following is the instructions for completing the form. The numbers correspond to the
numbers on the form following the instructions. This copy of the form is also an example of a
completed form. Note: If you tab over one of the buttons for adding additional lines, it will
automatically add another line. If you don’t need the extra line, just select the “x” to the
right of the line and that will delete the unnecessary extra lines.
Most of the requirements for the items listed in this form are outlined in the Agency Oversight
Responsibility Matrix.
Form Instructions
4. Enter the federal aid number as shown on the Construction Contract under Class of Project.
5. Enter the Agency Project Manager’s name (ODOT’s liaison on the project).
8. Enter the date that the WOC was signed (the date of the last signature on the signature
page).
9. Enter the expiration of the WOC. All of the work through Phase 3 must be done before this
date or a contract amendment must be completed.
10. Identify whether the Agency PM visited the project location prior to starting the WOC
process.
11. Enter information regarding the revision of the CA/CEI Statement of Work and Delivery
Schedule template for the project.
12. Enter the date and any supporting information that all of the documentation for entering into
a Work Order Contract was submitted to OPO for processing.
14. If it is decided to use a mini-RFP to select the Consultant, enter the date and any
appropriate information regarding when the mini-RFP was sent to appropriate Consultants.
15. Enter the date and any supporting information regarding discussions between ODOT, local
agency personnel (if applicable), and the Consultant about the necessary effort to complete
the work.
16. Enter the date that the WOC was executed. This would be the date that OPO sends notice
to the Agency PM letting them know the WOC has been signed. Copies of the final WOC
would be included in the email received from OPO.
17. Enter the date that the Agency PM sent out the Notice to Proceed to the Consultant and to
the OPO Consultant Performance Evaluation mailbox.
18. Identify the date that an orientation meeting was held with Consultant and local agency
personnel (if applicable). In the Remarks column identify whether this meeting was in person
or done by phone call.
19. Extra lines are provided for items added that were not part of the SOW Template.
20. Enter the invoice number and complete information as appropriate such as when the work
was performed. There is a button at the top of this section for adding lines for additional
invoices submitted by the Consultant.
21. Enter the date and any supporting information regarding the Bridge Section requesting that
the Consultant review structure cost data sheets (if applicable).
22. Extra lines are provided for items under WOC Administration that might be applicable.
23. Enter information regarding when the construction engineering budget was finalized and
submitted to OPO and whether there are any potential issues with the budget.
24. Enter appropriate information regarding the Notice to Proceed letter sent out by OPO to the
Construction Contractor.
25. Enter appropriate information regarding confirmation that a public work bond has been filed.
There is usually a file within the Notice to Proceed email sent out by OPO that includes a file
that has the public works bond information.
26. Enter appropriate information regarding the Consultant submittal of the Quality Assurance
Plan to the Agency PM (Form 734-2857).
27. Enter appropriate information regarding whether the Construction Contractor wishes to
initiate the Cooperative Arrangement Specification (00150.05). If the Contractor selects this
option and then later all parties agree that it isn’t necessary, this should also be documented
here.
30. Enter appropriate information regarding the submittal of the written request by the
Construction Contractor to opt-in to utilize the steel escalation/de-escalation process. This
must be done within 7 days of the preconstruction conference.
32. Enter appropriate information regarding the date the preconstruction conference was held.
33. Enter appropriate information regarding the distribution of the preconstruction conference
minutes.
34. Enter appropriate information regarding the submittal of required TOD and Business Logo
documentation as required under Specification 00225.05(b).
35. Enter appropriate information regarding Agency PM review of the project schedule.
37. Enter appropriate information regarding submittal of the Traffic Control Plan by the
Construction Contractor (Spec 00225.05(a)).
38. Enter appropriate information regarding submittal of the Erosion and Sediment Control Plan
by the Construction Contractor (Spec 00280.02).
39. Enter appropriate information regarding submittal of the Pollution Control Plan by the
Construction Contractor (Spec 00290.30(b)).
40. Enter appropriate information regarding the identification of specific material sources to be
used for the project.
41. Enter appropriate information regarding first note for the project.
42. Extra lines are provided for items under Construction Engineering, Phase 1 that might be
applicable.
43. Enter appropriate information regarding the completion of the Test Summary sheets.
44. Enter appropriate information regarding any progress meetings held with the Construction
Contractor. Use the button next to the item title to add as many lines as necessary.
45. Enter appropriate information regarding monthly progress estimates submitted for payment.
Use the button next to the item title to add as many lines as necessary.
46. Enter appropriate information regarding any price adjustments made during the life of the
project. Use the button next to the item title to add as many lines as necessary.
47. Enter appropriate information regarding any fabrication inspections conducted during the life
of the project. Use the button next to the item title to add as many lines as necessary.
49. Enter appropriate information regarding any contract change orders processed during the
life of the project. Use the button next to the item title to add as many lines as necessary.
50. Enter appropriate information regarding any extra work orders processed during the life of
the project. Use the button next to the item title to add as many lines as necessary.
51. Enter appropriate information regarding any state force orders processed during the life of
the project. Use the button next to the item title to add as many lines as necessary.
52. Enter appropriate information regarding any working drawing submittals during the life of the
project. Use the button next to the item title to add as many lines as necessary.
53. Enter appropriate information regarding any CUF interviews conducted during the life of the
project. Use the button next to the item title to add as many lines as necessary.
54. Enter appropriate information regarding any Summary Reports of Subcontractors Paid
processed during the life of the project. Use the button next to the item title to add as many
lines as necessary.
55. Enter appropriate information regarding any EEO reports processed during the life of the
project. Use the button next to the item title to add as many lines as necessary.
56. Enter appropriate information regarding any Apprentice/Training Monthly Reports processed
during the life of the project. Use the button next to the item title to add as many lines as
necessary.
57. Enter appropriate information regarding any certified payroll reviews during the life of the
project. Use the button next to the item title to add as many lines as necessary.
58. Enter appropriate information regarding any wage interviews conducted during the life of the
project. Use the button next to the item title to add as many lines as necessary.
59. Enter appropriate information regarding any Release of Retainage requests processed
during the life of the project. Use the button next to the item title to add as many lines as
necessary.
60. Enter appropriate information regarding any claims against a contractor’s bond processed
during the life of the project. Use the button next to the item title to add as many lines as
necessary.
61. Enter appropriate information regarding any Contractor Performance Evaluations processed
during the life of the project (this is only required if the project covers more than one year).
Use the button next to the item title to add as many lines as necessary.
62. Enter appropriate information regarding any 2nd Notes processed. Use the button next to the
item title to add as many lines as necessary.
63. Enter appropriate information regarding the final inspection of the project.
65. Enter appropriate information regarding any plant establishment periods. Use the button
next to the item title to add as many lines as necessary.
66. Enter appropriate information regarding results of plant establishment inspections. Use the
button next to the item title to add as many lines as necessary.
67. Enter appropriate information regarding notification to Civil Rights so that they may ensure
that all appropriate paperwork has been completed before 3rd Note is issued.
68. Enter appropriate information regarding the submittal of the Labor Compliance Certification
(Form 734-1734).
69. Enter appropriate information regarding the submittal of the Final Acceptance form (Form
734-1384).
70. Enter appropriate information regarding the Semi-Final RAS Review which involves
reviewing the DRR.
71-79. All of these items are required for the Semi-Final Documentation review. Enter
information as appropriate.
80. Enter appropriate information regarding the final Contractor Performance Evaluation. If the
project last less than one year, this will be the only evaluation required.
81. Enter appropriate information regarding the processing of the 3rd Note for the project.
82. Extra lines are provided for items under Construction Engineering, Phase 3 that might be
applicable.
83. Enter appropriate information regarding the final Consultant evaluation for the project.
84. Enter appropriate information regarding closing out the WOC. In the Remarks column, enter
what the destruction date of the files should be (which would be 10 years from the close-out
of the WOC).
85. Extra lines are provided for items under Construction Engineering, Phase 4 that might be
applicable.
7/1/2012 8 12/31/2013 9
WOC Signed WOC Expiration Date
Construction Engineering
Phase 1 – Between Bid Letting and First Notification
Completed
Yes No N/A Date Remarks
Item
(mm/dd/yyyy)
Construction Engineering Budget
Finalized 23 7/15/2012
28
Cooperative Arrangement Document
Distributed
Safety Questionnaire Received 29 7/31/2012
Contractor provided notification that they were not going to request steel
30
Contractor Requested Steel Escalation 8/5/2012
escalation/de-escalation for this project.
Precon Scheduled 31 8/5/2012 Meeting scheduled for 8/20/2012
Construction Engineering
Phase 2 – Between First Notification and Second Notification
Completed
Yes No N/A Date Remarks
Item
(mm/dd/yyyy)
Test Summaries Completed 43 8/30/2012
Progress Meeting Held:
44 9/15/2012 X
10/15/2012 X
Monthly Progress Estimate:
September 2012 45 10/5/2012 X
Price Adjustment:
46 X
CCO:
CCO 1 49 10/10/2012 Change HMAC specs. X
EWO:
50 X
SFO:
51 X
CUF Evaluation:
ABC Flagging 53 10/5/2012 X
Second Note
62 X
Construction Engineering
Phase 3 - Between Second Notification and Third Notification
Completed
Yes No N/A Date Remarks
Item
(mm/dd/yyyy)
Final Inspection 63
Claim Received (Identify Issue):
64 X
65 X
66 X
Construction Engineering
Phase 4 – Between Third Notification and Final Payment
Completed
Yes No N/A Date Remarks
Item
(mm/dd/yyyy)
Final Consultant Performance
Evaluation 83
WOC Closed Out 84
85
The document on the following pages is the template that the Agency PM should begin with to
create the Work Order Contract between ODOT and the Consultant.
Instructions - This template includes standardized language that has been approved by the
Construction Office. It has also been approved for use by DOJ. Adherence to these instructions will
help expedite review and approval of your Contract/WOC.
When preparing an SOW, only use current templates available at the following Internet site:
http://www.oregon.gov/ODOT/CS/OPO/pages/sow.aspx . Do not use versions stored in your project
files or email attachments as they may not be current (occasional revisions are anticipated).
Track Changes -- Make sure Track Changes are on when editing.
Task (and sub-task) numbering is standardized. Do not change task numbers even if you delete
unneeded tasks and numbering is non-sequential.
The SOW Template tasks are intended to be standard boilerplate and should not be revised
unless there is a good reason to do so.
Text or fields with blue highlight should be revised as necessary with project-specific information.
Changes to task requirements that are not highlighted in blue must be approved by Agency’s
Construction Office. Substantive revisions to language that is not highlighted in blue will also require
DOJ review if the Contract/WOC or amendment is above the dollar threshold that requires DOJ legal
sufficiency review.
Tasks or task elements listed as optional or contingency tasks that are not applicable to the project
should be deleted (mark as “RESERVED” when entire tasks or subtasks are deleted.)
Table of Contents [Prior to executing contract/WOC, right-click in TOC, select “Update Field”, then
“Update entire table”]
[Use the following paragraph when doing a new WOC or Contract for CA/CEI services.]
This statement of work (SOW) is for Construction Contract Administration/Construction Engineering and
Inspection (CA/CEI) Services on the Project. The delivery schedule is provided in the “Deliverables”
section of each task in section E.
Background
[This Section will provide Project Specific information to outline the general scope of the construction
project. If the CA/CEI work is a new WOC or Contract, enter a project description and background information.
If the background is unchanged {as it normally should be}, just leave this section blank except for a note that
says “The General Description and Background for the Project is unchanged from the original SOW”.]
The General Description and Background for the Project is unchanged from the original SOW.
Project Phases
This Project is divided into the following phases:
(List any previous Preliminary Engineering (PE) phases for this Project completed under this WOC/Contract.)
Preliminary Engineering/Design
Design Acceptance
Final Design and Bidding Assistance
CA/CEI
The CA/CEI phase will culminate when Agency issues final acceptance of the Project. Completion of the
CA/CEI phase of the Project will be the final phase of this WOC. [Use Find and Replace to delete all entries
of “WOC” and replace with “Contract” if using this template with a project-specific contract instead of a
WOC.]
List of Attachments:
Attachment A: Acronyms and Definitions
Attachment B: Breakdown of Costs (BOC) for Services
Consultant shall complete the CA/CEI Services in accordance with ODOT’s Construction Manual, the
Quality Control Compliance Specialists (QCCS) Handbook, the Manual of Field Test Procedures, the
ODOT Inspector's Manual, and this WOC.
2. General Requirements
As required in ORS 672.002 to 672.325, Consultant shall provide appropriate supervision and control with
a licensed Professional Engineer in responsible charge of the CA/CEI services.
Consultant shall immediately advise Agency of any construction which Consultant knows, or with the
exercise of professional care should know, fails to conform to the construction contract requirements
applicable to the Project.
2. Project Communication
Communication is an important element to the successful completion of the Project. All communication and
deliverables covered under this SOW shall be directed to the APM assigned to this Project (or such other
individual as designated in writing to Consultant).
To the extent possible, all transmittals from Consultant to Agency must include the Contract#, PA# and
WOC# if applicable, Project name and the Project key number. The key number must be used as part of the
document control system established by Agency and Consultant. Formats for the document control system
shall be discussed at the initial meeting between Agency and Consultant pertaining to the CA/CEI-phase
Services.
The CC for this Project will be determined through the competitive bidding or proposal process. When the
CC has been determined, Consultant shall establish appropriate contacts with that firm prior to the Pre-
Construction Conference.
Agency has overall authority in scope, schedule and budget of the Project. All construction Change Orders
[Contract Change Orders (CCO), Extra Work Orders (EWO) and State Force Orders (SFO)] prepared by
Consultant are subject to Agency review and approval prior to implementation by the CC. Authority to
approve all CCOs, EWOs and SFOs shall be as outlined in the ODOT Construction Manual, Chapter 3 -
Delegated Authority and in Delegation Letters. For purposes of this Project, the APM has the authority
delegated to the ODOT Project Manager.
Consultant
Consultant shall provide all labor, equipment, and materials to provide the CA/CEI Services as outlined in
this SOW.
Consultant may be liable for any CCOs, EWOs and SFOs authorized without obtaining prior review and
approval by Agency.
Changes to Consultant’s Project Manager are subject to Agency approval and will require written notice to
Agency prior to the change.
Consultant is not responsible for the means, methods, operating procedures or safety precautions of any CC
or other entity.
[Add others as necessary. Include the following responsibilities, modified as required, when a Local Public
Agency (City, County, Parks Dept, Port, etc.) is a partner in the construction contract. Delete this section if not
needed.]
