Consultant Oversight Manual 143 PDF

CONSULTANT OVERSIGHT MANUAL
FOR AGENCY PROJECT MANAGERS
This document provides guidance to ODOT personnel who oversee

consultant contracts that include construction contract administration and
construction engineering services.
April 2013
TABLE OF CONTENTS
Page
Section 1 -- Introduction
Section 2 WOC Preparation
Section 3 Prior to Construction Contract Pre-Bid to Bid Letting

(includes WOC Administration)
Section 4 Bid Letting to Construction Contract Notice to Proceed
15
Section 5 Construction Notice to Proceed to Second Notification
17
Section 6 Second Notification to Third Notification and Project Close-Out Activities
23
Section 7 WOC Closeout
25
Section 8 Tools and Forms
27
Section 9 -- Resources
29
Appendix A: Agency Oversight Responsibility Matrix

Appendix B: Agency PM Checklist
Appendix C: WOC Statement of Work and Delivery Schedule Template
Appendix D: OPO Form Examples
Appendix E: Agency Oversight Project Review Checklist and Corrective Action Plan
Appendix F: Consultant Performance Evaluation and Instructions
Appendix G: Expenditure Report Example
Appendix H: Document Review Form Prioritization Discussion
Table of Contents
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Table of Contents
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AGENCY OVERSIGHT MANUAL

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 PMs responsibility to
ensure are completed. However, it is understood that the Agency PMs 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 Inspectors Manual, QCCS Manual, Manual of Field Test Procedures, and/or other
relevant manuals.
DEFINITIONS
Agency PM/APM
CA/CEI
Construction Contractor
Construction PM
Consultant NTP
Contractor NTP
OPO
QCCS
RAS
WOC
Table of Contents
Agency Project Manager (ODOTs

representative)
Contract Administration/Construction
Engineering and Inspection
Company bidding on and constructing the
project
Person responsible for the construction
contract administration with the Construction
Contractor
Notice to Proceed from ODOT to Consultant
Agency indicating it is okay to start working on
the project
Notice to Proceed from ODOT OPO to
construction contractor indicating it is okay to
start working on the project
ODOT Procurement Office
Quality Control Compliance Specialist
Region Assurance Specialist
Work Order Contract
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OVERVIEW
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.
Contract Administration Unit

ODOTs 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 Manuals website is located at:
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/pages/cm.aspx.
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SECTION 2: WORK ORDER CONTRACT (WOC) PREPARATION
When the contract administration/construction engineering and inspection (CA/CEI) will be

managed by a Consultant, a personal services contract for these services must be negotiated
and executed with a qualified Consultant using one of the following options:
o Amendment to existing Work Order Contract (WOC) under full-service price
agreement (PA): If the design work for the project is being outsourced using a WOC,
the WOC normally may be amended to add the CA/CEI phase of the project. If ODOT or
the LPA would prefer not to have the firm that performed the design work to also perform
the CA/CEI phase, then one of the options below may be used.
o New WOC established under full-service A&E PAs.
o Project-specific contract (or amendment to existing contract): This option may be
used in some cases if the options above are not the best match for the project.
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 Consultants 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.
Section 2
WOC Preparation
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The Agency PM, local agency representative (where appropriate), and Consultant must meet
(may be conference call) to review the WOC and negotiate hours and costs before the WOC is
signed. The Agency PM may request assistance from OPO for WOC negotiations with the
Consultant. The Agency PM will also need to prepare a Profit Fee Worksheet for negotiation of
profit [except if Consultant is using only Negotiated Billing Rate (NBR) schedules]. All negotiated
items need to be recorded in a Record of Negotiations that becomes part of the procurement
record for the WOC (see WOC Preparation section below). Detailed guidance and
documentation requirements for negotiations are available in the following:
o Negotiated Procurements Directive
o ODOT Negotiations Guide
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)
An additional three technician certifications are recommended for QCCS personnel:
Certified Asphalt Technician 2 (CAT-II)
Concrete Control Technician (CCT)
Certified Mix Design Technician (CMDT)
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 Managers 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)
Section 2
WOC Preparation
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WOC PROCESSING
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.
Appendix D shows examples of each of these documents.
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.
An example of a good notice to proceed is below:
Firm's PM Name:
Name of Firm:
Contract Value:
Contract Expiration:
Please email a reply to confirm receipt.
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.
Section 2
WOC Preparation
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PROCUREMENT RELATED TRAINING

OPO provides procurement-related training such as classes on Contract Administration,
Preparing Internal Estimates, and Negotiation. The course catalog and additional information is
available at: OPO Training Page
Section 2
WOC Preparation
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SECTION 3: PRIOR TO CONSTRUCTION CONTRACT PRE-BID

TO BID LETTING (INCLUDES WOC ADMINISTRATION)
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
WORK ORDER CONTRACT REQUIREMENTS

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.
INVOICE AND PROGRESS REPORT SUBMITTALS

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).
Section 3
Prior to Construction Pre-Bid to Bid Letting
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The invoice needs to be reviewed against the WOC to ensure that the invoice meets the terms
and conditions of the contract. The items that need to be considered are:
Compare billing rates on the invoice against the budget prepared for the WOC.
Were deliverables received as indicated on the WOC?
Were appropriate receipts included (lodging, third party invoices, etc.)?
Is there enough time on the WOC to complete remaining work?
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.
CONSTRUCTION PROJECT MANAGER RESPONSIBILITIES AND PROJECT

AUTHORITIES
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 Consultants 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 projects 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 PreCon meeting.
Section 3
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Verify that the Construction PM uses the services of the PIO for distribution of project
information. In contracts where the Construction PM is responsible to provide PIO
services, the distribution of information must be coordinated with the Region PIO.
Verify that the Construction PM uses the services of the REC to provide an overview of
the permit conditions for the project.
Remind the Construction PM that there is a 28-calendar day notice required to MCTD for
changing the horizontal or vertical clearance on a project. (This does not apply to local
roads or streets.) Any such change to clearances would require the submittal of the
Highway Restriction Notice (Form 734-2357).
ADVERTISING AND BID LETTING REQUIREMENTS

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 Agencys 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 Bidders 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.
Section 3
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DOCUMENTATION REQUIREMENTS
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 havent done so already.
Chapter 12 of the Construction Manual

The Agency PM should review Chapter 12 and all its 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 projects 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.
Sample Quantity and Quality Guidelines

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 NonField 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.
Section 3
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Responsibility Matrix
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:
CONSULTANT PERFORMANCE EVALUATIONS

The Agency PM is responsible for completing consultant evaluations as follows:
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.
Section 3
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Section 4
Bid Letting to Construction Contract NTP
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SECTION 4: BID LETTING

TO CONSTRUCTION CONTRACT NOTICE TO PROCEED
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).
Contractors Bid: Amount contractor bid on the project.

