General Documentation Requirements

Project Records General Guidelines for Documentation Substantiation Validation Filing List of Forms

Project Records

The Project Engineer or Inspector must set up a records system to adequately record the daily activities on the project. These records should include the following, as applicable:  A folder for each reference number  Proposals / addendum folder  A folder for each change order  Supplemental specifications  TE-30 Material Inspection Reports  TE-45 Daily Concrete Reports  TE-31 Material Inspection Reports  TE-24 Material Certification Reports  Partnering file  Pre-construction and other Meeting notes  C-95 issues folder  Change order items pending  Issue folders (claims, etc) / Waste Borrow Agreements  Correspondence from contractor  Correspondence from others  ODOT correspondence to contractor  ODOT correspondence to others  Delivered materials  CA-EW-5 compaction tests  Grade checks  Contractor storm sediment and erosion control checklist  Survey notes  Utility folders  Railroad folders  Estimate folder  CA-D-3 and CA-D-4 folders  C-92 / Payroll / Labor compliance forms  Schedule folder  MOT review folder  Value Engineering Proposals (VECP) File

General Guidelines for Documentation

Documentation consists of the written project records necessary to verify performance of the work item. Documentation is progressive and must be coordinated with the construction progress. To meet the requirements for payment on Federal-Aid and State projects, the following two conditions must be met: The final quantity has been determined in accordance with the specifications and the necessary weight tickets, measurements, calculations, etc., are validated properly. Procedures for meeting these conditions are contained in this handbook. The work has been completed in substantial conformity with the plans and specifications, and this fact is documented and placed in the project files. Procedures for meeting these conditions are contained in the referenced construction procedures handbooks and manuals. As a rule, the inspector's reports or related forms should contain information in sufficient detail to verify that construction is in substantial conformity with the plans and specifications. Documentation shall be validated in every case with the following seven identifiers:  Date  Project Number  Item Number  Reference Number  Subject  Location  Signature or Initials As items of work are completed by the contractor, project inspectors are required to document the work as previously discussed. Accepted quantities will be turned in for payment on the Daily Diary under the area entitled "Pay Items", listing the reference number, extra work number if applicable, participation code, description of work, location, and quantity or lump sum amount. It must be emphasized that all items turned in for payment must be supported by documentation kept in the project files under the appropriate contract reference number.

Substantiation This manual describes in detail the requirements of documenting substantial conformity with contract requirements. Substantiation includes the usage of specific forms and documentation of measurements and testing methods. Progressive project inspection and control records must be related to items being documented so that they readily substantiate and verify that documented quantities are placed in accordance with contract requirements. These records are to be placed in the project file each day. For the purpose of documentation, project records must be identified with the seven identifiers listed above. These records must also: show location data, include computations, and be filed in the project records. Records will be on designated forms contained within this manual.

Measurement Individual measurements will be made with sufficient accuracy and frequency to avoid unrealistic accumulations. The summary of final pay quantity is rounded off to the units shown in the proposal. Include the seven identifiers listed above with a documentation record of each pay item on a designated form and file in the project records.

Sketches Photos, video, sketches, and drawings may be used wherever they are an aid in clarifying locations or dimensions. Validation The seven identifiers listed above must be included on tickets and tapes if no other documentation forms are used for the item. If separate forms are used (e.g., Asphalt tickets used along with the Bituminous Concrete Inspection Form), initials should be on the tickets, and the seven identifiers are required on the form. The printed weight ticket from automatic or semiautomatic scale operations is acceptable documentation. Should material be delivered to the project without a verifiable weight ticket from the source, due to infrequent use or oversight, the material may be re-weighed or weight may be checked by comparison to measured volume in place. Action taken will be recorded on the ticket. Items paid for on a unit, lump sum, length, area, volume, or miscellaneous basis, either in place or from verified plan dimensions, will be validated by the initials of the person making or verifying measurements, calculations, and observations. Where partial loads are involved, quantities will be determined from measurements in the vehicle or calibrated tanks.

Filing All printed project records must be maintained in the field office in a file by project number. Tickets and other bulky items may be filed separate provided they are referenced to the associated contract reference number. Upon completion of the project, the entire file will be moved to the District Office and maintained for future reference. All final quantity documentation will be delivered to the District Office in a timely manner at the discretion of the District Documentation coordinator after completion of the physical work. District project files will be maintained in a single well-organized location for the time period outlined in the ODOT record retention schedule.