D. FORMAT REQUIREMENTS
Deliverables shall be submitted to Agency in the format described in the ODOT Construction
Manual and individual tasks.
ODOT Forms – Consultant shall use ODOT forms where required. Construction related forms
referenced in this SOW are available on line at:
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/pages/HwyConstForms1.aspx
Each draft and final text-based or spreadsheet-based deliverable shall be provided in MS Office file
formats (i.e., Word, Excel, MS Project, etc.) and must be fully compatible with version used by
Agency.
Additional format requirements may be listed with specific tasks/deliverables throughout the SOW
or in the PA/Contract.
Task Numbering: For purposes of standardization, task numbers in this SOW may be non-sequential due to
deletion of unneeded tasks from Agency’s SOW template. For convenience to the reader, the task numbering for
the CA/CEI phase will use the standard task number prefaced with “CE” (CE-1, CE-2).
Consultant shall:
Direct Consultant’s team with regard to overall Project activities and team meetings.
Maintain liaison, communication and coordination between Consultant’s staff, APM, local agency
project manager (LAPM) if applicable, CC and Agency staff to facilitate timely, efficient operations for
all involved.
Deliverables:
On-going coordination and communication as needed to appropriately manage the Project (no tangible
deliverables for this task).
Consultant shall prepare a Monthly Project Status Report to show progress throughout the duration of this Project.
If the construction Project schedule milestones are significantly revised, Consultant shall attach the updated
Project schedule and submit with Monthly Project Status Report. Consultant shall submit the Monthly Project
Status Reports to APM with the monthly Consultant invoice.
Deliverables
Monthly Project Status Report - Submitted to APM with the monthly invoice no later than the 5th calendar
day of the month following the reporting month.
[Delete 1.3 if project does not include a structure. Structure Cost Data is an FHWA requirement. Include this
task if project involves a structure and there are federal funds, or any chance of federal funds, in the project.
Alternatively, if Agency staff are available, they may complete this task. If state funds only or if there is no
structure involved with this project, this task may be deleted. Currently, the data cannot be input remotely
into the database.]
Agency will prepare structure cost data sheets for the structure(s) and enter cost data on Agency’s
computers. Agency’s Bridge Program System Analyst may contact Consultant for reviews or clarifications
of structure cost data if needed.
Deliverables
Reviews of structure cost data sheets (if requested by Agency); within 3 business days
Clarifications and responses to questions regarding cost data (upon request by Agency)
Consultant shall consult with the CC, LAPM (if applicable), and the APM to determine participants and
schedule the Pre-Construction Conference at an agreed upon time and place.
Consultant shall:
Schedule the Pre-Construction Conference in cooperation with the CC, APM, and (local agency project
manager (LAPM).
Prepare and distribute the Pre-Construction Conference agenda and minutes.
Attend, facilitate and participate in Pre-Construction Conference.
Deliverables:
Pre-Construction Conference Agenda – 1 copy to each conference attendee and the APM 1 week prior to
the scheduled conference
Pre-Construction Conference Minutes – 1 copy to each conference attendee and the APM within 1 week
after the conference
[Use this task (task 2.2) only if the construction contract gives the CC the option to request a formal
“partnering” session for the Project according to Section 00150.05. If partnering is requested by the CC or
Agency on this Project, contact the ODOT Construction Program Analyst or the Contract Administration
Engineer in the Construction Section to identify the ODOT Partnering consultant.]
If requested by the CC or Agency, Consultant shall work with the CC, the APM and the Agency’s
Partnering Consultant to schedule a formal Cooperative Arrangement (Partnering) session at an agreed upon
time prior to the Pre-Construction Conference. Consultant shall:
Deliverables:
Agenda for Cooperative Arrangement session – Submit 1 copy to each meeting attendee and the APM 4
business days prior to the scheduled meeting.
Brief summary of Cooperative Arrangement session and list of action items – Submit 1 copy to each
meeting attendee and the APM within 1 week after the meeting.
Task CE-2.3 Quality Assurance & Contract Administration Plan (QA/CA Plan)
Consultant shall prepare a project-specific Quality Assurance & Contract Administration Plan (QA/CA
Plan), using Agency form # 734-2857 (as may be amended from time to time by Agency) which is available
electronically on the website below). The QA/CA Plan must identify Consultant’s certified quality assurance
CA/CEI SOW Template – 9/19/12 8
and construction inspection personnel and the personnel responsible for each of the major construction-
related tasks identified in this SOW.
Consultant shall submit a draft QA/CA Plan (electronically via email) to the APM for review and comment.
Agency will review the draft QA/CA Plan and return any comments to Consultant within 5 business days.
Consultant shall respond to Agency comments and revise the draft QA/CA Plan as necessary.
Consultant shall prepare the final QA/CA Plan making all required revisions per the Agency draft review
comments. Agency will issue approval or return any additional comments to Consultant within 5 business
days of receipt of the final QA/CA Plan. No on-site inspection or QC monitoring tasks may be performed by
Consultant until receipt of Agency approval of the final QA/CA Plan.
Consultant shall make any necessary updates to the QA/CA Plan needed as work on the Project progresses,
and submit the modified QA/CA Plan to the APM for review and approval.
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/pages/HwyConstForms1.aspx
Form # 734-2857 - Quality Assurance & Contract Administration Plan
Deliverables:
Draft QA/CA Plan (Form 734-2857)- Submit to APM no later than 5 business days following the date of
NTP for CA/CEI phase.
Final QA/CA Plan (Form 74-2857) - Submit to APM within 5 business days of receiving Agency
comments on draft QA/CA Plan.
Consultant shall provide day-to-day administration of the construction contract. Consultant shall complete contract
administration tasks as outlined in the ODOT Construction Manual, the Manual of Field Test Procedures, the
Nonfield-Tested Materials Accepted Guide, the ODOT Inspector’s Manual, QCCS Handbook, Qualified Products
List (QPL), the Contract Plans and Specifications, and this WOC.
The Agency will perform periodic reviews on all Project quality, quantity and labor compliance documentation.
The reviews will be performed by the Agency’s Region Assurance Specialist (RAS) per the ODOT Construction
Manual, Chapter 12B - Quality, Section 12B-3(b), and the Office of Civil Rights (OCR) Field Coordinator per the
ODOT Construction Manual, Chapter 37 – Submittal of Final Project Documentation, Section 37-3. Consultant
shall resolve all documentation deficiencies noted during the periodic reviews prior to the next scheduled review.
Final documentation reviews by the RAS and OCR Field Coordinator will be performed as directed in the ODOT
Construction Manual, Chapter 37 – Submittal of Final Project Documentation.
In addition to any other requirements identified in the reference standards identified above, Consultant shall:
Deliverables
First Notification – Issue when on-site construction work begins. Distribute original and copies per
distribution list on Agency’s First Notification Form.
Resolution of any documentation deficiencies as noted on the Documentation Review Report per the
RAS review. Deficiencies -must be resolved prior to next review.
Contractor’s Request for Subcontract Consent – Review and prepare a Project Manager’s Report on
Contractor’s Request for Subcontract Consent form within 14 calendar days after receipt from CC.
Distribute original and copies per distribution list on form (there is no deliverable associated with review
and approval of CC’s request for rental of operated equipment).
EEO, DBE and OJT/Apprenticeship compliance reports and Summary Report of Subcontractor's Paid
reports - Submit to Agency monthly and as directed in the ODOT Construction Manual, Chapter 18 –
Affirmative Action.
Certified payrolls, Employee Interview Reports and owner-operator checks – Maintain in project files.
Submit originals with final Project documentation per task 5.4.
Consultant shall prepare and enter all source documents as “paynotes” into the monthly preliminary progress
estimate using the Agency’s Contract Payments System (CPS) for CC’s work performed through the last
working day of the month.
After all paynotes are entered, Consultant shall generate the Preliminary Progress Payment Report, print it
out and review it with the CC for concurrence on quantities being paid for the previous months work.
No later than the 5th of the month, Consultant shall notify the APM via e-mail that the progress estimate is
ready for upload. Following a review, the APM will upload progress estimate no later than the 8th of the
month.
Deliverables
Monthly Preliminary Progress Estimate - Completed and ready for APM review by the 5th of the month
following each month in which CC’s work was performed. Submit a signed, original hard copy of the
Preliminary Progress Payment Report distributed to Agency, with a copy to the LAPM if applicable.
Consultant shall conduct periodic Project Progress Meetings with the CC and others as needed, including but
not limited to, APM, permitting agencies, local officials, and LAPM, if required. The Project Progress
Meetings are intended to help ensure the Project is progressing effectively, proper communications are
taking place, Project working relationships are effective, and that issues are being addressed and resolved in
a timely manner.
Consultant shall conduct additional activity-specific technical kick-off meetings for various activities
required by the construction Contract. These activities may include, but are not limited to:
[Add or delete items in the following list as individual project requires:]
Consultant shall:
Schedule Project Progress Meetings as needed, or as agreed to by APM (and LAPMif applicable).
Project Progress Meetings are recommended to be held weekly during active construction periods, but
may be held less frequently during periods of low construction activity.
Prepare Project Progress Meeting agendas and inform attendees.
Attend and participate in Project Progress Meetings.
Record and distribute Project Progress Meeting minutes.
ASSUMPTIONS FOR BUDGETING PURPOSES: Project Progress Meetings are assumed to be weekly
(during active construction) with no more than ____ Consultant staff attending.
Deliverables
Project Progress Meeting agendas – Submit via email, 1 copy to each attendee and 1 copy to APM 2
business days prior to scheduled meeting.
Project Progress Meeting minutes – Submit via email, 1 copy to each attendee and 1 copy to APM within
5 business days after the meeting.
Request to cancel Project Progress Meetings based on inactive construction period – Submit written
request electronically to APM at least 2 business days prior to scheduled meeting.
Consultant shall review construction shop drawings and working drawings submitted either electronically or
in paper form by the CC. If electronic submittals are received, Consultant shall process them according to
the ODOT Guide to Electronic Shop Drawing Submittal. Consultant shall log in the submittal when it
arrives, track the submittal to ensure timely response, and log out the reviewed submittal when it is returned
to the CC. Consultant shall conduct submittal review in accordance with Section 00150.35 of the Standard
Specifications, and the ODOT Construction Manual, Chapter 16 – Working Drawings. Of the multiple
copies of each shop drawing received from CC, Consultant shall:
Consultant shall review the following submittals as required using the guidelines in ODOT’s Construction
Manual, Chapter 16 – Working Drawings, the ODOT Guide to Electronic Shop Drawing Submittal, and the
Standard Specifications Section 00150.35:
Consultant shall prepare shop drawings for non-standard permanent signs in accordance with Standard
Specifications Section 00940.03, and for steel sign supports in accordance with Section 00930.02. Based on
field survey information, Consultant shall review and verify all new sign post lengths.
Deliverables:
Return approved shop drawings with comments:
Hard-copy Submittals (within time frame established in construction contract specified requirements)-
o 1 copy to APM (transmittal only)
o 2 copies (1 for field and 1 for home office) to CC
o 1 copy maintained in Project files
o 1 copy to Agency Materials Unit when applicable (Portland office for steel shop drawings;
Portland or Eugene office for pre-cast shop drawings, depending on location of fabrication facility)
CA/CEI SOW Template – 9/19/12 12
Electronic Submittals
o 1 electronic PDF mark-up/comment copy to APM, CC, Project Files, and Agency Materials Unit
POR-provided shop drawings for non-standard signs and steel sign supports (due within 5 business days
of request):
o 1 copy to APM (transmittal only)
o 2 copies (1 for field and 1 for home office) to CC
o 1 copy maintained in Project files
o 1 copy to Agency Materials Unit when applicable (Portland office for steel shop drawings;
Portland or Eugene office for pre-cast shop drawings, depending on location of fabrication facility)
Consultant shall provide consultation and technical services regarding design issues raised during
construction of the Project. Consultant shall clarify construction contract documents and provide written
responses to Requests for Information (RFIs). The design consultation will occur only as required and may
be ongoing throughout the Project.
NOTE: Design requests must be initiated by either Agency or Consultant using a Change Request
Form or a RFI. A response to an RFI may also initiate a Change Request or a formal contract
amendment for Consultant or CC. No work shall be conducted on a Change Request until the APM
approves the request and the appropriate change order document is approved. The Change Request
must clearly outline Consultant’s cost, the estimated construction cost, and the cause of the change.
Deliverable:
Written documentation of responses to CC or Agency inquiries – Submit 1 copy to APM within 2
business days of inquiry, unless other delivery date is agreed to by APM.
If Consultant or CC determines that design modifications may be necessary, Consultant shall discuss
potential changes with APM, LAPM and POR prior to verbally agreeing on changes with CC or preparing
the appropriate contract change order documents, depending upon the type of work (changed work, extra
work, or force account work). Upon request of the APM, Consultant shall work with the POR to prepare
detailed engineering design revisions necessitated by conditions encountered during construction. These
design revisions must be accompanied by the necessary contract change order documents (CCO, EWO or
SFO) to make them a part of the construction contract. Consultant shall refer to the ODOT Construction
Manual, Chapter 15 – Change Orders, Force Account, Work by Public Forces, and Chapter 12G – Extra
Deliverables:
Design details for modifications (prepared or approved by the POR for appropriate changes to Project
design) - Submit to APM at date agreed to when work was requested.
Draft CCO and EWO or SFO documents with supporting documents (cost estimate and justification) -
Submit to APM at date agreed to when work was requested.
Task CE-2.10 Claim(s) Support [CONTINGENCY TASK (see SOW section F)]
If authorized by APM, Consultant shall provide support to Agency to review and respond to any and all
claims submitted by the CC as specified in the Standard Specifications Section 00199 – Disagreements,
Protests and Claims. Consultant tasks for claim(s) support may include but are not limited to:
Prepare memoranda and supporting documentation (photo logs, inspection reports, memos, drawings,
etc) related to claims.
Provide consultation related to claims (in person, via telephone or email).
Attend claim resolution meetings.
Prepare a claim decision in conformance with the requirements of Standard Specifications Section
00199.40(b).
ASSUMPTIONS FOR BUDGETING PURPOSES: This task assumes no more than ______ hours for
claim(s) support. Assume up to _____ claims, each requiring _____ staff to do _____ days of preparation
and attend up to _____ all day meetings for each claim, plus Principal and PM reviews and clerical
assistance.