Anticipated Items: These are items that are anticipated to be possibly added to the project after bid.
Contingency: Allows for unanticipated items and/or overruns in the original contract authorization.
Engineering: Pays for the administration of the contract.
Total Project Cost: Total of all the above items.
The Agency PM should be familiar with the projects 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.
Section 4
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Section 4
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SECTION 5: CONSTRUCTION NOTICE TO PROCEED

TO SECOND NOTIFICATION
The activities for the Construction PM under this section are covered in the Construction Manual.
The discussions below pertain specifically to the Agency PMs role to ensure that the work is being
completed. The Agency Oversight Responsibility Matrix summarizes the information in a table
format.
Before On-Site Work Can Begin (Construction Manual, Chapter 11)

The information below provides additional information specifically relating to the Agency PMs
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 PMs
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 preconstruction 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 PreConstruction 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
Section 5
Construction NTP to Second Notification
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date when the Contractor or Subcontractor begins Aggregate source development, erection of a
plant, or the performance of a construction operation called for by the Contract.
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
PMs work.
Prior to going to the Construction PMs 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 PMs 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.
Section 5
Page 18 of 143
Updated April 2013
The Agency PM is responsible for working on determining funding source(s). For projects involving
local funding, contact the Program and Funding Services manager for funding availability. The
Agency PM will have the responsibility of obtaining appropriate approvals.
Project Records (Construction Manual, Chapter 12)

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.
Contract Time (Construction Manual, Chapter 13)

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.
Subcontracts (Construction Manual, Chapter 14)

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. Nonfederal projects will be handled on a case by case basis. To determine funding, check the projects
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,
Section 5
Page 19 of 143
Updated April 2013
there is a possibility that FHWA wont participate in paying for any or all of that work on
federal-aid projects.
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 isnt an FHWA approval
included with the subcontract, the Construction Section will contact the Agency PM to make them
aware of the problem.
Change Orders (Construction Manual, Chapter 15)

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.
Section 5
Page 20 of 143
Updated April 2013
Payments to Contractors/Retainage (Construction Manual, Chapter 25)

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 ODOTs
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 Sections Contract
Administration Unit immediately.
Disputes/Claims (Construction Manual, Chapter 27)

Chapter 27 of the Construction Manual provides guidance around disagreements, disputes, and
claims. Disputes/claims should be resolved at the lowest possible administrative level.
On unique projects or under special circumstances, the Construction PM and Construction
Contractor may wish to enlist the assistance of a third party to assist with providing a neutral review
of the dispute and offer a recommendation for issue resolution. Use of a third party requires a
Contract Change Order and the support of the Contract Administration Engineer. The Construction
Section has a list of individual who have expressed an interest in serving as a Third Party Neutral.
More information regarding this process is listed on the Construction ADR webpage. The Agency
PM would assist with this process and should contact the Contract Administration Engineer for
additional guidance.
If a dispute is escalated to a claim, there are three possible areas where these are resolved:
Section 00180 applies to disagreements that only involve Contract Time.

Section 00195.95 applies to errors in final quantities and amounts.
Section 00199 applies to all other disagreements.
The Agency PM would be involved at all levels of a claim review.
Section 5
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Section 5
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Updated April 2013
SECTION 6: SECOND NOTIFICATION TO THIRD NOTIFICATION

AND PROJECT CLOSE-OUT ACTIVITIES
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 PMs progress of the project close-out activities and the
Construction Contractors 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.
Final Project Documentation (Construction Manual, Chapter 37)
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.
Section 6
Second Notification to Third Notification and Project Close-Out Activities
Page 23 of 143
Updated April 2013
Section 6
Second Notification to Third Notification and Project Close-Out Activities
Page 24 of 143
Updated April 2013
SECTION 7: WOC CLOSEOUT
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
After ten years this documentation can be destroyed.
Section 8
Tools and Forms
Page 25 of 143
Updated April 2013
Section 8
Tools and Forms
Page 26 of 143
Updated April 2013
SECTION 8: TOOLS AND FORMS
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.
Section 8
Tools and Forms
Page 27 of 143
Updated April 2013
Section 8
Tools and Forms
Page 28 of 143
Updated April 2013
SECTION 9: RESOURCES
Resource
Construction
Manual
Construction
Forms
Consultant
Evaluation
Form
Contract
Administration
Unit
Information
Forms
Responsibility
Matrix
Inspectors
Manual
Manual of
Field Test
Procedures
Non-Field
Tested
Materials
Guide
OPO Full
Service
Agreements
Local Agency
Consultant
Selection
Qualified
Products List
Standard
Specifications
WOC
Payment
Spreadsheet
template
example
ODOT
Inspection
Certification
Program
document
Section 9
Resources
Weblink
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/pages/cm.aspx
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/Pages/HwyConstForms1.aspx
file://Scdata2/OPOnet/Forms/PSK/AE/CACEIeval.xls
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/ca/docs/contractservicespersonnel.pdf
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/ca/docs/formslist.xls
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/docs/InspectorsManual.pdf
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/pages/mftp_manual.aspx
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/docs/NFTMAG.pdf
http://transnet.odot.state.or.us/cs/opo/Webpage/AE-FullService.aspx
http://www.oregon.gov/ODOT/CS/OPO/pages/lap_select.aspx
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/QPL/Docs/QPL.pdf
http://www.oregon.gov/ODOT/HWY/SPECS/Pages/standard_specifications.aspx
ftp://ftp.odot.state.or.us/techserv/construction/TrainingManuals/ConsultantOversightManual/WOC_Payment_Spr
eadsheet_Example.xls
ftp://ftp.odot.state.or.us/techserv/construction/QA_Certification/inspection_certification_program.pdf
Page 29 of 143
Updated April 2013
Section 9
Resources
Page 30 of 143
Updated April 2013
Appendix A
Agency Oversight Responsibility Matrix
The Agency Oversight Responsibility matrix provides a summary of required tasks and who is
responsible for what in a tabular format.
Appendix A
Page 31 of 143
Updated April 2013
Appendix A
Page 32 of 143
Updated April 2013
AGENCY OVERSIGHT
RESPONSIBILITY MATRIX
Task
Construction
Manual
Chapter*
2008 Spec
No.
SOW
Task
No
Revise SOW template to fit