List of Forms The following forms are called out in this manual. The District may modify the forms ONLY if the modified forms contain all of the information listed on the standard forms. Forms may be found online here: http://www.dot.state.oh.us/Divisions/ConstructionMgt/Admin/Pages/Documentation.aspx Forms are also available in the Construction Inspection Forms Booklet.

CA-C-1 Concrete Control Test Form TE-45 Concrete Inspectors Daily Report CA-D-1A Field Calculation and Measurement CA-D-1B Field Calculation and Measurement CA-D-2 Field Calculation and Measurement CA-D-3A ODOT Inspectors Daily Report CA-D-3B ODOT Inspectors Daily Report CA-D-4 ODOT P.E. / P.S. Daily Report CA-D-5 Daily Account of Force Account Work CA-D-6 Pavement Repair and Sawing Measurement CA-D-7 Short Term Work Zone Review CA-D-8 Long Term Work Zone Review - 1/2, 2/2 CA-D-10 Contractor Signature Authorization CA-D-11 Contractor Payment Certification CA-D-12 Contractor Final Certification CA-EC-1 Weekly and Rain Event Checklist CA-EC-2 Seeding Calculations CA-EW-1 Earthwork Quantity Calculations CA-EW-2 Proof Rolling Documentation CA-EW-3 Log of Test Pit Investigation CA-EW-4 Moisture Density Curve Calculation CA-EW-5 Nuclear Gauge Compaction Form CA-EW-6 Nuclear Gauge Compaction with Aggregate Correction CA-EW-8 Authorization of Undercuts Typical Moisture Density Curves - Set C - May, 1949 Zero Air Voids Curve CA-EW-9 Rock Blasting Inspection Form CA-EW-10 Rock Blasting Drilling Log CA-EW-11 Blast Site Security Plan CA-EW-12 Daily Earthwork Inspection Form CA-FP-1 Warranty Asphalt Checklist CA-FP-2 Random Selection of Asphalt Field Samples (448, 403) CA-FP-3 Summary of Asphalt Concrete Quantities CA-FP-4 Asphalt Concrete inspection CA-FP-5 Asphalt Concrete Core Locations CA-FP-6 Calculation of Liquid Asphalt Materials CA-L-1 Report of Electrical Tests CA-L-2 Report of Electrical Tests CA-L-3 Report of Electrical Tests CA-L-4 Report on Sign Lighting CA-L-5 Report on High Voltage Direct Current Tests CA-P-1 Pipe Construction Inspection Form - 1/2, 2/2 CA-P-2 Underdrain Construction Inspection Form 1/2, 2/2 CA-P-3 Drainage Structure Inspection Form 1/2, 2/2 CA-S-1 Inspection Record for Drilled Shafts CA-S-2 Paint Thickness, QCP #5, #8, #10 CA-S-3 (BR-2-75) Pile Driving Log CA-S-4 High Performance Concrete Pre-Pour Meeting - 1/3, 2/3, 3/3 CA-S-5 Micro-Silica Overlay Pre-Pour Meeting - 1/3, 2/3, 3/3 CA-S-6 Class S Concrete Pre-Pour Meeting - 1/2, 2/2 CA-S-7 QCS Inspection Documentation CA-S-8 (BR-5) Piling Record CA-S-11 QCS & Visual Standards Information CA-S-12 Bridge Painting Quality Control Points, QCP #1 & #2 CA-S-13 Abrasive Blasting (QCP#3) CA-S-14 Disposal of Hazardous / Non-Hazardous Waste for Bridge Painting, QCP#4 CA-S-15 Prime Coat Application, QCP#5 CA-S-16 Bridge Painting Grinding Fins, Tears, Slivers and Caulking, QCP #6,#9 CA-S-17 Intermediate & Finish Coat Application, QCP #8 & #10 CA-S-18 Bridge Painting Destructive Test Log, QCP #11 CA-S-19 Bridge Painting Final Review, QCP #11 CA-S-20 Erection (Demolition) Procedure Checklist CA-T-1 DLS Report Format - Weight-Based System CA-T-2 DLS Short Report Format - Weight-Based System CA-T-3 DLS Report Format - Stroke Counter System CA-T-4 DLS Short Report Format - Stroke Counter System CA-T-5 DLS Report Format - Flow Meter-Based System CA-T-6 DLS Short Report Format - Flow Meter-Based System CA-T-7 DLS Report Format - Thermoplastic System CA-T-8 DLS Short Report Format - Thermoplastic System C-85 Letter Sample Final Estimate Letter C-85 Final Report of Final Inspection C-85 LPA Report of LPA Final Inspection C-85 Partial Report of Partial Inspection C-85 Punchlist Report of Punch List Completion TE-31 Sample Data