Deliverables:
The deliverables for claim(s) support may include but are not limited to:
Memoranda and supporting documentation (photo logs, inspection reports, memos, drawings, etc)
related to claims
Consultation related to claims (in person, via telephone or email)
Attendance at claim resolution meetings
Claim decision that satisfies Standard Specifications Section 00199.40(b)
Consultant shall provide necessary on-site monitoring/inspection of construction for conformance with
construction contract documents. Consultant shall coordinate closely with CC to ensure on-site inspections
do not adversely impact the construction schedule. During the construction process, inspections must occur
at critical times as outlined in the ODOT Construction Manual, the Manual of Field Test Procedures and the
ODOT Inspectors Manual.
Consultant shall have an Inspector on site during all critical times during the construction process.
Consultant shall monitor the CC’s quality control process for compliance with the construction Contract
requirements. All persons involved in performing inspection duties must be certified through the Agency's
Inspection Quality Assurance Program (IQAP) in the discipline for the work they will be inspecting.
Consultant’s Inspectors must be certified prior to commencement of any on-site work by the CC.
Consultant shall perform work zone monitoring as required by the ODOT Construction Manual, ODOT
Inspectors Manual and the construction Contract documents. Consultant shall monitor and enforce the
following for compliance to construction contract requirements:
Consultant shall monitor the CC to ensure the following deliverables are completed and submitted to
Consultant, if required by the construction contract documents:
Consultant shall perform compliance monitoring related to environmental conservation measures agreed
upon with State and Federal regulatory agencies through permit conditions and as included in the
construction contract. Consultant shall conduct site inspections to assist CC, LAPM and Agency in
maintaining compliance with issued regulatory permits and the special provisions; and Consultant shall
provide documentation of the construction process relative to this environmental compliance. Consultant
shall review the CC's submittals for the Work Containment Plan and System (WCP/WCS), the Erosion and
Sediment Control Plan (ESCP), and the Pollution Control Plan (PCP) for compliance with the construction
contract and permits.
Consultant shall coordinate and schedule monitoring visits coincident with activities that have significant
environmental components. Consultant shall identify deficiencies and potential permit compliance issues
and provide guidance to Agency, LPA and CC to aid in avoiding potential regulatory agency involvement or
violations. Based on the Project’s significant site rehabilitation measures (to offset Project impacts),
Consultant shall provide input and clarifications during construction activities to facilitate biological
functioning as outlined in Project permits.
CA/CEI SOW Template – 9/19/12 15
Consultant shall review onsite conditions and construction techniques during site inspections to assess
compliance with Project permits, the PCP, the ESCP, proposed site rehabilitation measures, and general
environmental conservation measures. In the event that deficiencies are noted, Consultant’s Environmental
Specialist shall immediately bring the deficiency to the attention of the CC, APM and LAPM and
recommend a corrective course of action to facilitate compliance with environmental regulations,
performance standards, and permit conditions.
Consultant shall conduct up to ____ site monitoring visits and prepare brief construction monitoring
memorandums summarizing site conditions and providing recommended measures to facilitate permit
compliance and correct deficiencies. Construction activities requiring Consultant biological monitoring and
technical assistance shall be limited to construction activities with the highest potential to impact sensitive
resources and construction of features associated with site rehabilitation.
Consultant shall prepare and submit environmental documentation required by Project permits upon
completion of Project construction. Consultant shall prepare a Restoration As-Built Report to document
restoration completion. Consultant’s Restoration As-Built Report must document construction and
effectiveness of onsite restoration for the Project. Prior to preparation of the report, Consultant shall conduct
1 site visit within 30 days of restoration construction completion to determine if restoration measures were
constructed according to Project permits. The Restoration As-Built Report must include a narrative
summary describing Project construction and restoration as well as maps, and representative photographs
with descriptions.
Consultant shall visit the site to collect data regarding restoration conditions, planting survival, and to
evaluate if corrective measures are necessary. As part of this work, Consultant shall conduct the quarterly
plant establishment site visits (in accordance with Section 01040 of the Standard Specifications) during the
spring, summer and fall the first year after acceptance of initial planting and seeding (unless otherwise
specified in the Contract). During the site visits, Consultant shall record general site conditions, hydrology,
plant cover, plant communities, erosion, and related aspects of the restoration. Consultant shall conduct
observations regarding plant stress and planting survival. Consultant shall provide recommendations for
replacement plantings and invasive species controls (if necessary). Consultant shall establish photo point
locations and shall take photographs to document annual site conditions.
After the site visits, Consultant shall prepare the first annual Restoration Monitoring Report to document
compliance with the permits issued for the Project. (Additional annual monitoring reports will be prepared
by Agency or LPA if required.) Consultant’s reports shall document the condition of the restoration site
including planting survival estimates, any deficiencies noted during the monitoring period, and
recommendations to facilitate permit compliance.
Deliverables:
Construction monitoring memorandums – Submit 1 copy to CC, APM (and LAPM on LPA projects),
within 5 business days after the monitoring site visit.
Restoration As-Built Report – Submit 3 hard copies and 1 electronic (PDF copy) each to APM (and
LAPM on LPA projects ) within 30 calendar days of conducting the site visit.
First Annual Restoration Monitoring Report – Submit 3 hard copies and 1 electronic (PDF copy) each to
APM (and LAPM on LPA projects) within 30 calendar days of conducting the site visit.
General Daily Progress Reports / Project Diary – Complete daily when performing on-site visits.
Maintain in Project files and submit originals with final Project documentation as defined in task 5.4
Consultant shall monitor construction activities during construction of the Project utilizing Agency-certified
Inspectors. Consultant shall provide inspection concurrently with the CC’s operation. Consultant shall
coordinate closely with CC to ensure on-site inspections are coordinated with the construction schedule.
Consultant shall perform inspections as detailed in the ODOT Construction Manual and the ODOT
Inspectors Manual. Consultant shall prepare General Daily Progress Reports of construction for days
Consultant is on site. Consultant shall take photos of the various construction activities and keep a current
digital photo-log of critical construction activities. The photo-log must be kept up to date throughout
construction and available for review by Agency.
Consultant shall document the work and nonfield-tested materials incorporated into the Project by
completing Field Inspection Reports (FIRs) as required by the ODOT Construction Manual, Chapter 12C –
Quality and the Nonfield-Tested Materials Acceptance Guide. Consultant shall log the FIRs and other
supporting quality documentation into the applicable Test Summary and keep up to date and available for
review by Agency. Consultant shall maintain the Nonfield-Tested Materials Test Summary (Test Summary
“A”) as detailed in the ODOT Construction Manual.
Consultant shall determine and document all pay quantities for work and materials incorporated into the
Project. As required by the ODOT Construction Manual, Chapter 12D – Quantities, Consultant shall
prepare source documents (“Paynotes”) for all pay items and include supporting documentation to support
each payment. Consultant shall keep quantity documentation current at all times and available for Agency
review upon request.
Deliverables:
General Daily Progress Reports – Complete each day Consultant is on-site. Make available for review at
Consultant’s field office or home office. Originals submitted to Agency with final Project
documentation submittal per task 5.4.
Current Digital Photo-log of construction activities - Make available for Agency review at Consultant’s
field office or home office as needed. Submit photo logs with the final Project documentation in task 5.4.
FIRs and Nonfield-Test Summaries - Maintained with Project files throughout the Project and available
for Agency review as needed. Submit originals to Agency with final Project documentation per task 5.4.
Source Documents “Paynotes” - Field notes, calculations, receipts, invoices, reports used to determine
project pay quantities, installation sheets, and other supporting documentation – Complete as work is
performed (and enter data monthly per task 2.5). Make available for Agency review as needed and
submit with final Project documentation per task 5.4.
CC’s EEO/DBE and OJT/Apprenticeship reports, if required – Submit as required by construction
contract.
Consultant shall monitor the CC’s Quality Control (QC) program for conformance with requirements of the
ODOT Manual of Field Test Procedures. Consultant shall coordinate with the ODOT Region Quality
Assurance Coordinator (QAC) to ensure adequate verification and independent assurance (IA) testing is
performed.
Consultant shall monitor the CC’s QC Program. One or more Consultant staff shall perform the QCCS
functions as defined in the QCCS Handbook and the Agency’s Quality Assurance Program, which is in
Section 2 of the ODOT Manual of Field Test Procedures. Consultant staff fulfilling the role of the QCCS
shall be experienced in all areas of field testing and documentation, and be certified by the Agency’s
Technician Certification Program for the specific tests being monitored.
Consultant staff assigned under this WOC to perform the Construction Inspection, Quality Control Manager
and QCCS functions are Key Persons (as identified on the approved QA/CA Plan) and may not be
substituted or replaced unless approved in writing by Agency.
Consultant shall:
Ensure that CC properly documents that all materials furnished and placed on the Project conform to the
approved specifications.
Maintain the Field-Tested Materials Test Summary (Test Summary “B” and “B-QA”) as detailed in the
ODOT Construction Manual.
Monitor CC’s quality control technicians to ensure proper and current certification(s), and that proper
testing frequencies and procedures are being followed. Monitoring must be done by Consultant staff
experienced in all areas of field testing and documentation and certified by ODOT’s Technician
Certification Program for the specific tests being monitored.
Obtain, review and compile all required Project quality documentation in accordance with the ODOT
Construction Manual and the construction contract documents.
Communicate with Agency’s QAC to ensure timeliness and efficiency in the verification and IA testing
work and compliance with all requirements of the ODOT Manual of Field Test Procedures and contract
documents.
Compare CC’s QC test results to ODOT’s verification test results to ensure they are within IA
parameters.
Work with APM to resolve any discrepancies between CC’s QC test results and the ODOT verification
test results.
Prepare quality price adjustments as necessary for materials.
Deliverables:
If construction surveying does apply, review guidance with subtasks and delete any subtasks that do not apply. Delete
and mark as “Reserved” either 4.1 or 4.2 as applicable, depending on whether CC is performing survey work under
the construction contract. ]
Consultant's licensed Land Surveyor shall provide land surveying services and deliverables that conform to
all state statutes pertaining to survey and land boundary laws. These include, but are not limited to, the
following Oregon Revised Statutes (ORS):
Consultant’s survey personnel shall perform all construction surveying tasks in accordance with the most
recent version of the ODOT Construction Surveying Manual for Contractors (available on line at:
http://www.oregon.gov/ODOT/HWY/GEOMETRONICS/pages/documents.aspx ), as required to ensure
conformance of the Project construction with the approved plans and specifications. Consultant shall provide
qualified personnel to ensure the Project is constructed to the lines and grades as shown, specified, or
established.
Task CE-4.1 Coordination, Calculations and Quality Assurance (QA) of Construction Contractor’s
Survey Work
[Delete this task and mark as “RESERVED if CA/CEI Consultant is performing construction survey and
staking required under task 4.2.
If CC is performing construction survey and staking, this task would be included (delete pre-survey
meeting if conducted as part of Pre-con mtg in task 2.1)]
Consultant shall:
Coordinate with APM and CC as needed to assure construction survey work completed by the CC for the
Project is in accordance with the approved plans, specifications and applicable laws.
Attend and participate in a pre-survey meeting with the CC, APM, LAPM and others as may be
appropriate. Consultant shall coordinate with CC, LAPM and APM to determine participants and to
schedule the pre-survey meetings at an agreed-upon time no later than 2 weeks prior to beginning
construction. Prepare and distribute the meeting agenda to APM and other participants at least 4 business
days prior to meeting. Prepare and distribute the meeting minutes to APM and other participants within 1
week of meeting. [Delete this bullet if pre-survey is included and budgeted as part of the Pre-
construction Conference described in task 2.1. If construction survey work will not be included and
budgeted in 2.1 Pre-construction meeting, then delete that item from 2.1 and leave the pre-survey
meeting as part of this task. Ensure pre-survey discussion is not budgeted in both 2.1 and 4.1.]
Perform QA review of CC’s survey data such as, but not limited to, office calculations and stake-out
information. Provide memo indicating dates and times grade calculation checks were performed and the
results of the calculation checks along with copy of notification to CC on items not in compliance from
calculation checks and when/what corrections were made.
CA/CEI SOW Template – 9/19/12 19
Perform QA review of CC’s field survey work. Provide memo indicating dates and times the survey field
checks of CC’s survey work were performed and the results of the field checks along with copy of
notification to CC on items not in compliance with approved construction plans and when/what
corrections were made.
Provide a map, digital ASCII file of the coordinates, and field notes as applicable, of horizontal and
vertical control points (from the construction contract plans) for use by the CC's surveyor.
Prepare horizontal and vertical alignment print outs, construction grade data, including annotated cross
sections (from the construction contract plans) for use by the CC's surveyor.
ASSUMPTIONS FOR BUDGETING PURPOSES: This task assumes no more than ______ 1-day site
visit(s) by a two-man survey crew for construction surveying.
Deliverables:
Pre-survey meeting agenda – Submit 1 copy to each conference attendee and the APM 4 business days
prior to the scheduled meeting. Pre-survey meeting minutes – 1 copy to each meeting attendee and the
APM within 1 week after the meeting. [Delete if pre-survey discussion is included in task 2.1 – Pre-
Construction Conference.]
Memo regarding grade calculation checks – Submit via email to CC with copy to APM within 5 business
days of receipt of survey data from CC.
Memo regarding survey field checks – Submit via email to CC with copy to APM within 5 business days
of request.
Map, digital ASCII file of the coordinates and field notes as applicable, of horizontal and vertical control
points – Submit original to CC at the pre-construction or pre-survey meeting.
Horizontal and vertical alignment print outs, construction grade data, including annotated cross sections
– Submit original to CC at the pre-construction or pre-survey meeting.
Task CE-4.2 Construction Survey and Staking [Delete this task and mark as “RESERVED” if
construction contract includes construction survey staking. If CA/CEI consultant is performing this task,
delete bullets as necessary to match actual Project work. Label this subtask as “Contingency” if it is not
known at time of WOC execution whether or not it is needed.]
Consultant shall provide all construction surveying for control of the Project as required to establish the
position, orientation and elevation of the work from control stations, including furnishing and setting
construction stakes and marks, reference marks, and additional control stations.
Consultant shall:
Attend and participate in a pre-survey meeting with the CC, APM, LAPM and others as may be
appropriate. Consultant shall coordinate with CC, LAPM and APM to determine participants and to
schedule the pre-survey meetings at an agreed-upon time no later than 2 weeks prior to beginning
construction. Prepare and distribute the meeting agenda to APM and other participants at least 4 business
days prior to meeting. Prepare and distribute the meeting minutes to APM and other participants within 1
week of meeting. [Delete this first bullet if pre-survey is included and budgeted as part of the Pre-
construction Conference described in task 2.1. If construction survey work will not be included and
budgeted in 2.1 Pre-construction meeting, then delete that item from 2.1 and leave the pre-survey
meeting as part of this task. Ensure pre-survey discussion is not budgeted in both 2.1 and 4.1.]