project
Using OPOs Reference
Guide/Checklist follow
process for hiring
consultant
Send out WOC Notice to
Proceed
Review consultant invoices
Form No
SOW
Template
Post WOC NTP Meeting
Chapter 6
Addenda
Chapter 6
Construction Engineering
Budget Finalized
Chapter 5
Public Works Bond
Chapter 11
00170.20
Quality Assurance &

Contract Administration
Plan Prepared
CE 2.3
Cooperative Arrangement /
Project Partnered
Workshop
Chapter 11
00150.05
CE 2.2
Permits
Chapter 20
00170.02
00170.03
CE 3.1
Safety Questionnaire
Chapter 17
AgencyOversightResponsibilityMatrix
CE 2.4
734-2857
Std96002
Construction PM Role
Agency PM Role
WORK ORDER CONTRACT PREPARATION AND ADMINISTRATION

Once
Not applicable
Prepare WOC for submittal to OPO for
processing
Once
Not applicable
Responsible for working with OPO and
the responsible local agency to hire
consultant to perform CA/CE work.
Once
Monthly Status Report
Pre-Bid Diary
Frequency
Sending out NTP allows the consultant

to commence work.
Monthly
Submits completed invoice and receipts
Reviews invoice to ensure meets terms
as required
and conditions of WOC.
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.
Once
Participates in meeting
Set up and participate in initial meeting
to set parameters for the project.
PHASE 1: BETWEEN BID LETTING AND FIRST NOTIFICATION
Until Bidding
Maintains a diary which documents all
Ensure Construction PM understands
closes
conversations with or visits from
and has a project diary.
prospective Bidders, detail of any Project
information that was examined, and all
appropriate discussions or comments
between the prospective Bidder and the
PM.
Until Bidding
If it is determined that new information
Submit addendum request to OPO and
closes
should be shared, a formal addendum
ensure addendum is published.
need to be submitted to the Agency.
Once
After notice of intent to award, OPO will
request final CE Budget. The Agency
PM is responsible for establishing and
submitting the CE Budget to OPO.
Once
Ensure Contractor has filed a Public
Check the Contract Electronic File
Works Bond for project.
folder for the project to be sure that a
bond document is located within the
folder
Once initially,
Prepares plan and submits to Agency PM Reviews plan, maintains in project file.
quarterly
with five (5) business days of the Work
review
Order Contract (WOC) Notice to Proceed.
Revisions should be submitted quarterly if
personnel changes.
Once
Coordinates with Construction Contractor
Coordinate with Construction Section,
to determine level of PPW to conduct,
Construction PM, participates in PPW
participates in PPW.
General Remarks
All the forms and processes used in this section are

located on the Agency Oversight webpage
Reference Guide/Checklist:
http://www.oregon.gov/ODOT/CS/OPO/docs/local/Tier2QuickRef.doc
Can begin work.
Once
Obtain copies of all pertinent permits for

the project for submittal to Contractor.
Assure Contractor is abiding by permit
restrictions and obligations.
Assist with obtaining copies of all

permits.
Once
Ensure contractor completed safety

questionnaire and returns to PM prior to
Assure task has been completed.
Sample agenda: (need to put this together)
If consultant is not on board at this step, the Agency PM

will perform this function.
This task and the following three tasks may be included in
the Preliminary Engineering statement of work as Final
Design/Bidding Assistance. It is included here to show the
workflow from bidding to work completion.
If consultant is not on board at this step, the Agency PM
will perform this function.
Process is outlined in PD-08.
This is usually supplied to OPO during the award process.
Contractor submits with award documents to Construction

Section. The PPW can be formal or informal. Contact
Construction Program Analyst for additional guidance.
This document is not required from the Contractor.
Construction PM and Agency PM may be involved with
coordinating with regulatory agencies to resolve any
permit issues. Other specifications discuss permits, the
specs noted identifies that the Contractor must obtain all
of the permits.
There isnt one specification that requires the safety
questionnaire to be completed. However, most of the
Page1of8
UpdatedApril2013
Task
Construction
Manual
Chapter*
2008 Spec
No.
SOW
Task
No
Form No
Frequency
Agency PM Role
Preconstruction Conference.
Pre-Construction
Conference
Chapter 11
00180.42
CE 2.1
Once
Steel escalation/deescalation (if opted in by

Contractor)
Chapter 11
00195.12(a
)
CE 2.4
Once
Transit-Oriented
Directional (TOD) and
Business Logo Signs
Chapter 11
00225.02
CE 2.4
Once
Project Schedule
Chapter 11
00180.41
CE 2.4
Once initially
and then
periodically
throughout the
life of the
project
Traffic Control Plan (TCP)
Chapter 11
00225.05
CE 2.7
Once initially
and then as
needed
Erosion and Sediment

Control Plan
Chapter 11
00280.02
CE 2.7
Once initially
and then as
needed
Pollution Control Plan

(PCP)
Chapter 11
00290.30
(b)
CE 2.7
Affirmative Action
Programs
Chapter 18
First Note
Chapter 13
CE 2.4
00110.20
Project Progress Meetings
Project Records
CE 2.4
CE 2.6
Chapter 12
CE 2.4
Once
734-3233
Prepare agenda, invite parties, conduct

conference, prepare and distribute
minutes. Ensure that the Contractor has
provided all required submittals in
preparation of the Pre-Con.
Contractor must submit request in writing
to Construction PM before the
Preconstruction Conference or within
seven (7) days after the Preconstruction
Conference if they choose to opt-in to use
the steel escalation/de-escalation.
Ensures contractor fulfills responsibility.
Review agenda, ensure appropriate

parties included, attend conference,
review minutes
Reviews schedule and acknowledges that

the schedule shows that all work will be
accomplished within the Contract Time
requirements, that it does not violate any
of the Contract restrictions, and that it
depicts realistic performance of the work.
Address any concerns with the
Contractor.
Approve any proposed changes from the
TCP included in the Contract.
Review schedule and provide

comments to Construction PM.
Submit any proposed changes to the

Professional of Record for review and
approval. This must be done before the
Contractor may commence any site
activities that have potential to cause
erosion or sediment movement.
Review and approve the PCP before
Contractor begins work.
items that are requested in the Safety Questionnaire, are

required in the specifications.
Must be done within 30-days of notice to proceed unless
agreed otherwise in writing.
Assist as needed.
Request from Contractor must include all Pay Items

selected for the steel escalation/de-escalation.
Assure task has been completed.
Can be submitted electronically to

ODOT.ContractSvs@odot.state.or.us. The Construction
Section will submit copies to the Travel Information
Council.
Coordinate appropriate review with

technical owner. If technical owner is
not available for review, then the
Agency PM should review document
and return any comments to the
Construction PM.
Construction PM.
Construction PM.
Assure that the requirements of each
Affirmative Action program has been
addressed at the Pre-Con.
Ensure that this gets processed in a
timely manner.
Contractor should submit at pre-con. PM

forwards to the appropriate Civil Rights
Specialist for approval/denial.
Completes and submits original signed
copy to the Construction Section prior to
uploading the first months progress
estimate.
PHASE 2: BETWEEN FIRST NOTIFICATION AND SECOND NOTIFICATION
As Needed
Schedule meetings, prepare agenda,
Participate in meetings as necessary.
participate, and prepare and distribute
minutes.
Once
Meet with Agency PM to review Chapter
Review Chapter 12 and its subchapter
12 and all subchapters
with Construction PM
General Remarks
Any revisions to the TCP will be subject to a Contract

Change Order before implementation.
The Contractor must keep a copy of the approved ESCP

with any updated changes on-site during all construction
activities.
When the PCP is included in the Contract as a bid item,

specific percentages of the lump sum quantity are paid at
different milestones throughout the life of the project.
Includes Disadvantaged Business Enterprise (DBE),

Equal Employment Opportunity (EEO), and On-the-Job
Training (OJT)/Apprenticeship programs.
Generally the date when the Contractor begins Aggregate
source development, erection of a plant, or the
performance of a construction operation.
Recommended to be held weekly during active

construction periods.
Ensures all parties understand documentation
requirements.
Page2of8
UpdatedApril2013
Task
Daily Progress
Construction
Manual
Chapter*
Chapter 12-A
2008 Spec
No.
SOW
Task
No
CE 3.2
Form No
734-3474
Frequency
Daily
Ensure completed by inspector

throughout life of the project.
Form 734-1789 is for structural coating
work.
Daily if
required
Review the reports to ensure that traffic

control is properly performed and
maintained. Report any problems for
immediate resolution to the Contractor.
734-1789
Traffic Control Inspection

Report
Chapter 12-A
CE 3
734-2474
Erosion Control Monitoring

Report
Chapter 12-A
CE 3.1
734-2361
Turbidity Monitoring
Report
Chapter 12-A
CE 3
734-2755
Material Daily Progress

Report
Chapter 12-A
CE 3
734-2599
Is required on older projects. Newer

projects do not need to complete this
form.
Report of Motor Vehicle

Accident or Hazardous
Material Incident Observed
or Investigated by
Employee
Chapter 12-A
Chapter 17
CE 2.4
734-3589
Report of Damage to
Highway Structure
Chapter 12-A
Chapter 17
Test Summaries
Chapter 12-B
Investigate any serious or fatal accident

involving the public to ensure that traffic
control was and is operating adequately
and properly. Record any information that
will allow defense in case of legal action.
Contact the APM immediately.
As part of the investigation above,
complete this form and submit to the
Claims Against Others Technician.
Complete Test Summary sheet(s) for
each Pay Item to determine what type of
documentation is needed prior to receipt,
placement, and payment of Materials
needed. Record the quality
documentation as work progresses.
Must review all quality records to assure
that the required documentation has been
received and that the material either
meets contract requirements or that price
adjustments have been properly
assessed.
Enter price adjustments into CPS
including a reference to the pay item
receiving the adjustment.
Complete spreadsheet to perform the
statistical analysis to calculate pay factors
and composite pay factors used in
determining bonuses and price
adjustments for non-specification
material.
734-3373
CE 3.2
Quality Documentation
Review
Chapter 12-B
Quality Price Adjustments
Chapter 12-C
00125.25
StatSpec Completion
Chapter 12-C
00165.30
Understand the permit requirements. The