Coordinate with APM and CC to discuss and agree upon the extent of construction survey needs in order
for the Project to be successfully constructed in the correct location and in accordance with the approved
plans and specifications for the work.
Verify all initial horizontal and vertical control stations in the proximity of the Project.
CA/CEI SOW Template – 9/19/12 20
Establish additional control stations as necessary to control the Project.
Make supporting calculations as required to establish the position of all elements of the Project. Make
calculations in accordance with established Agency policies and procedures. Calculations must be
sufficient to establish the correct position, orientation, and elevation of the work within required
tolerances from control stations.
Prepare horizontal and vertical alignment construction grade data from the construction contract plans.
Provide calculations, field notes, and survey drawings for the layout and control of the work as are
required to construct the Project.
Perform staking of the Project clearing limits.
Set stakes to define the temporary signs for each stage of construction.
Perform staking for approximate ROW and easements.
Perform staking to delineate existing wetlands and other regulated work areas.
Perform staking for retaining walls including foundations and copings.
Provide staking necessary for construction of all roadways and sidewalks as follows:
Slope stakes for construction of earthwork, including intersections and matchlines
Grade hubs for subgrade
Grade hubs for top of rock
Staking for finish grades
Permanent drainage, including manholes, inlets and pipes
Temporary and permanent striping
Provide staking for permanent signs.
Provide staking for traffic signals and illumination.
Provide staking for permanent stormwater treatment facilities.
Provide staking for guardrail and barriers.
Provide staking for curbs and curb returns, driveways, utility vaults, water quality facilities as applicable.
Provide staking necessary for construction of the bridge, as follows:
Substructure Elements:
Piling
Drilled shafts
End bents and wingwalls
Columns and cross beams
Beam seats and bearing pads
Superstructure Elements:
Horizontal alignment and deck edges
Bridge deck soffit and finish grade elevations
Bridge end panels
Hot mix asphalt concrete buildup for finish grade on precast deck elements.
ASSUMPTIONS FOR BUDGETING PURPOSES: This task assumes no more than ______ 1-day site
visit(s) by a two-man survey crew for construction surveying.
Task CE-4.3 Locate, Recover and Reference Monuments [CONTINGENCY TASK, See SOW
Section F]
[ For every project, it must be known whether or not R/W will be purchased. Keep in mind that easements
are R/W. If new R/W is purchased for a project then this task will most likely be needed. If monuments are
disturbed or destroyed during the construction activities of this Project then this will be needed. If the utility
relocation or clearing activities disturb or destroy monuments prior to or during construction due to the Project
needs, then this task must be accomplished.]
Consultant shall recover and reference monuments (as indicated below) in the location of the ROW
identified in the control, recovery and retracement survey. Consultant shall document in field notes the
monuments either found, or not found during the search phase. Consultant shall ensure compliance with the
requirements of ORS 209.155.
For all monuments not destroyed during construction activities, Consultant shall note in the field notes that:
All monuments were recovered (include date),
All monuments exist per the control, recovery and retracement survey, or
All monuments are within the new ROW and do not need to be reset.
The monuments may or may not be retied to confirm their original surveyed positions. This decision will be
made based on Consultant surveyor’s professional judgment.
Consultant shall:
Recover monuments shown on the control, recovery and retracement survey to confirm they either still
exist or were destroyed during construction. Consultant shall note destroyed monuments that are within
the Project limits.
Locate and recover any new monumentation within the Project work zone which were placed after the
original field search and survey ties, which may include research of county records as appropriate.
Agency may provide monuments tied prior to construction not filed with the control, recovery and
retracement survey.
Use Agency point number range for control points and monuments.
Unless otherwise approved by the Agency, Consultant shall monument the new ROW using the Boundary
Method in conformance with the ODOT Monumentation Policy and the Survey Filing Map Standards
(available on the Internet at http://cms.oregon.gov/ODOT/HWY/GEOMETRONICS/Pages/documents.aspx).
Consultant may be assigned the method of monumentation, which could be the Network Method, Boundary
Method, or a combination of both methods which are defined in the ODOT Monumentation Policy.
Consultant shall set control and/or ROW monuments within 45 days of the completion of construction.
[For LPA projects not on or connected to an ODOT facility, revise formats below, if necessary, per
LPA requirements.]
Bentley MicroStation .dgn file displaying the control and/or monuments – Submit within 2 weeks after
recording of the SFM with the appropriate County Surveyor's office.
Bentley Inroads .alg(s) file with centerline(s), control and monument data, and report of alignment(s)
showing coordinates, bearing, stations, etc., per Bentley Inroads standard reports – Submit within 2
weeks after recording of the SFM with the appropriate County Surveyor's office.
Final report of monument station and offset relationship to the alignment(s) – Submit within 2 weeks
after recording of the SFM with the appropriate County Surveyor's office.
Agency ROW files and copies of all deeds, court judgments, etc., from the appropriate County – Submit
within 2 weeks after recording of the SFM with the appropriate County Surveyor's office.
Original field notes and 1 copy in .pdf format – Submit within 2 weeks after recording of the SFM with
the appropriate County Surveyor's office.
Final ASCII file of all control and monument points set – Submit within 2 weeks after recording of the
SFM with the appropriate County Surveyor's office.
[ If tasks 4.3 or 4.4 are accomplished then this SFM task must be accomplished. Label this subtask as
“Contingency” if it is not known at time of WOC execution whether or not it is needed.]
Consultant shall create SFM in accordance with Agency Survey Filing Map Standards, County and ORS 209
requirements. Consultant shall ensure preservation of existing survey markers in conformance with Chapter
6.2 of the ODOT Construction Survey Manual for Contractors (available on line at:
http://cms.oregon.gov/ODOT/HWY/GEOMETRONICS/Pages/documents.aspx).
Consultant shall monument any newly acquired ROW in accordance with Survey Filing Map Standards for
Right of Way Monumentation (available on line at
http://www.oregon.gov/ODOT/HWY/GEOMETRONICS/docs/right_of_way_monumentation_surveys.pdf)
Deliverables
SFM –File at the appropriate County Surveyor's office within 45 days after setting monuments.
[Double-click checkbox(s) below to select applicable distribution option(s).]
Submit the deliverables below to APM (required for projects on or connected to an ODOT facility).
Submit the deliverables below to the LAPM. Provide via email a copy of transmittal letter to APM.
Final recorded SFM and narrative regarding methodologies used – Submit within 2 weeks after
recording of the SFM with the appropriate County Surveyor's office.
Consultant shall complete interim and final on-site inspections and submit all Project records required for
final payment and project acceptance.
Consultant shall issue Second Notification when all on-site bid item and CCO, EWO and SFO work is
completed per Standard Specifications, Sections 00150.90(a), 00180.50(g), and the ODOT Construction
Manual, Chapter 13 – Contract Time.
Consultant shall schedule a review of the Project at a time close to completion of on-site work. Consultant
shall schedule and lead a Project Final Inspection with CC and Agency within 15 days after receiving notice
from the CC that all punch list items, final trimming and cleanup according to Section 00140.90 have been
completed. If additional construction items are identified, Consultant shall prepare a punch-list of items to
be corrected by the CC. Once the punch-list items have been corrected, Consultant shall meet at Project site
with Agency (and LPA if applicable) for a follow-up to the Final Inspection. Once CC has satisfactorily
completed all construction contract work and fulfilled its obligations concerning Project documentation,
Consultant shall prepare and send the Recommendation of Project Acceptance to APM. See ODOT
Construction Manual, Chapter 36 – Acceptance of Project. For projects with LPA or other funding,
Consultant shall include a letter from the LPA or other funding source stating that it accepts the Project as
being complete.
Consultant shall complete the Prime Contractor Performance Evaluation annually and within 60 calendar
days of Second Notification and submit to Agency after receipt back from CC. Consultant shall also send the
Contractor Construction Process Feedback form to the CC upon completion of construction. Refer to the
ODOT Construction Manual, Chapter 34 – Contractor Performance Evaluation for full process.
Consultant shall complete the Project Managers Narrative Form after issuance of Second Notification and
receipt of Contractor Construction Process Feedback form, but prior to issuance of Third Notification, and
distribute electronic and hard copies as noted on the form. See ODOT Construction Manual, Chapter 37 –
Submittal of Final Project Documentation.
Consultant shall issue Third Notification to CC after all construction contract work and inspections are
complete, and all required documentation is submitted per Standard Specification, Section 00150.90, and the
ODOT Construction Manual, Chapter 40 – Third Notification.
Task CE-5.2 As-Constructed Plans [Delete task language and mark as “RESERVED” if not applicable to
the project.]
Consultant shall prepare as-constructed plans in conformance with the following reference documents:
(For Roadway Plans ) ODOT Contract Plans Development Guide, Vol. 1 Chapter 16 available at the
following web address: http://www.oregon.gov/ODOT/HWY/ENGSERVICES/pages/cpdg.aspx
(For Bridge Plans) – Section 2 “Drafting Practices” of the Bridge Design and Drafting Manual available
at the following web address: http://www.oregon.gov/ODOT/HWY/BRIDGE/docs/BDDM/apr-
2011_finals/section_2-2004_apr2011.pdf
(For Traffic Signal Plans) ODOT Signal Design Manual (pages 3 and 108):
http://www.oregon.gov/ODOT/HWY/TRAFFIC-ROADWAY/docs/pdf/Signal_Design_Manual.pdf
(For Signs) ODOT Traffic Sign Design Manual (page 51)
http://www.oregon.gov/ODOT/HWY/TRAFFIC-ROADWAY/docs/pdf/Design_Manual.pdf
(For illumination) follow the same file naming conventions as Signals and Signs, except use “IL”
extension: key number + TR + IL1. Example: “10104TR.IL1” would be the file name for key number
10104.)
The following clarifications or exceptions or both to the above reference documents apply to Consultant-
prepared as-constructed plans:
For all bridge and traffic plans, Consultant shall prepare as-constructed Mylars.
As-constructed plans must be reviewed and approved by the POR prior to submittal to ODOT.
The submittal and distribution requirements are specified in the “Deliverables” section of this task.
Following submittal to ODOT, the APM will coordinate any needed reviews by the ODOT Tech
Center for projects on or connected to ODOT facilities.
[>Delete individual sections below for Bridge, Roadway, or Traffic if they not applicable to the
project.
>Add formats (such as paper or Mylar, etc.) if required by LPA. Otherwise, LPA can get copy of PDF from FTP
site linked below.]]
Roadway Plans – If roadway plans are applicable to this Project, Consultant shall submit stamped and
signed as-constructed plans as follows:
1. A single electronic PDF file that includes all roadway plan sheets showing red-line as-constructed
markups -
Use file naming convention as shown in Contract Plans Development Guide, Vol 1.
In the “AsConstructedPlans” folder on the ODOT FTP directory (available at the following link):
ftp://ftp.odot.state.or.us/AsConstructedPlans/ create a subfolder under the “Roadway” folder
using the ODOT key number for the subfolder name. Place the PDF file in the key number folder.
Send email notification to APM, LAPM (if applicable) and to mapsandplans@odot.state.or.us
after placing files on FTP site (include link to applicable FTP subfolder in email).
Traffic Plans - If traffic signal, traffic sign, or illumination plans (collectively “Traffic Plans”) are
applicable to the Project, Consultant shall submit stamped and signed as-constructed plans as follows:
1. Electronic PDF file output that shows all red-line as-constructed markups (also submit MicroStation
file if project is on or connected to an ODOT facility) -
Use file naming convention as shown in the applicable manuals referenced above.
In the “AsConstructedPlans” folder on the ODOT FTP directory (available at the following link):
ftp://ftp.odot.state.or.us/AsConstructedPlans/ , create a subfolder under the “Traffic” folder and
use the ODOT key number for the subfolder name. Place the MicroStation file (if applicable) and
PDF file(s) in the in the key number folder.
Send email notification to APM, LAPM (if applicable) and to TEOS.info@odot.state.or.us after
placing files on FTP site (include link to applicable FTP subfolder in email).
2. 11 inch x 17 inch Mylar plan sheets (only required if on or connected to an ODOT facility) showing
hand drafted as-constructed markups -
Submit 1 set to ODOT Traffic Section (4040 Fairview Industrial Dr SE, Salem OR 97302).
ODOT Bridge Section has implemented the Load and Resistance Factor Rating (LRFR) method, based on
the 2011 AASHTO Manual for Bridge Evaluation (MBE). ODOT refers to this method as the Tier-2 Load
The Tier-1 Load Rating Manual and all resources and templates that must be used for Tier-1 load rating
procedures, as described in the Tier-1 Load Rating Manual are available on line at the following link:
ftp://ftp.odot.state.or.us/Bridge/LoadRating/Tier-1.
Consultant shall base load rating on the final construction contract plans and modified to reflect as-
constructed conditions. Consultant shall develop load rating reports for the bridge completed for the Project
based on the ODOT load rating format.
Deliverables:
Submit within 30 calendar days after Second Notification -
PE Stamped load rating calculation book with CD containing all electronic files to Agency. The submittal
must conform to the requirements detailed in the “Deliverables” section of the Tier 1 Load Rating Manual.
For local agency owned bridges, provide a second copy of the bound and PE stamped load rating
calculation book and CD delivered to the LPA.
The ODOT LRFR Manual and all resources and templates that must be used for Tier 2 load rating
procedures, as described in the ODOT LRFR Manual, are available on line at the following link:
ftp://ftp.odot.state.or.us/Bridge/LoadRating/Tier-2.
Consultant shall base load rating on the final construction contract plans and modified to reflect as-
constructed conditions. Consultant shall develop load rating reports for the bridge completed for the Project
based on the ODOT load rating format.
Deliverables:
Submit within 30 calendar days after Second Notification -
PE Stamped load rating calculation book with CD containing all electronic files to Agency. The submittal
must conform to the requirements detailed in the “Deliverables” section of the Tier 2 Load Rating Manual.
CA/CEI SOW Template – 9/19/12 27
For local agency owned bridges, provide a second copy of the bound and PE stamped load rating
calculation book and CD delivered to the LPA.
Consultant shall organize and submit the final Project quality, quantity and labor compliance documentation
as detailed in the ODOT Construction Manual, Chapter 37 – Submittal of Final Project Documentation.
Consultant shall review documentation with Agency’s assigned RAS and OCR Field Coordinator prior to
submitting to Agency.
After Second Notification is issued, the RAS and Consultant shall jointly make a final review of all Project
quality and quantity documentation and mutually agree that all contractual requirements have been met and
recommend acceptance. Consultant shall request a final review and acceptance of the final Labor
Compliance documentation from the OCR Field Coordinator. Consultant shall submit all quality, quantity
and labor compliance documentation to the RAS who will forward to the ODOT Construction Section,
Contract Administration Unit for review, final acceptance and archiving.
Consultant shall complete any quality, quantity and labor compliance documentation associated with plant
establishment work completed after the final Project documentation has been submitted to the RAS and
OCR Field Coordinator for review and/or acceptance within 14 calendar days after the plant establishment
work has been completed.
Deliverables:
All final Project quality, quantity and labor compliance documentation, excluding documentation related
to plant establishment work – Original documents must be submitted to Agency’s RAS within 60
calendar days after Second Notification.
All Project quality, quantity and labor compliance documentation related to plant establishment work –
Original documents must be submitted to Agency’s RAS within 14 calendar days after plant
establishment work.
The Project is scheduled for a _____ bid opening for the CC. It is anticipated that the CC will receive NTP
no later than _____. Agency shall issue the CC Notice of Award and NTP in accordance with the Section
00130 of the Standard Specifications.
All construction work, with the exception of plant establishment work is assumed to be completed by
_______.
The plant establishment period is assumed to be a 1–year period.
All work for this SOW is to be completed within 14 calendar days of Consultant issuing Third
Notification to the CC.
Construction Contract Completion Date as specified in Section 00180.50 of the construction contract is
________.
Third notification to the CC is assumed to be issued on or before __________.
[Deliverables Schedule Summary form. The MS Word file attached below is provided as a contract
administration tool only and is not incorporated in the contract as a list of deliverables and schedule
applicable to this SOW. The deliverables and schedule included with each task in section E shall apply to
this SOW. Save the form electronically or print for use, but delete it from the contract before executing.]
Deliverable-Table
CA-CEI Phase
F. CONTINGENCY TASKS
[Contingency Task Instructions: Projects may have work that can reasonably be anticipated but may or
may not be needed, depending on conditions that arise or change during a project period. This condition
dependent work is considered to be contingency work and must be planned for in the SOW and budget.
Any contingency tasks or deliverables in the SOW must be within the scope of Services of the Request for
Proposal (RFP). In the SOW, clearly label each contingency item as “Contingency” and include a defined
task, deliverable(s) and a schedule (normally listed as a number of calendar days from NTP for the
contingency task). Also enter a summary of the contingency tasks in Table 2 below.
If no Contingency Tasks, delete text and table below and mark Section F as “Reserved”.
Table 3 is a summary of contingency tasks that Agency, at its discretion, may authorize Consultant to
produce. Details of the contingency tasks and associated deliverables are stated in the task section of this
SOW. Consultant shall complete only the specific contingency task(s) identified and authorized via written
(email acceptable) NTP issued by Agency's APM. If requested by Agency, Consultant shall submit a
detailed cost estimate within the Not to Exceed (NTE) amount in Table 3 for the agreed-to contingency
Services within the scope of the contingency task.
If Agency chooses to authorize some or all of these tasks, Consultant shall complete the authorized tasks and
deliverables per the schedule identified for each task. The NTP will include the contingency task name and
number, due date for completion, and agreed-to NTE for the authorized contingency task.
Each contingency task is only billable (up to the NTE amount identified for the task) if specifically
authorized per NTP. In the table below, the “NTE for Each” amount for a contingency task includes all
labor, overhead, profit, and expenses for the task. The funds budgeted for contingency tasks may not be
applied to non-contingency tasks without an amendment to the WOC. The total amount for all contingency
tasks authorized shall not exceed the maximum identified in the table below. Each authorized contingency
task must be billed as a separate line item on Consultant’s invoice.
Table 2--Contingency Task Summary (Revise to reflect contingency tasks identified in the SOW)
CONTINGENCY TASK DESCRIPTION (UNIT) MAX METHOD CONTINGENCY
NTE QUAN. OF NTE AMOUNT
COMP.
Task 2.2 Cooperative Arrangement $ 1 __ $
(“Partnering”)
Task 2.9 Design Modifications
Task 2.10 Claims Support $ 1 __ $
ATTACHMENT A
ACRONYMS & DEFINITIONS
AASHTO American Association of State Highway and Transportation Officials
Acceptance In this WOC, “Acceptance” or “Accept” means that Agency has reviewed the
deliverable(s) submitted by Consultant and finds the deliverable(s) submitted in
reasonable compliance with WOC requirements. Agency Acceptance does not release
Consultant from liabilities due to any Errors or Omissions with respect to Consultant's
services and/or deliverables.
Agency/ODOT Oregon Department of Transportation
APM Agency’s Project Manager
CA Contract Administrator
CA/CEI Contract Administration/Construction Engineering and Inspection
CAgT Certified Aggregate Technician
CAT I Certified Asphalt Technician I
CAT II Certified Asphalt Technician II
CBCI Certified Bridge Construction Inspector
CC Construction Contractor
CCO Contract Change Order
CCT Concrete Control Technician
CE Construction Engineering
CEBT Certified Embankment and Base Technician
CECI Certified Environmental Construction Inspector
CDSI Certified Drilled Shaft Inspector
CDT Certified Density Technician
CGI Certified General Inspector
Change Order Contract Change Orders (CCO), Extra Work Orders (EWO) and State Force Orders
(SFO)
CMDT Certified Mix Design Technician
CPS ODOT Contract Payment System
CSTT Concrete Strength Testing Technician
CTSI Certified Traffic Signal Inspector
CUF Commercially Useful Function
DBE Disadvantaged Business Enterprises
DRR Documentation Review Report
EEO Equal Employment Opportunity
EWO Extra Work Order
FHWA Federal Highway Administration
FIR Field Inspection Report
HMAC Certified Hot Mixed Asphalt Concrete Inspector
Contingency Task Costs. Amounts for any contingency tasks must be shown as a separate line-item for each
task. The amount for a contingency task must include all labor, overhead, profit, and expenses for the task.
Expenses for contingency tasks must not be included in an overall amount for direct non-labor expenses applied
to the budget for the non-contingency tasks. Enter the agreed to unit and extended amounts for contingency tasks
in the Contingency Task Summary table.
When emailing for fax signatures, the BOC is not required to be pasted into the WOC and may be sent in the
email as a separate attachment (per option 1 below).
Breakdown of Costs – is a breakdown of the cost of the Work Order and must include
the Consultant and any subconsultants that might be used on the project. There are
instructions included in the master spreadsheet for completing this document.
Profit (Fee) Worksheet – this provides the justification for the profit amount assigned to
the Contract. There are guidance and instructions included within the spreadsheet to
assist with completion.
All of these forms must be completed prior to and included with the request when submitted to
OPO for the WOC assignment.
REQUIRED INFORMATION
Project Manager/Requestor: Person’s name that will manage Contract Administrator: Alan Lively
the consultant Telephone: 503-986-0295
Branch/Section/Unit: As appropriate Email: alan.d.lively@odot.state.or.us
Telephone: As appropriate
Email: As appropriate
Project Explanation/Purpose:Provide a brief description of the work being done under the WOC.
ADDITIONAL INFORMATION – Please complete as much of the below information as possible. The more information provided, the more efficiently
Procurement can process your request.
NEEDED PROCUREMENT DOCUMENTS/PROCESSES (As Applicable) – for a description of each of these documents or process please click on the
title. The assigned Procurement Specialist will work with the requester to identify which of the below will apply to the request.
RFP Requests PA/Contract/WOC Requests
Project Overview Project Overview
Evaluation Criteria Insurance Requirements
RFP Exhibits Statement of Work or Menu of Services
Insurance Requirements IRR/Business Case Study Approval (IT Only, if applicable)
Statement of Work or Menu of Services Internal Estimate
IRR/Business Case Study Approval (IT Only, if applicable) Pre-negotiation Plan (PNP)
SEIU Feasibility Study and Union Notification (if applicable) Record of Negotiation (RoN)
Legislative Involvement Explanation Direct Appointment Justification
(OAR 731-146-0020(3))(if applicable) (A & E - 137-048-0200) (if applicable)
Historical Work Done by Agency Justification Sole Source Justification (ORS 279B.075) (if applicable)
(OAR 731-146-0020(2)) (if applicable)
Feasibility Study and Cost Analysis Approval Amendments
(ORS 279B.030-279B.036)(A & E/Related Services Not Required) Statement of Work or Menu of Services (if applicable)
Information System Dev. Standards, Encryption Standards, Internal Estimate
Information Asset Handling Req. (if applicable) Pre-negotiation Plan (PNP)
Record of Negotiation (RoN) (if applicable)
Jun 2012
Appendix D Page 90 of 143
Updated April 2013
Go to BOC 12. Multipliers for Escalated Billing Rates
9. Enter Date of Final 11. Multipliers for NBR 16. Total Profit 17. Total Cost + Profit
10. Multipliers for Escalation Obtain current Overhead and FCCM rates from
For Primes or subconsultants using The total estimated profit can be The total estimated cost + profit is the
1. Contract Numbers and Project Name BOC If current phase of contract covers multiple years, ODOT Procurement Office. Overhead and FCCM
Negotiated Billing Rates, enter zero for used as the basis for negotiating basis for the contract's Not To Exceed
Info comes from Project Specific Contract or Work After negotiations are enter the estimated percentage of work to be rates are specific to the Prime or sub.
ALL the multipliers. the fee on Cost Plus Fixed Fee amount for Time & Materials contracts
Order Contract. complete, enter date of completed for each year.
final agreed to BOC. 13. Profit for Escalated Billing Rates contracts. and Fixed Fee contracts.
2. Job Classifications ODOT negotiates profit rate with the Prime
Job classifications come from Consultant's currently Consultant. The same profit rate is applied to Prime
approved Escalated Salary Rate Schedule or and all subconsultants under the contract. Additional information regarding BOC is available at the link below:
Negotiated Billing Rate schedule. Breakdown of Costs - Dated: [enter date of final] MULTIPLIERS 14. Direct Expenses
PA/ATA or Contract Num: ##### % of budget in Current Year (CY) 20.00% Accepted Overhead 150.00%
WOC Num: ## % of budget in CY+1 60.00% FCCM 0.30%
Enter total estimate of direct expenses for each task BOC Requirements
3. Direct Salary Rate for Current Year PROJECT NAME: [Enter Project Name] % of budget in CY+2 20.00% Negotiated Profit 9.00% or subtask. Show detailed breakdown of direct
Direct rates must not exceed the maximum direct % of budget in CY+3 0.00% Annual Escalation Rate 4.50% expenses on separate worksheet.
rates on Consultant's approved Escalated Salary Cell Color Legend Weighted Escalation Factor 1.045
Rate Schedule. If Consultant uses Negotiated Yellow cells are for data entry
Billing rates, enter zero. 15. Certification
Green cells have formulas
[Enter Prime Consultant's Name] Click the cell for drop-down lists
Certification: Not Certified Project Summary
(no data entry unless specified)
4. Annualized Direct Salary Rate DATA ENTRY SECTION to select appropriate certification CALCULATION SECTION GRAND TOTAL CALCULATION SECTION
Calculates the direct salary rates with escalation for Grey cells are section dividers status.