PM must periodically check the erosion
control devices to ensure that appropriate
devices are installed and that they are
working property.
Ensure all monitoring and report is being
done by the Contractor. Reports must be
kept on-site and be available for
inspection at all times.
734-1902A
734-1902B
734-1902BQA
Ongoing
CE 3.3
CE 3.3
As needed
Worksheet
As needed
Agency PM Role
If there is an issue with this, RAS
reviews will include the item on the
DRR. Might need to assist the
Construction PM to ensure the issues
are dealt with.
are dealt with.
are dealt with.
are dealt with.
are dealt with.
Should be notified about the
investigation.
General Remarks
Original to Project Manager. Maintain on file and submit
originals to Contract Services with final project
documentation submittal.
This form is completed by TCS. If TCS not available,

Construction PM should report results on the General
Daily Progress Report or in the Project Managers diary.
The form itself should be completed by the Contractors

certified ESCM. However, an ODOT Certified
Environmental Construction Inspector should also make
cursory inspections.
Check with Contract Services if unsure if this is required

on the project.
Review submittal.
Review Test Summary and provide

concerns to Construction PM
Some Pay Items may require the use of both Test

Summary A and B forms to enter different Materials for
that item.
CCO Bid Items should also be entered on test summaries.

are dealt with.
Approves and uploads price
adjustments in CPS.
Each lot must be entered as a separate adjustment as

calculated by StatSpec.

are dealt with.
StatSpec is also used to calculate the quality levels of test

results from the Contractors process control.
Page3of8
UpdatedApril2013
Task
Quantity Documentation
Review
Construction
Manual
Chapter*
Chapter 12-D
2008 Spec
No.
SOW
Task
No
CE 2.5
Form No
Frequency
Often
Review each source document as it is

prepared to verify that documentation and
calculation methods are correct.
If changes to lump sum amounts are

made, generally a change order needed
to be prepared (see exceptions in
Construction Manual).
Newer projects will handle escalation/deescalation through CPS. In this case, the
Construction PM will enter the information
while setting up the zero-estimate in CPS.
Lump Sum Adjustments
Chapter 12-E
00195.20
(a)
CE 2.5
As needed
Escalation De-escalation
analysis
Chapter 12-E
00195.10
00195.12
CE 2.4
As needed
Fabrication Inspection
Chapter 12-E
00165.91
CE 2.4
As needed
Agency-Provided Weigh
Technician
Chapter 12-E
00190.20
(g)
CE 2.4
As needed
Performing Work at
Contractors Expense
Chapter 12-E
00220.60
(d)
CE 2.4
Rarely
Materials Testing at
Contractors Expense
Assessing Liquidated
Damages
Chapter 12-E
00165.04
CE 2.4
As requested
Chapter 12-E
Chapter 13
00180.85
(b)
CE 2.4
As needed
Incentive / Disincentive
Chapter 12-E
00198.00
CE 2.4
Rarely
Lane Closures
Chapter 12-E
00220.00
CE 2.4
Rarely
Older projects will use escalation/deescalation worksheets as detailed in the

Construction Manual.
Request assistance from the Structure
Services Unit of the Construction Section
when fabrication inspection is needed.
Provide a weigh technician if the
contractor provides vehicle weigh scales
without a weigh technician. Calculate the
time performing the weigh technician
duties and post the charges to the
progress estimate. Must notify contractor
that such an adjustment is being made.
Calculate any costs associated to perform
work to provide adequate
accommodations for traffic and to
maintain the traveled ways and
connection provided for in the contract.
Post the charges to the progress
estimate.
Calculate costs to perform extra testing
and post charges to progress estimate.
Using the Weekly Statement of Contract
Time Charges form(s), assess liquidated
damages as identified in the Special
Provisions for each calendar day the
contractor performs work in excess of the
contract time. Post amount to the
progress estimate as a negative amount.
Review special provisions to see if
provisions are included for
incentive/disincentive. If included contact
RAS for assistance.
provisions for Lane Closure, Lane Rental,
or Total Closures are included. Contact
RAS for assistance if they are included.
Agency PM Role
General Remarks

are dealt with.
Review and note or approve change
orders as appropriate.
Source documents are the written evidence showing the

quantities of work completed or accepted. Source
documents must be clear so that anyone can follow on
paper what is being paid for and why.
Assist as necessary.
Worksheets are on Construction Forms website under

Escalation/De-escalation Worksheets.
If unsure which format to use, contact Contract Services.
Coordinate as necessary.
Any inspection required outside of 50 miles of the states

borders will be charged to the contractor.
Review and upload progress estimate

as appropriate.
The hourly cost for the provided weigh technician will be

listed in the Special Provisions.

as appropriate.

as appropriate.
Provide guidance and Review and
upload progress estimate as
appropriate.
Only used if the contractor requests the Agency to perform

testing in excess of the limits stated in 165.04.
If the contractor exceeds the contract time, liquidated
damages must be assessed as outlined in the Special
Provisions on a progress estimate.

as appropriate.

as appropriate.
Page4of8
UpdatedApril2013
Task
Railroad Protective
Services
Construction
Manual
Chapter*
Chapter 12-E
2008 Spec
No.
00170.01
(e)
SOW
Task
No
CE 2.4
Form No
Frequency
Rarely
Materials Stored on Hand

Authorization
Chapter 12-F
00195.60
CE 2.4
734-2600
As needed
Extra Work Performed on

a Force Account Basis
(EWO)
Chapter 12-G
Chapter 15
00140.60
CE 2.4
734-3208
734-3428
As Constructed Plans
Chapter 12-H
Weekly Statement of
Contract Time
Chapter 13
00180.50
CE 2.4
Suspensions of Work
Chapter 13
00180.70
CE 2.4
Project Delays
Chapter 13
00180.60
00180.80
CE 2.4
734-3320
As needed
Subcontract processing
Chapter 14
00180.20
CE 2.4
734-1395
734-2518
As needed
CE 5.2
734-3483
Depends
As needed
Change Order processing
Chapter 15
See Const.
Manual
CE 2.4
734-1169
As needed
Extra Work Order

processing
Chapter 15
See Const.
Manual
CE 2.4
734-3208
As needed
State Force Order

processing
Chapter 15
CE 2.4
734-1105
Shop/Working Drawing
Submittals
Chapter 16
Chapter 11
Commercially Useful
Function evaluation
Chapter 18
00150.35
CE 2.7
CE 2.4
734-2165
Agency PM Role

provisions for railroad protective services
are included. If determined that the
contractor is responsible for excess
flagging hours, process a negative price
adjustment.
Ensure material meets the requirements
in the Construction Manual. Complete a
source document to justify payment and
enter into CPS.
Prepare extra work order and document
work on Daily Force Account Records.
Approve monthly invoices supplied by
Contractor and enter into CPS.
As work progresses, maintain dirty
sheets to show work progress and
changes. This will help when preparing
the final As Constructed Plans
Complete form as outlined in the
Construction Manual.