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
(no data entry unless specified)
multi-year contracts. If Consultant uses Negotiated
Contingency Labor
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
Escalated Direct
Escalated Direct
Direct Expenses
Direct Expenses
Billing Rates, manually enter the negotiated billing
Labor or NBR $
Labor or NBR $
% of Total Non-
Job Classifications
Cost + Profit
rate instead. (Individuals' names are optional)
Total Cost
Total Cost
Overhead
Overhead
Hours
Hours
FCCM
FCCM
Costs
5. Task Numbers and Names
Profit
Profit
Info comes from the negotiated Statement of Work. Direct Salary Rate (Avg, Actual, Max) Current Year $100.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00
Annualized Direct Salary Rate (OR enter Negotiated Billing Rate) $104.54 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00
150.00% 0.30% 9.00%
Task # Fully Burdened Billing Rate $285.19 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00
NON-CONTINGENCY TASKS/DELIVERABLES
6. Level of Effort 1 TASK 1 NAME 40 0 0 0 0 0 0 0 0 0 40 $ 4,182 $ 6,272 $ 13 $ 100 $ 10,567 $ 941 0 0 40 $ 4,182 $ 6,272 $ 13 $ 100 $ 10,567 $ 941 $ 11,507 100.0%
Hours/Task
Enter estimated number of labor hours for each Job 1.1 Subtask name 10 10 $ 1,045 $ 1,568 $ 3 $ 100 $ 2,717 $ 235 10 $ 1,045 $ 1,568 $ 3 $ 100 $ 2,717 $ 235 $ 2,952 25.0%
Classification for each subtask (yellow cells). The 1.2 Subtask name 10 10 $ 1,045 $ 1,568 $ 3 $ 2,617 $ 235 10 $ 1,045 $ 1,568 $ 3 $ - $ 2,617 $ 235 $ 2,852 25.0%
task totals will calculate automatically (green cells). 1.3 Subtask name 10 10 $ 1,045 $ 1,568 $ 3 $ 2,617 $ 235 10 $ 1,045 $ 1,568 $ 3 $ - $ 2,617 $ 235 $ 2,852 25.0%
1.4 Subtask name 10 10 $ 1,045 $ 1,568 $ 3 $ 2,617 $ 235 10 $ 1,045 $ 1,568 $ 3 $ - $ 2,617 $ 235 $ 2,852 25.0%
2 TASK 2 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
7. Contingency Tasks/Deliverables 2.1 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
Estimated costs for Contingency Tasks must be 2.2 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
separate from estimated costs for 2.3 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
Non-contingency tasks (also called Required
2.4 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
T k ) TOTAL Non-Contingency 40 0 0 0 0 0 0 0 0 0 40 $ 4,182 $ 6,272 $ 13 $ 100 $ 10,567 $ 941 40 $ 4,182 $ 6,272 $ 13 $ 100 $ 10,567 $ 941 $ 11,507
CONTINGENCY TASKS/DELIVERABLES
8. Deleting rows and columns on spreadsheet
C1 CONTIGENCY TASK NAME 1 100 0 0 0 0 0 0 0 0 0 100 $ 10,454 $ 15,681 $ 31 $ 100 $ 26,266 $ 2,352 $ 100 $ 10,454 $ 15,681 $ 31 $ 100 $ 26,266 $ 2,352 $ 28,619
Recommend hiding rows and columns that are not
Hours/Task
needed instead of deleting. If deleting C1.1 Subtask name 100 100 $ 10,454 $ 15,681 $ 31 $ 100 $ 26,266 $ 2,352 $ 100 $ 10,454 $ 15,681 $ 31 $ 100 $ 26,266 $ 2,352 $ 28,619
TOTAL Non-Contingency + Contingency $ 140 $ - $ - $ - $ - $ - $ - $ - $ - $ - $ 140 $ 14,636 $ 21,954 $ 44 $ 200 $ 36,833 $ 3,293 $ 140 $ 14,636 $ 21,954 $ 44 $ 200 $ 36,833 $ 3,293 $ 40,126
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
Job Classification
(no data entry unless specified)
Contingency Labor
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
(Individual )
Escalated Direct
Escalated Direct
Escalated Direct
Escalated Direct
Direct Expenses
Direct Expenses
Direct Expenses
Direct Expenses
Labor or NBR $
Labor or NBR $
Labor or NBR $
Labor or NBR $
% of Total Non-
Job Classifications
Cost + Profit
(Individuals' names are optional)
Total Cost
Total Cost
Total Cost
Total Cost
Overhead
Overhead
Overhead
Overhead
Hours
Hours
Hours
Hours
FCCM
FCCM
FCCM
FCCM
Costs
Profit
Profit
Profit
Profit
Direct Salary Rate (Avg, Actual, Max) Current Year $50.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00
Annualized Direct Salary Rate (OR enter Negotiated Billing Rate) $52.97 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00
125.00% 0.30% 8.00% 0.00% 0.00% 0.00% 0.00% 0.00% 0.00%
Task # Fully Burdened Billing Rate $128.87 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 $0.00
NON-CONTINGENCY TASKS/DELIVERABLES
1 TASK 1 NAME 20 0 0 0 0 0 0 0 0 0 20 $ 1,059 $ 1,324 $ 3 $ - $ 2,387 $ 191 0 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 20 $ 1,059 $ 1,324 $ 3 $ - $ 2,387 $ 191 $ 2,577 100.0%
Hours/Task
1.1 Subtask name 10 10 $ 530 $ 662 $ 2 $ 1,193 $ 95 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 10 $ 530 $ 662 $ 2 $ - $ 1,193 $ 95 $ 1,289 50.0%
1.2 Subtask name 10 10 $ 530 $ 662 $ 2 $ 1,193 $ 95 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 10 $ 530 $ 662 $ 2 $ - $ 1,193 $ 95 $ 1,289 50.0%
1.3 Subtask name 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
1.4 Subtask name 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
2 TASK 2 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
2.1 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
2.2 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
2.3 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
2.4 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
3 TASK 3 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
4 TASK 4 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
5 TASK 5 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
6 TASK 6 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
7 TASK 7 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
8 TASK 8 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
9 TASK 9 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
10 TASK 10 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
11 TASK 11 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
12 TASK 12 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
13 TASK 13 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
14 TASK 14 NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
15 TASK NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
16 TASK NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
17 TASK NAME 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 $ - $ - $ - $ - $ - $ - $ - 0.0%
TOTAL Non-Contingency 20 0 0 0 0 0 0 0 0 0 20 $ 1,059 $ 1,324 $ 3 $ - $ 2,387 $ 191 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 20 $ 1,059 $ 1,324 $ 3 $ - $ 2,387 $ 191 $ 2,577
CONTINGENCY TASKS/DELIVERABLES
C1 CONTIGENCY TASK NAME 1 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - 0 0 0 0 0 0 0 0 0 0 0 $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ -
Hours/Task
TOTAL Non-Contingency + Contingency $ 20 $ - $ - $ - $ - $ - $ - $ - $ - $ - $ 20 $ 1,059 $ 1,324 $ 3 $ - $ 2,387 $ 191 $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ - $ 20 $ 1,059 $ 1,324 $ 3 $ - $ 2,387 $ 191 $ 2,577
1 [Task Name] $ -
2 [Task Name] $ -
3 [Task Name] $ -
4 [Task Name] $ -
TOTAL Non-Contingency
CONTINGENCY TASKS/DELIVERABLES Include enough detail for the reader to understand how the estimate was
determined.
C.1 [Contingency Task Name] $ -
TOTAL Contingency
10/26/2012 11:25 AM
Appendix D Page 98 of 143
Updated April 2013
PROFIT (FEE) WORKSHEET
Justification:
Justification:
Justification:
Justification:
Justification:
$500,001 -
Considerations: >$1,000,001 $1,000,000 $250,001 - $500,000 $100,001 - $250,000 < $100,000
734-2760 (4/09)
PROFIT FACTORS and SCORING GUIDANCE
1. Complexity
Analysis of this profit factor shall consider both the technical and managerial complexity. Higher values are normally
assigned to projects with multiple technical elements requiring highly-skilled technical staff with difficult sequencing or
interfacing. Very complex projects entail many tasks that may need to be performed simultaneously or in a carefully
sequenced manner, or that when completed, must interface in a specified physical, technical, and/or political dimension.
However, the profit rating assigned must also consider the relative complexity of the project type versus the range of project
types ODOT outsources. The following categorization of project types is intended for guidance on scoring of typical projects
in each category. The value assigned to a given project may be higher or lower if justified based on the specifics and/or
unique complexities of the project.
Low: Basic, single-discipline projects that can be performed by junior or entry-level staff without sequencing or
interfacing concerns. Typically this category includes, but is not limited to projects such as: surveys, routine
drafting, preparation of as-built drawings, resurfacing.
Low – Average: Basic projects involving a small number (1-3) of technical disciplines that can be performed by a
combination of junior and mid-level professionals with very little senior-level oversight, or sequencing or
interfacing concerns. Typically this category might include projects such as: minor bridges; basic roadway projects,
overlay projects that include minor grade, alignment, or sidewalk changes/designs, rural projects, small urban
projects; CEI work and/or construction contract administration for low to average complexity projects, materials
testing, or other design work of similar complexity; basic **planning/permitting projects {this includes
Transportation Growth Management (TGM)}, unless there are significant political issues/challenges or other
unusual complexities involved with the consultant work. Low to average complexity preliminary engineering
activities such as geotechnical studies, environmental studies – minor EA projects, HazMat, archaeology, cultural
historic, noise, air, biology, etc., should be rated as low to low-average.
Average: Projects of moderate complexity, typically involving multiple technical disciplines. Such projects
typically require a range of technical proficiency and range of job grades to efficiently complete, with any junior-
level staff involvement being balanced (in cost, not hours) with senior staff involvement. These projects may also
have moderate sequencing and interfacing challenges. Typically this category includes, but is not limited to projects
such as: design work for medium complexity freeway interchanges, freeways, rehabilitation or reconstruction
projects, medium complexity/size bridges; typical EA projects, **EIS studies that do not include significant
political issues, CEI work and/or construction contract administration for above average to high complexity
projects, rural projects requiring critical review/coordination* with other agencies; planning/permitting projects
{this includes Transportation Growth Management (TGM)} with significant political issues/challenges or other
unusual complexities involved with the consultant work.
Above Average: Projects that require a disproportionately high involvement of mid- and senior-level staff to
efficiently and successfully complete. These projects typically have moderate to significant sequencing or
interfacing challenges that must be overcome. Typically this category includes, but is not limited to projects such
as: design work for major bridges, major urban freeways, major interchanges; major EA projects; EIS studies that
include significant political issues or *extensive coordination with other agencies; major engineering studies
requiring special expertise; medium complexity design projects with critical review/coordination* with other
agencies; planning/permitting projects {this includes Transportation Growth Management (TGM)} with critical
political issues/challenges or other extraordinary complexities involved with the consultant work.
High: Projects with a high complexity requiring a disproportionately high amount of senior- or principal-level
involvement. Projects with high complexity typically involve coordination of multiple technical disciplines, and/or
many tasks that may need to be performed simultaneously or in a carefully sequenced manner, or that when
completed, must interface in a specified physical, technical, and/or political dimension. Typically this category
includes, but is not limited to projects such as: design work for multi-level interchanges, complex major bridges,
toll roads; complex design projects involving critical environmental issues (significant hazardous waste, highly
controversial, etc.); Above average or high complexity design projects that include critical interface with other
agencies by consultant for review/coordination*.
*Extensive involvement by Federally recognized Indian Tribes, local governments, US Forest Service, railroad, FAA, or
other entities that are not a party to the contract.
**Environmental and planning services are complex but, based on the relative complexity and risk profile to other types of
work (such as major bridge or interchange design), they are not typically “High” complexity for purposes of the profit
worksheet.
2. Delivery Schedule (in relationship to scope / difficulty of work)
The difficulty/complexity of the work needs to be considered when assessing the delivery schedule factor. The complexity
itself is rated under a separate profit factor, but that complexity needs to be considered when assessing whether the delivery
schedule is expedited or normal.
Low: Project has relaxed schedule with no extraordinary scheduling of personnel required;
Low-Average: No or very few critical short term deadlines or requirements for large staffing concentrations;
10/26/2012 Page 2 of 8
worksheet.
2. Delivery Schedule (in relationship to scope / difficulty of work)
The difficulty/complexity of the work needs to be considered when assessing the delivery schedule factor. The complexity
itself is rated under a separate profit factor, but that complexity needs to be considered when assessing whether the delivery
schedule is expedited or normal.
Low: Project has relaxed schedule with no extraordinary scheduling of personnel required;
Low-Average: No or very few critical short-term deadlines or requirements for large staffing concentrations;
Average: Reasonable schedule for most of the project. May include moderately tight schedule for some
tasks/deliverables if balanced by relaxed schedules for other tasks/deliverables;
Above Average: Schedule requirements are somewhat tight but are manageable without requiring large commitment of
staff;
High: Most project tasks/deliverables and/or critical path items must be expedited with tight schedules requiring large
commitment of staff.
3. Cost Risk
This factor assesses the degree of risk in completing the work within the negotiated fixed-price or not-to-exceed amount of
the contract. Cost risk is the risk that a Consultant’s actual costs to complete a project will be greater than the anticipated
costs in the approved project budget. This factor should compensate consultants proportionately for assuming greater cost
risks. Higher cost risks are included in projects where there is a high potential that the budget may be inadequate due to
unforeseen or unknowable project influences at the time the SOW and budget were developed, or unforeseen and unavoidable
consequences of work elements after they are initiated. If project scoping or the statement of work are inadequate, work items
may be overlooked or underestimated. Sometimes certain project elements may need to be reworked because other project
elements were not fully known at the time the original work was being done.
If additional tasks are determined to be necessary after the contract is executed, an amendment is negotiated to add the new
tasks along with additional compensation. So potential for adding tasks via amendment does not in itself add to cost risk to
the consultant. Typically, the consultant assumes the greatest cost risk in a closely priced contract under which it agrees to
perform a complex undertaking on time within the NTE or fixed-price amount of the contract (normally, additional
compensation via amendment is only appropriate for additional services/deliverables). Some contracts may entail
substantially less cost risk than others because, for example, the project scope and statement of work are clearly defined or the
contract has an ample budget, in which case the risk factor should be reduced accordingly.
If subconsultants are used for significant elements of the project, this profit factor may include consideration of the skill level
and experience of the subconsultant firm(s) in performing work for ODOT. Subconsultant firms with limited or no experience
on ODOT projects may pose potential cost risks to the Prime.
Low: Project is routine with a well defined scope of work. The hours and expenses budgeted in the contract provide
very little chance of cost risk to consultant.
Low-Average: Project is mostly routine, has some minor uncertainties but is generally well defined and budgeted
with little chance of cost risk to consultant.
Average: Project has some unknowns but contract is sufficiently budgeted (and contract has contingency tasks, if
appropriate).
Above Average (score is based on assessment of the following):
o The budget is in line with Agency’s estimate but there are several unknowns which can’t reasonably be
mitigated with inclusion of contingency tasks; or
o Amount negotiated for level-of-effort/costs (including potential contingency tasks, if any) is 5 to 10 percent
less than Agency’s internal estimate.
High (score is based on assessment of the following):
o The budget is in line with Agency’s estimate but there are significant unknowns which can’t reasonably be
mitigated with inclusion of contingency tasks; or
o Amount negotiated for level-of-effort/costs (including potential contingency tasks, if any) is more than 10
percent less than Agency’s internal estimate;
10/26/2012 Page 3 of 8
g g y ;
o Amount negotiated for level-of-effort/costs (including potential contingency tasks, if any) is more than 10
percent less than Agency’s internal estimate;
4. Assistance/Oversight Required by ODOT
Under this factor, the Consultant may be provided additional profit opportunities in recognition of independent development
efforts (i.e., without ODOT assistance) relevant to the contract deliverables. When assessing the level of ODOT
involvement/guidance needed, consider the skill set and level of experience of the Consultant’s PM and technical staff as well
as any significant subcontracted elements. Also consider the skills and experience of the assigned ODOT PM versus the skills
and experience needed to effectively provide the involvement/guidance that may be needed. The amount of existing designs
or plans, mapping, quantities, surveys, geotechnical information, etc. (Technical Data) provided by ODOT is also considered
for this factor. If surveys, geotechnical, or other studies have already been completed for a project (by ODOT or other
consultant's) and can be relied upon by the Consultant, then those previously completed studies would not be redone (unless it
is demonstrated they are flawed). This diminishes the independent development element of the project (this diminishes the
consultant’s risk).
Higher values are normally assigned to projects when the consultant has the requisite experience and team capabilities to
handle all aspects of the project with little guidance or involvement required from the ODOT PM. The consultant’s
performance (regarding need for guidance and involvement by ODOT) on prior projects should be considered if available.
Higher values may be assigned when a project is complex and the assigned ODOT PM has limited ODOT experience in the
required role (since this increases the consultant’s risk). Lower values are normally assigned to those projects where
previously completed elements of the project (Technical Data) are provided or when an experienced ODOT PM and extensive
support from ODOT is deemed essential, and is available, for the successful completion of the project.
Extensive: Extensive involvement, guidance or input/review are needed and will be provided by ODOT and/or a
significant amount of previously completed Technical Data is provided to consultant.
Above Average: Significant involvement (more than typical), guidance or input is needed and will be provided by ODOT
and/or a significant amount of previously completed Technical Data is provided to consultant;
Average: Moderate amount of involvement, guidance or input is needed and will be provided by ODOT and/or some
previously completed Technical Data is provided to consultant;
Below Average: Relatively little involvement, guidance, Technical Data, or input provided by ODOT.
Minimal: Very little or no involvement, guidance, Technical Data or input provided by ODOT.
5. Subcontracting
Subcontracting introduces more risks and has the potential of increasing the costs for the prime Consultant. Since the prime
Consultant has the direct contracting relationship with ODOT, any subconsultant errors or omissions, or any faulty,
deficient, or late work products are problems that must be covered by the prime Consultant.
Assignment of point values on worksheet should be based on the amount of subcontracting needed for the project, where the
sub is performing a commercially useful function and contributing technically to the development of deliverables. This
includes subcontracting to meet any assigned DBE or MWESB goals. A higher value may be assigned when ODOT requests
use of inexperienced firms to meet Agency goals. For example, if one subconsultant is used under the contract and ODOT
requests use of an inexperienced firm, a Moderate score may be assigned rather than Minimal.
6. Cost of Services
This factor assigns a higher profit rating to smaller contracts and lower profit to larger contracts. This is based on the
economies of scale concept, which is applied throughout commerce (including at other DOTs). “Points Assigned” are based
on the estimated total dollar amount for direct and indirect costs of the consultant services (including subconsultant services).
This includes amount for amendments that are expected to occur for phased development projects, such as PS&E and CE
phases following DAP phase. However, if any uncertainty exists, the additional phase(s) should be omitted from the Cost of
Services value. (e.g., if ODOT may complete the construction contract administration with Agency staff or another
consultant).
When calculating the amount of the contract for this profit factor, do not include in the total:
direct non-labor expenses for known tasks, contingency tasks or future amendments;
labor costs associated with contingency tasks (exceptions may be appropriate for some contracts; i.e., if major
portions of the work will be authorized by contingency because of timing or cost issues rather than uncertainty of
whether the work is needed).
costs for amendments if there is any uncertainty about implementation .
See Instructions and Limitations tab for additional information regarding contract amendments and contingency tasks
10/26/2012 Page 4 of 8
See Instructions and Limitations tab for additional information regarding contract amendments and contingency tasks.
10/26/2012 Page 5 of 8
Profit-Fee Analysis and Instructions
Overview of Profit/Fee Analysis
Profit/fee analysis is an element of cost analysis. Cost analysis is required for A&E contracts, sole source
contracts, and any other contracts awarded on a basis other than low bid. Profit/fee plays a vital role as a
stimulant for efficient contract performance and as a reward for risks assumed by the consultant. Profit or
fee is the total dollar amount paid to a consultant for performance over and above allowable costs
(Federal Acquisition Institute’s Cost Analysis Guide). ODOT recognizes that a reasonable margin of
profit is necessary to sustain a viable consultant industry that is adequately staffed and trained to respond
to the Agency’s project delivery needs.
The profit/fee, which is negotiated for a contract, does not typically represent net profit to the consultant.
The profit/fee represents the operating margin which is intended to compensate the consultant for those
normal business expenses which are excluded from allowable overhead by Federal Regulation (e.g.,
interest, advertising, bad debts, unrecovered direct costs, etc.) as well as provide the consultant with a
reasonable profit. Profit/fee as a fixed fee (i.e., cost plus fixed-fee contract) or if included in a fixed-price
contract provides incentives to the Consultant for efficient contract performance. A firm’s actual margin
of profit for an individual project or contract may be higher than the negotiated profit if the firm
completes a fixed-price or cost plus fixed-fee contract at a cost that is lower than estimated. Conversely, a
firm’s profit margin may be lower (or even negative) if their costs exceed estimated costs and they are
unable to justify an amendment. Per the FAR, Time and Materials or Labor Hour contracts should only be
used if no other method of compensation is suitable.
Profit/fee analysis (using the Profit/Fee Worksheet and assessing the specifics of a given project) provides
a means of ascertaining what ODOT believes a reasonable and adequate profit/fee should be, and it also
provides a framework for discussing profit during negotiations. Profit/fee analysis does not necessarily
produce the “right” profit/fee. Rather, the appropriate profit/fee is that amount which is agreeable to both
sides as the product of negotiation and within any statutory limitations or ODOT guidance.
The Profit/Fee Worksheet is a tool for developing ODOT’s pre-negotiation position on profit for a given
project. It provides an "objective", not a mandate. Fee is a small amount of total contract price. Keep it in
perspective. The real opportunities for price savings generally result from cost, not profit/fee,
negotiations. Lastly, while proposed contract costs and profit/fee may be reasonable for a specific
consultant, this does not guarantee that the proposed price is reasonable, if it is higher than what other
firms with similar qualifications and abilities might charge.
Profit/fee Worksheet Instructions
1. Following review/discussion of the statement of work with the consultant, development of
independent estimates, and completion of cost/price and technical analysis of consultant’s
estimate, use the Profit/Fee Worksheet to develop Agency’s profit/fee objective for the
negotiation.
2. Assess the considerations for each Profit Factor based on the specific project. Review the Profit
Factor Scoring Guidelines to determine points to assign.
3. Select the appropriate profit rating points, and enter that value in the "Points Assigned" column for
each Profit Factor.
4. All factor weighting must total to 100 and, for consistency, the default Standard Weightings (in
the hidden column “I”) will be used.
5. Add a brief rationale for the selected profit rating points in the "Justification” field for profit
factors 1 through 5.
6. Enter the name of the preparer and the date the Profit/Fee Worksheet was completed.
7. Enter the profit/fee objective calculated from the Profit/Fee Worksheet into the Agency’s Pre-
negotiation Plan. A Pre-negotiation Plan should be prepared following the required cost analysis
and prior to entering negotiations with the Consultant.
8. Review consultant’s proposed profit/fee and discuss/explain the Agency’s profit objective with the
consultant to gain an understanding of each other’s position. If there are differences in profit/fee
positions, the profit/fee must be negotiated in good faith (within statutory limits, and within
Agency guidance unless an exception is approved) based on specifics of the project and typical
profit ranges for similar work. Profit or fee is only one of several interrelated variables;
negotiators on behalf of ODOT should not agree on profit/fee without concurrent agreement on
cost and type of contract. ODOT’s objective in negotiating costs and profit/fee is to achieve a total
result -- a price that is fair and reasonable to both ODOT and the consultant. The negotiators
should not be overly preoccupied with any single cost or profit/fee item since agreement on every
item is not required to reach overall agreement on price. If, however, agreement on a total price
(including profit/fee) that ODOT believes is reasonable cannot be reached through good faith
efforts, ORS 279C.110(6) prescribes that ODOT terminate negotiations and enter negotiations
with another firm.
9. Profit percentages greater than 11.5, less than 8.5, or outside of the Profit Limitations or Profit
Guidelines below must be approved by the Area Manager.
10. Following negotiation, enter the outcome of the negotiations, including the final agreed-to
profit/fee in the Record of Negotiations (RON) form. Note that the Profit/Fee Worksheet does not
need to be redone to reflect a higher or lower agreed-to profit (just provide a summary in the RON
of why the final agree-to profit is reasonable and how it was arrived at).
11. Put a copy of the Profit/Fee Worksheet and all other negotiation related documentation in the
Contract Administration file and forward a copy to the Procurement staff processing the
WOC/Contract (prior to execution of the WOC/Contract or amendment).
Profit Limitations
Profit/fee and overhead is not allowed on direct non-labor expenses.
For A&E design services, the total contract price (including all costs and profit/fee) may not
exceed 6 % of the budget for construction of the project – ref FAR 15.404-4 (c)(4)(i)(B). This
applies to design services only and does not include the amount for survey, environmental, or
other preliminary engineering services (i.e., pre-DAP) that may be included in a consultant
contract. (This FAR requirement is not directly applicable to state funded projects, however it
should be used as a benchmark by ODOT.)
Profit Guidelines
When preparing the profit objective and negotiating profit for a particular project, in addition to filling out
the Profit/Fee Worksheet, assess the overall complexity and risk profile of the project versus the broad
spectrum of projects ODOT outsources. For example, planning projects may include complexities and
political issues, but they should not typically warrant an 11% or 12% profit/fee, because these higher
profit/fees should be reserved for the higher complexity, higher-risk projects ODOT does. ODOT does not
require E&O liability insurance for planning projects because there is virtually no risk of a claim; the
overall risk profile is much lower than a very complex bridge or interchange design, which also may
include extraordinary political issues.
Contingency Tasks
Contingency tasks are any tasks that may be needed, but the need cannot be determined until after field
work or preliminary tasks are done. If there is any chance a task may not be needed, it should either be
included as a contingency or left out of the SOW (this is especially important in fixed-price contracts).
Base profit factors on the known tasks rather than on potential contingencies. If a contingency task would
add significant cost or subcontracting to the project, and the consultant challenges the State's negotiation
position on profit, we could offer to split the difference as a negotiation concession. Splitting the
difference would mean entering an 8 if the factor would have been 7 without contingencies and 9 with
contingencies. An option could be to calculate profit for the contract based on known tasks, and calculate
profit separately for the negotiation of the contingency task cost. Another thing to consider is the
likelihood of the need to authorize the contingency item.
Profit/Fee on Amendments
If both ODOT and the consultant agree that a change or modification calls for essentially the same type
and mix of work as the basic contract or is of relatively small dollar value compared to the total contract
value, the previously calculated profit rate for the project may be used as the profit/fee for that change or
modification.
If an amendment adds an entirely new phase or substantially different tasks (such as going from Design
Acceptance Package to final design, or going from final design to construction engineering phase), a
separate profit/fee analysis will be necessary, which includes use of the Profit/Fee Worksheet (and other
supporting information deemed appropriate by ODOT or the consultant) for the added contract work. This
may result in a different profit rate negotiated for the added phase or tasks that would then be invoiced at
the new profit rate, separate from the rate applicable to the original contract. For example, profit would be
negotiated separately for CE phase as the complexities and risk profile of CE phase are not the same as
design phase.
Note: References to FAR/CFR citations should not be construed as ODOT’s formal adoption of federal
regulations, but are provided as examples of federal requirements. On federally funded projects, some
areas of federal law are applicable and take precedence over state laws.
Record of Negotiation Preparation Instructions
1. Overview
All contracts awarded on the basis of anything other than low bid require Cost Analysis and negotiation to
determine fair and reasonable prices. Each negotiated contract and WOC (and amendments, except time-only)
must have a Record of Negotiations (RON) prepared and submitted to the assigned Procurement Specialist for
the contract file. This includes preparation of Agency’s Estimate (prior to receiving Contractor’s estimate), and
Agency’s Pre-negotiation Plan. Internal estimates and documentation of negotiations is required by various state
and federal laws and must be available to auditors reviewing contract files. The RON must identify how
reasonableness of cost was determined and include a justification for the method of compensation selected.
Preparation of a RON is not required for contracts awarded where negotiation did not occur, such as
formal low-bid solicitations for goods or services.
Why is cost analysis required?
Why is an internal estimate and RON required?
There are variations in what may or may not be negotiated depending on the type of procurement.
An appendix with citations from the OARs, the FAR and other federal pricing guides (related to
negotiations, internal estimates, and documentation requirements) is available for review here:
Negotiation Rules and Statutes.
3. Definitions
For the Record of Negotiations and these instructions the following definitions apply:
A&E…………………Architectural, Engineering and Land Surveying Services and Related Services as
defined in Oregon Revised Statutes (ORS) 279C.100
Agency………………Oregon Department of Transportation
APM…………………Agency’s Project Manager
ATA…………………Agreement to Agree
Contractor…………....Contractor means individual, corporation, Consultant as defined in OAR 137-048-
0110, or any other legal or commercial entity that has entered (or proposer that
potentially could enter) a Contract with the Agency.
Cost Analysis……......The review and evaluation of the separate cost elements and profit in an offeror’s or
contractor’s proposal (including cost or pricing data or information other than cost or
6. Summary of Negotiation Process [Go to Section 4 of attached instructions to see example entries]
Date List any meetings and conference calls, specific negotiated items, schedule, classifications,
tasks, etc. and results of the negotiation. For IT contracts, also document negotiations of any
terms, such as product or service warranty, license agreement, maintenance agreement, etc.
(attach meeting minutes any related correspondence)
9. Compensation & Payment Method and Justification: [See Exhibit C of ODOT Negotiations Guide for
information regarding selection of compensation method.]
a. Compensation:
Cost Plus Fixed Fee (CPFF); Fixed Price (FP); *Time & Materials ; Mixed:
b. Payment Method Selected:
Monthly Progress Payments for acceptable and verifiable progress (For CPFF or T&M);
Monthly progress payments for percentage of Services completed (For Fixed Price);
Payment upon Milestone, Deliverable or other Unit completion;
Single Payment for Full Completion of Services.
c. Justification for selecting compensation method(s) used (*if T&M, must include a determination and
finding that no other method is suitable):
10. Source(s) of Funding: OTIA I; OTIA II; OTIA III; State (non-OTIA); FHWA;
Other (specify):
11. DBE participation: Attach copy of “Committed DBE Breakdown” form with agreed upon participants.
(Only applies to federally funded projects with assigned DBE Goal greater than zero.)
12. Negotiations Completed or Terminated Date: .
If Terminated, enter or attach explanation:
14. Submit RON Form along with copies of the following items to the assigned Procurement Specialist
(electronic preferred, or hard copy):
Internal estimate
Contractor’s initial and any revised estimate
Pre-Negotiation Plan and related Cost Analysis
Profit Worksheet
Copies of any supporting documentation such as meeting minutes, email correspondence, etc.
15. Retain Copies of all negotiation related documentation in the contract administration file per OAR 166-
300-0015 and Agency’s file retention schedules.
This document is to provide information to the Consultant about tasks and administrative
documents that have not been completed. Ultimately it is up to the Agency PM to determine
what level of checks needs to occur to ensure that the Consultant has performed the work
outlined in the WOC. It is recommended that the document be prepared quarterly. A good time
to do this would be when the Agency PM Checklist is going to be submitted to the Construction
Section and to the responsible local agency. The Agency PM Checklist should be able to tell
you which tasks/items have not been completed as appropriate.
After the form has been completed, the APM would submit the form electronically to the
Construction PM for review and response. The Construction PM should respond in the
Construction PM Corrective Action section. Once they have completed their section of the form,
they should sign it and return it to the APM. The APM should sign the form and submit a copy to
the ODOT Contract Services email address.
The following provide instructions for completing the form. The numbers correspond to the
numbers on a copy of the form on the following page. There is also an example of a completed
form included for your reference.
4. Enter the Consultant name that is assigned to the project (e.g., OBEC, DEA, etc.).
6. Enter the number of the review. This number should be sequential (1, 2, 3…).
9. The APM would enter any remarks/notes for the Construction PM.
10. The Construction PM would respond here with a note on how they plan on correcting the
issue.
Review Information
Meets Requirements
13 14 15
Agency PM Signature Agency PM Name Date
16 17 18
Construction PM Signature Construction PM Name Date
Review Information
Meets Requirements
Appropriate Agency PM
Agency PM Signature Agency PM Name Date
Appropriate Construction PM
Construction PM Signature Construction PM Name Date
For WOCs that last more than one year, the evaluation form must be completed annually
from the WOC NTP date and a final evaluation at the WOC close-out.