as appropriate.
Determine need and authority level for

suspension. Coordinate suspension with
APM for any suspensions longer than 14
days.
Provide written notice to contractor
acknowledging receipt of the notice of
delay. Discuss ways to mitigate the delay
with the contractor.
Review the subcontract for completeness
and accuracy. Complete a Report on
Contractors Request for Subcontract
Consent.
Coordinate any approvals for

suspensions longer than 14 days.

as appropriate.
Contractor must make a written request for advance

allowance for materials five days prior to the pay period
cut-off date.
Approve and process extra work order.

as appropriate.
Used when a negotiated price cannot be reached on extra

work that was not included in the contract. There is also
an EWO workbook that will track all EWOs for the project
on the Construction Forms website.
There are links to specific guides within the SOW that
provide the requirements for as-built submittals. The
specific as-built requirements include: Roadway Plans,
Bridge Plans, Traffic Signal Plans, and Illumination.
Frequency is determined by how the Contract Time is
stated in the contract. If CCO modifies contract completion
date(s), this must be reflected on the form.
PM up to 14 days
AM 30 days
CAE more than 30 days
Assure as-built are prepared as

required.
Maintain copies in file.
Should be involved in discussions on

ways to mitigate delays.
Review forms to ensure that the

subcontracts are staying within
appropriate limits. Coordinate with
Contract Services and FHWA if
subcontracted amounts exceed limits.
Prepare change order documents (CCO,

EWO, SFO) and supporting
documentation. Obtains contractor
signature. Recommends approval.
Prepare extra work order and supporting
documentation. Recommends approval.
Recommends or approves change

order within delegated authority
As needed
Prepare State Force Order and

supporting documentation. Recommends
approval.
Recommends or approves extra work

order within delegated authority.
As needed
Coordinate reviews with professional(s) of

record and ensure reviews are returned to
contractor within allowed timeframes.
Maintain a log of all submittals.
Complete evaluation and submit the form
to the appropriate Civil Rights specialist.
Assist as needed.
Refer to
Const. Manual
General Remarks
Recommends or approves extra work

order within delegated authority.
Assist as needed.
The total amount of subcontracted work cannot exceed

70% of the original contract amount. If it does, special
approvals are required from FHWA. This does not include
change order work.
Form 734-1395 also comes in a workbook so that all
subcontracts for a project can be tracked in one file.
Do not share supporting documentation with the
contractor. Form 734-1169 also comes in a workbook so
that all change orders can be tracked in one file for a
project.
For extra work where price could not be negotiated with
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.
For work performed by forces other than the contractor.
Do not share with contractor. Form 734-1105 also comes
in a workbook so that all EWOs can be tracked in one file
for a project.
Chapter 11 of the Construction Manual indicates that the
process for working drawings should have been
determined during the pre-con.
Must be done for any DBE working on a project whether
or not the DBE is part of the DBE commitment.
Page5of8
UpdatedApril2013
Task
Summary Report of
Subcontractors Paid report
Construction
Manual
Chapter*
Chapter 18
2008 Spec
No.
SOW
Task
No
CE 2.4
Form No
Frequency
734-2722
Monthly
EEO Reports
Chapter 18
CE 2.4
731-0668
734-3858
Monthly
ODOT Apprentice/Trainee
Monthly Reports
Chapter 18
CE 2.4
734-0332
Monthly
ODOT Trainee Monthly

Progress Record
Chapter 18
CE 2.4
734-0504
Monthly
Certified Payroll Reviews
Chapter 19
CE 2.4
Wage Interviews
Chapter 19
CE 2.4
734-3475
Every six
months
Prevailing Wage
Complaints
Chapter 19
CE 2.3
734-2547
As needed
Construction Surveying
Chapter 20
Survey Markers
Chapter 20
Sources of Materials
Chapter 22
Buy America
Chapter 22
Material Quantities
Chapter 23
CE 2.4
Release of Retainage by
Subcontractor
Chapter 25
CE 2.4
Claims Against
Contractors Bond
Chapter 26
CE 2.4
As needed
Disputes and/or Claims
Chapter 27
CE
2.10
As needed
00150.15
00305.00
Monthly
CE 4.2
CE 2.4
As needed
00160.01
CE 2.4
00160.20
CE 2.4
Check
Construction
Manual
As needed
00140.40
00180.6080
00199.00
734-2126
734-2510
As needed
Contractor submits form to Construction
PM who submits a copy to the appropriate
Civil Rights Specialist.
Ensure that the contractor and each
subcontractor submit completed reports
by the 5th of each month. Forward
completed forms to appropriate Civil
Rights Specialist
Verify the hours against hours submitted
on certified payroll records. Forward to
appropriate civil rights specialist each
month.
Verify the hours against hours submitted
on certified payroll records. Forward to
appropriate civil rights specialist each
month.
Verify certified payroll is correct. If not
take steps outlined in Construction
Manual to correct deficiencies.
Interview random employees of any
contractor who worked on the project
within that period.
Investigate prevailing wage complaints.
Coordinate with the Office of Civil Rights
as appropriate.
This depends on who is doing the
construction surveying on the project.
Refer to the Construction Manual.
If survey markers are to be destroyed
during construction, complete Survey
Mark Report Form and submit to ODOT
Geometronics Unit.
Ensure Contractor complies with all
material source requirements as outlined
in the Construction Manual.
Ensure Contractor completes a Certificate
of Materials Origin before any iron or steel
are incorporated into the project. For steel
fabrication, schedule inspections with
ODOT Structure Services.
Verify and document material quantities
needed for the project.
Review submittals by Contractor, review
work of subcontractor to ensure their work
is complete. Submit to the Contract
Services Unit for processing as warranted
If PM receives request for payment
against a contractors bond, submit the
letter to the Contract Administration
Engineer.
Follow claims process outlined in
Specifications.
Agency PM Role
General Remarks
Assist as needed.
Assist as needed.
Assist as needed.
Assist as needed.
Assist as needed.
Civil Rights has a checklist for PMs and Contractors for