For WOCs that last less than one year, the evaluation form must be completed at the
WOC close-out.
A copy of the form is included for your reference. Instructions for completing the form are also
included.
Evaluations will be conducted annually, based on the Notice to Proceed date in the Statement of Work (SOW) and at the end of the
project as part of the project close-out. No more that 12 months shall pass without a formal evaluation.
Answer all questions by determining and entering the appropriate points to be assigned to each question in the box next to the
question. For questions that do not apply, enter '0' in the score box. This will adjust the "score possible" so that the final score is
only related to the tasks performed.
Other documents such as a Document Review Report (DRR), OCR Programs / Labor Compliance Audit Report or Part A - Contractor's
Construction Process Feedback may be used in this evaluation.
Other Agency staff's feedback can be used in the evaluation process, such as: the Region Environmental Coordinator (REC), Region
Assurance Specialist (RAS), Labor Compliance Officer and / or Local Agency.
Review the completed evaluation with the Consultant. If the Consultant is unavailable, sign and date the evaluation, and send a copy
to the Consultant's office for review and signature.
TASK CE-1 PROJECT MANAGEMENT: Provide specific examples of issues that resulted in a score of 1 or 2:
6. Did the Consultant use sound judgment regarding application of the Agency standards SCORE POSSIBLE
(i.e., the Construction Manual, Manual of Field Tested Procedures, plans and specifications, etc.)
5
and taking corrective actions?
(2.4 Construction Contract Administration)
When answering this question, the Agency Representative should consider whether or not the Consultant understood its role
and authority. Also, evaluate whether or not the Consultant followed standard procedures as described in the Construction
Manual and within the SOW contract.
5 - Consultant used sound judgment regarding application of the standards
3 - Agency notified the Consultant of noncompliance in standards
1 - Consultant did not correct deficiencies
0 - Not applicable
The Agency Representative should assess the project in its entirety to determine whether or not monthly progress estimates
were submitted in an appropriate amount of time and whether or not this resulted in late payment interest to the Contractor.
5 - Consultant always submitted the Contractor estimates within time frame specified, unless the Contractor requested a
delay for more review
4 - Consultant submitted the Contractor pay estimates on time most months, but was verbally warned and there were no other
issues
2 - Agency verbally notified the consultant repeatedly regarding Contractor pay estimates that were submitted late
1 - Agency sent a written notice to the consultant regarding this issue
0 - Not applicable
SCORE POSSIBLE
10. Was the quality and quantity documentation sufficient to justify progress estimates?
5
(2.5 Monthly Preliminary Progress Estimates)
The Agency Representative should determine scores based on the Region Assurance Specialist (RAS) periodic reviews
noted on a Document Review Report (DRR)
5 - Consultant has accurate and organized quantity and quality documentation to support payment
4 - Consultant had minor items noted on the DRR, but has since corrected the items prior to the next RAS review
3 - Consultant did not correct significant items on the DRR prior to the next RAS review
1 - Agency sent written notification to the Consultant regarding the untimely resolution of items listed on the DRR
0 - Not applicable
TASK CE-2 CONSTRUCTION CONTRACT ADMINISTRATION / CONSTRUCTION ENGINEERING AND INSPECTION (CA/CEI): Provide the
question number(s) and specific examples of issues that resulted in a score of 1 or 2:
17. Were all the inspectors knowledgeable and certified in the area of work that they were inspecting? (3.2
Construction Activity Monitoring) SCORE POSSIBLE
The Agency Representative should review the Project in its entirety and determine whether or not there were issues, and
5
whether or not they were corrected.
Note: Other Agency staff or Partner's feedback can be used in the evaluation process, such as: the Region Environmental
Coordinator (REC), Region Assurance Specialist (RAS), and/or the Local Agency.
5 - All inspectors were certified, knowledgeable and had no performance issues
4 - All inspectors were certified, but there were performance issues and the matter was corrected
3 - Agency gave notice regarding inspector certifications or performance issues and issue was corrected
2 - Agency gave second notice regarding inspector certification or performance before issue was corrected
1 - Agency removed an inspector from the project
0 - Not applicable
SCORE POSSIBLE
18. Did the Consultant promote a good working relationship with the Contractor?
5
(3.2 Construction Activity Monitoring)
The Agency Representative should review the Project in its entirety and determine whether or not there were issues, and
whether or not they were corrected. Also, Part A - Contractor's Construction Process Feedback may be used in this
evaluation.
5 - No significant issues
4 - Issues arose but were addressed and resolved in a timely manner
3 - Agency sent written notice to correct deficiencies
1 - Agency sent two (2) or more written notices to the Consultant to correct deficiencies
0 - Not applicable
TASK CE-3 CONSTRUCTION, ENVIRONMENTAL COMPLIANCE AND WORK ZONE MONITORING/INSPECTION: Provide the question
number(s) and specific examples of issues that resulted in a score of 1 or 2:
TASK CE-4 CONSTRUCTION SURVEYING: Provide the question number(s) and specific examples of issues that resulted in a score of
1 or 2:
Agency Representative should determine whether or not the Consultant understood its role and authority. Determine whether
or not the Consultant followed procedures standard as described in the Construction Manual and within the SOW Contract.
5 - Consultant responded appropriately without reminders from the Agency
4 - Consultant responded appropriately, but required reminders from Agency
3 - Agency representative sent written notice to the Consultant
2 - Agency sent second written notice to the Consultant
1 - Agency sent more than two (2) written notices to the Consultant SCORE POSSIBLE
25. Was the Consultant cooperative and easy to work with?
5
Agency Representative should document any complaints from Agency or Agency staff and score the following accordingly:
5 - Consultant's staff worked cooperatively with the Agency
3 - Agency gave verbal notice regarding cooperation
1 - Agency sent written notice to Consultant regarding cooperation
5
26. Did the Consultant's action or inaction result in any project delays?
Agency Representative should determine whether or not the Consultant followed procedures standard as described in the
Construction Manual and within the SOW contract. Determine if any action or inaction resulted in any project delays.
5 - Consultant managed the project adequately resulting in no Consultant - caused delays
3 - Agency provided verbal notice to the Consultant regarding potential delays
1 - Agency sent written notice to Consultant regarding actual delays
TASK CE - GENERAL REQUIREMENTS: Provide the question number(s) and specific examples of issues that resulted in a score of 1 or
2:
TOTAL TOTAL
SCORE POSSIBLE
0 130
TOTAL SCORE
Distribution:
ODOT Procurement Office: OPO Consultant Performance Evaluations@odot.state.or.us
Construction Section
Region Manager
Consultant
PURPOSE
Develop a Consultant Performance Evaluation in response to the 2010 Internal QA Program Audit
Recommendation stating the following:
Item No. 10 - “ODOT should continue to develop the consultant performance evaluation process, consistent with
Federal Acquisition Regulations. The process should include the opportunity for input from all involved parties in
ODOT, including the Contract Administration Unit. The results should be used in selecting firms for CEI, rather than
awarding the Contract to the firm that performed design services. The process should also separate evaluations for
design services from CEI.”
BACKGROUND
Workgroup Members:
• ACEC members: OBEC and MSA, & Mead & Hunt
• ODOT members: OPO, Construction Section, Active Transportation Section
EXPECTATIONS:
• Projects that have Construction Engineering work performed in this 2012 construction season
(Consultant performing the CE Phase or CA/CEI work), the ODOT PMs or LALs will be required to
perform an evaluation using this form.
• The ODOT PMs or LALs must provide a copy of the evaluation form to the Consultant PM as soon
as possible along with an explanation of the Pilot Program.
Page 1 of 3
Contract Administration Unit, 5/22/2012
CA/CEI Consultant Performance Evaluation
• The ODOT PMs or LALs must communicate with the Consultant performing the CE phase work that
their performance on this contract will be evaluated as part of the new Pilot Program.
• The ODOT PMs or LALs should also communicate with the CE Consultant that they are encouraged
to participate in the results at close out or at the end of the construction season.
• Results will be collected and entered into a database to further evaluate the overall scores and
determine any adjust to the rating process.
• NOTE: Because the evaluation form is in the Pilot phase, the results, at this time are not being
used for future selection.
Spring 2012:
• Provide a copy of the evaluation form to the CA/CEI Consultant’s PM as soon as possible along with
an explanation of the Pilot Program.
• Communicate with the Consultant performing the CE phase work that their performance on this
contract will be evaluated as part of the new Pilot Program.
• Communicate with the CE Consultant that they are encouraged to participate in the results at
Project closeout or at the end of the 2012 construction season.
• NOTE: Results are not being used in future selection process at this time.
• The ODOT PMs or LALs are also encouraged to send any comments, concerns to OPO or CAU
regarding the CA/CEI Consultant Evaluation form during the testing phase.
Summer 2012:
• Review and track performance using the evaluation form as a guide
• Track and document: issues, comments, concerns and commendable performance
• Gather any supporting information from other Agency Representatives (OCR, RAS, REC) and the
Local Agency, if applicable.
Fall 2012:
• Project Closeout –
o Fill out the CA/CEI evaluation form and attach any applicable documentation
o Review the results with the Consultant performing the CA/CEI work on the project
o Request the Consultant sign the CA/CEI evaluation form
o Send the CA/CEI evaluation form to the OPO email address listed on the form and a copy to the
CA/CEI Consultant
• Longer Duration Projects –
o At 12 months from the Notice to Proceed date noted on the WOC, SOW or Price Agreement:
• Fill out the CA/CEI evaluation and attach any applicable documentation
• Review the results with the CA/CEI Consultant performing the CA/CEI work on the project
• Request the Consultant sign the CA/CEI evaluation form
• Send the CA/CEI form to the OPO email address listed on the form and a copy to the
Consultant
Winter 2012:
• OPO and Contract Administration Unit will evaluate the data, providing ongoing assistance to the
ODOT PMs and LALs.
• Results will be collected and entered into a database to further evaluate the overall scores and
determine any adjust to the rating process.
• Because the evaluation form is in the Pilot phase, the results, at this time are not being used for
future selection.
The following pages show an example of an Expenditure Report that is printed from the
Contract Payment System. This report provides cost information that the Agency PM
should use to discuss with the Construction PM the status of the project’s budget vs.
expenditures. To get to this report:
1. Open up CPS.
2. Select Reports.
4. Select Submit.
5. The report will open up in a Word document.
6. Save and/or print the report.
Expenditure Account SFO Total Contract Payments Const. Eng. Cost. Total Const. Cost.
CON02874 $0.00 $7,621,395.82 $1,358,748.30 $8,980,144.12
The Region Assurance Specialists complete a Document Review Form when there is missing
documentation on a project. One of the fields on that form is the prioritization. This specifically
relates to the escalation for notification if the item is not dealt with.
A copy of the DRR and the escalation process is included for your reference.
OF
PROJECT MANAGER COMP. DATE SECOND NOTE 3rd NOTE DATE REGION
FUEL ESCALATION Yes No STEEL ESCALATION Yes No No Steel Escalation Pay Items
Date Letter was
ASPH. ESCALATION Yes No Contractor Opted Yes No Submitted:
% CONTRACT
Reimbursable (150% Max.) COMP. (based
Training: BI QUANTITY HRS TO DATE % USED No Training on Prog Est.)
PRIORITY Item name and comments, unresolved details, and exceptions to the Final Materials PM REVIEWED
DATE PLACED ON BID ITEM H-High Certification, form 734-1979 or unresolved quantity issues. RESOLVED BY RAS
DRR BY RAS NO. M-Medium
L-Low This DRR Replaces All Prior DRRs (Initials/Date) (Initials/Date)
ATTACHMENTS
734-1903 (01-2012)
Effective January 1, 2012 Contract Administration
2. The Construction Section should develop a formal process for Region Assurance
Specialists (RAS) to escalate issues discovered during their reviews. This should
include a system for prioritizing issues, with high priority issues to be automatically
reviewed by the Contract Administration Engineer to ensure prompt resolution, and
timelines for resolving issues according to their priority.
The Region Assurance Specialists work for the Contract Administration Engineer in the
Construction Section. The RAS typically review project documentation in the Project
Managers offices on a 90 day cycle such that each project receives a review
approximately every 90 days. During the review the RAS documents any unresolved
items or comments on the Documentation Review Report (734-1903), following a
documentation review by the RAS, the RAS will distribute the Documentation Review
Report (DRR) and the distribution may vary depending on the priority of any issues
identified as follows:
Low – When an issue on the DRR is identified as “Low Priority” the RAS will provide a
copy of the DRR to the Project Manager (PM)* and other appropriate PM Staff. The
expectation is that the issue will be addressed and resolved prior to the next scheduled
DRR review by the RAS, or a plan has been developed to address the deficiency if it
can not be immediately corrected. The PM office will typically have 90 days to address
or resolve the issue. If the issue is not addressed by the next review, the issue will
automatically escalate to a Medium priority.
*Note: The Project Manager (PM) includes the ODOT Project Manager or Local
Agency Liaison (LAL) assigned to the project when a project is being administered by a
Consultant or Local Agency. The RAS will also provide them with a copy of the DRR
and the ODOT PM or LAL will be responsible for working with the Consultant or Local
Agency PM to address or resolve the issue.
Medium – When an issue on the DRR is identified as “Medium Priority” the RAS will
provide a copy of the DRR to the PM*, the Area Manager (AM), and the Contract
Administration, Contract Services Leadworker. The expectation is that the issue will be
Revised 1/25/2012 1
Effective January 1, 2012 Contract Administration
addressed and resolved prior to the next scheduled DRR review by the RAS, or a plan
has been developed to address the deficiency if it can not be immediately corrected.
The AM office will typically have 90 days to address or resolve the issue. If the issue is
not addressed by the next review, the issue will automatically escalate to a High priority.
High – When an issue is identified as “High Priority” the RAS will provide a copy of the
DRR to the PM*, the AM and the Contract Administration Engineer (CAE). The
expectation is that the issue will be addressed and resolved prior to the next scheduled
DRR review by the RAS, or a plan has been developed to address the deficiency if it
can not be immediately corrected. The PM, AM and CAE will work together, and with
other technical experts (e.g. Professional of Record (POR), Quality Assurance Engineer
(QAE), Quality Control Compliance Specialist (QCCS), Inspector) if needed, to expedite
the resolution of the issue. The group will develop a plan to address the deficiency if it
can not be immediately corrected.
Priority
Items listed on the DRR Low Medium High
Revised 1/25/2012 2