Certified Payroll reviews: Checklist
Assist as needed.
Assist with investigation as necessary.
Assist as needed.
Assist as needed.
Assist as needed.
Assist as needed.
Assist as needed.
Assist Construction PM as appropriate.
Assist as needed.
Assist with claims process.
If a third party neutral is warranted earlier in the project to

help resolve disputes. PM should contact Contract
Administration Engineer.
Page6of8
UpdatedApril2013
Task
Load Restrictions
Construction
Manual
Chapter*
Chapter 30
2008 Spec
No.
00150.60
SOW
Task
No
CE 2.4
Form No
Frequency
Periodically
Contractors Request for

Relief of Responsibility
Contractor Performance
Evaluation
Chapter 31
CE 2.4
734-2768
As needed
Chapter 34
CE 5.1
734-2469b
See remarks
Second Notification
Chapter 13
CE 5.1
734-3233
See remarks
As Constructed Plans
Chapter 37
CE 5.2
Civil Rights Notification
Chapter 18
Chapter 19
CE 5
Labor Compliance
Certification
Chapter 19
CE 5.4
Materials Remaining
Chapter 33
Contractors Construction
Process Feedback
Chapter 34
Final Inspection
Chapter 36
00150.90
CE 5.1
Final Acceptance
Chapter 36
00150.95
CE 5.1
Semi-Final RAS Review
Chapter 37
CE 5.4
Semi-Final Documentation
Chapter 37
CE 5.4
734-2706
Materials Certification
(Final)
Foreign Steel Summary
Chapter 37
CE 5.4
734-1979
Chapter 37
CE 5.4
734-1968
Quantity Ledger Report
Chapter 37
CE 5.4
Preliminary Progress
Payment Report
State Force Order Notice
of Completion
Chapter 37
CE 5.4
Chapter 37
CE 5.4
00195.80
CE 2.4
CE 5.1
734-1734
734-2469a
734-1384
Review weigh memos to determine load
limits are within legal limits. Resolve any
issues with overweight loads.
Review and complete ODOTs portion of
the form within seven days of receipt.
Complete evaluation and submit to
Contractor for review. If Contractor does
not submit within 15 days, submit copy to
ODOT Construction Section and the
Agency PM.
Process 2nd note when work has been
completed.
Agency PM Role
Assist as needed.
Assist as needed.
Ensure evaluations are occurring.
Review submittal for possible issues.

timely manner.
PHASE 3: BETWEEN SECOND NOTIFICATION AND THIRD NOTIFICATION

As needed
Submit marked up copy to the Region
Tech Center.
Once
Notify the Civil Rights Specialist when 2nd
Assist as needed.
Note is issued to they may determine if
any paperwork is missing prior to 3rd Note.
Once
Coordinate with the Civil Rights Specialist Assist as needed.
for a final review and acceptance of the
labor compliance documentation.
As needed
Determine reason for left-over materials
Assist as needed.
and take appropriate action as outlined in
the Construction Manual.
Once
Complete final performance evaluation
Ensure evaluation is completed.
(see above) and send a copy of 7342469a to contractor for their completion to
evaluation construction process.
Once
Within 15 calendar days of 2nd Note,
Participate in final review and
review project and notify the Contractor of inspection.
any remaining work.
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.
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.
Once
Complete the Semi-Final Checklist and
Review Semi-Final Checklist and
submit the checklist and appropriate
coordinate with Region Assurance
documents to the Region Assurance
Specialist to ensure that all
Specialist.
documentation has been submitted as
appropriate.
Once
Complete and submit with Semi-Final
See Semi-Final Documentation above
documentation.
Once
Complete, attach copies of completed
CMO forms and submit with Semi-Final
documentation.
Once
Submit latest report from CPS with SemiSee Semi-Final Documentation above
Final documentation.
Once
Include latest Preliminary Progress
Payment Report from CPS.
Once
Send an email message to the ODOT
Contract Services mailbox. Send a copy
to Agency PM. Include a copy in the
Semi-Final submittal.
General Remarks
No more than two forms can be submitted per month by

Contractor.
Process annually from NTP date for multi-year projects.
One final one within 60 days of 2nd Note. When completing
final evaluation also send the Contractors Construction
Process Feedback Form as detailed below.
Refer to 00180.50(h) in the Special Provisions. More than
one 2nd Note may need to be prepared if multiple dates
are shown in 00180.50(h).
Refer to Chapter 37 for all submittal requirements.

Specific forms and completion notices are shown below.
Lists all quality related price adjustments (both positive

and negative)
RAS will review and make comments as appropriate.

RAS will review and verify quantities.
Page7of8
UpdatedApril2013
Task
ROW Monumentation
Completion Notice
Construction
Manual
Chapter*
Chapter 37
2008 Spec
No.
SOW
Task
No
CE 5.4
Form No
Once
Complete PM Narrative as instructed in

the Construction Manual. Submit signed
copy by email to the ODOT Contract
Services mailbox and others as shown on
the distribution list.
Obtain a letter of acceptance from the
Local Agency as appropriate and include
with Semi-Final documentation. Submit a
scanned copy by email to the ODOT
Contract Services mailbox.
Submit all warranties and guarantees to
the appropriate District Maintenance
Manager. Submit a scanned copy by
email to the ODOT Contract Services
mailbox.
Assure Contractor is performing the
establishment work as required in the
Contract. Also assure that Contractor
payroll is submitted for plant
establishment period.
Issue 3rd Note.
CE 5.4
Local Agency Acceptance
Chapter 37
CE 5.4
Once
Warranties and
Guarantees
Chapter 37
CE 5.4
Once
Landscape Establishment
Chapter 39
CE 5.4
As required
Third Notification
Chapter 40
WOC Closeout
WOC Closeout
734-3233
Agency PM Role
Send an email message to the ODOT

Contract Services mailbox. Send a copy
to Agency PM. Include a copy in the
Semi-Final submittal.
Chapter 37
CE 5.1
Once
Project Managers
Narrative
00150.90
(b)
734-2756
Frequency
Once
Assist as needed.

timely manner.
PHASE 4: BETWEEN THIRD NOTIFICATION AND FINAL PAYMENT
See remarks
Not applicable.
Complete final Consultant Performance
Evaluation using the tracking tools used
for the project. Meet with the consultant
to review the evaluation with them.
Send the final copy to OPO.
Once
Not applicable.
Bundle all of the documentation for the
WOC and kept for three years. After
three years the documentation can be
shredded.
General Remarks
Also referred to as Plant Establishment in contract

documents. More than one 2nd Note may need to be
prepared if multiple dates are shown in 00180.50(h).
If WOC is multiple years, an evaluation must be

completed on an annual basis from the WOCs NTP date.
A final evaluation must be done during the WOC Closeout.
Documents should include tracking forms, invoices,

invoice tracking spreadsheet, etc.
Page8of8
UpdatedApril2013
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.
You can find an electronic version of the form at:
ftp://ftp.odot.state.or.us/techserv/construction/Construction%20Forms/2889.pdf
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 dont 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
1. Enter project name as shown on the Construction Contract.
2. Enter the contract number as shown on the Construction Contract.
3. Enter the highway or roadway name as shown on the Construction Contract.
4. Enter the federal aid number as shown on the Construction Contract under Class of Project.
5. Enter the Agency Project Managers name (ODOTs liaison on the project).
6. Enter the Construction Project Managers name.
7. Enter the Consultants firm name.
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.
Appendix B
Page 41 of 143
Updated April 2013
13. Enter the date that the Consultant was selected. In the remarks column, enter which
Consultant was selected and the reason for the selection of that particular Consultant.
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 isnt necessary, this should also be documented
here.
28. If a Project Partnered Workshop is held and a cooperative arrangement document is
prepared, identify the date the documentation is sent out to all participants.
Appendix B
Page 42 of 143
Updated April 2013
29. Enter appropriate information regarding the submittal of the Safety Questionnaire by the
Construction Contractor.
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.
31. Enter appropriate information regarding scheduling 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.
36. Enter appropriate information regarding finalization 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.
Appendix B
Page 43 of 143
Updated April 2013
48. Enter appropriate information regarding any subcontracts processed during the life of the
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
53. Enter appropriate information regarding any CUF interviews conducted during the life of the
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
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
58. Enter appropriate information regarding any wage interviews conducted during the life of the
59. Enter appropriate information regarding any Release of Retainage requests processed
necessary.
60. Enter appropriate information regarding any claims against a contractors bond processed
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).
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.
Appendix B
Page 44 of 143
Updated April 2013
64. Enter appropriate information regarding any claims submitted during the life 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.
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).
applicable.
Appendix B
Page 45 of 143
Updated April 2013
Appendix B
Page 46 of 143
Updated April 2013
Agency Project Manager Checklist

for Contract Administration / Construction Engineering
This form is intended to be filled out electronically to take advantage of adding cells for particular items (Change Orders, Subcontracts, etc.).
Project Information
FORM EXAMPLE
12345
Project Name (Section)
Contract No.
Main Highway
BHF-S001(069)
Highway
Federal Aid No.
John Jones
Maggie Smith
Agency PM
Project PM
7/1/2012
ABC Consultants Inc.

Consultant Name
12/31/2013
WOC Expiration Date
WOC Signed
Work Order Preparation

Completed
Yes
Item
No
N/A
Date
10
11
6/5/2012
6/30/2012
Develop Mini-RFP
12
13
14
Negotiate WOC with Consultant
15
6/15/2012
WOC Executed
16
17
7/1/2012
18
19
7/5/2012
Visit Project Site

Revise WOC Template for Project
Sent WOC to OPO for Processing
Select Consultant
Sent out WOC NTP

Held WOC Orientation Meeting
Remarks
(mm/dd/yyyy)
6/15/2012
Assigned to Joanne Mathews
6/15/2012
Met with Marion County and ABC Consultants to work out the details and
level of effort necessary for the work.
7/1/2012
Phone call meeting with Marion County and ABC Consultants to be sure
everyone knew things were ready to go.
Work Order Contract Administration

Completed
Yes
Item
Invoice # Reviewed & Processed:
12345
20
No
N/A
Date
For work performed through July 31, 2012

X
8/10/2012
For work performed through August 31, 2012
Invoice # Reviewed & Processed:
9/10/2012
13456
Structure Cost Data Sheet Review
Remarks
(mm/dd/yyyy)
21
22
734-2889 PM Checklist (12-2012)
http://www.oregon.gov/ODOT/HWY/CONSTRUCTION/hwyConstForms1.shtml
1 of 6
FORM EXAMPLE
12345
Contract No.
Phase 1 Between Bid Letting and First Notification
Completed
Yes
Item
Construction Engineering Budget
Finalized
No
N/A
Date
23
7/15/2012
Construction Contract NTP Received24
7/25/2012
25
26
7/25/2012
Public Works Bond Filed

Quality Assurance Plan Received
Cooperative Arrangement / Project 27

Partnering Workshop Session Held
Remarks
(mm/dd/yyyy)
7/31/2012
8/3/2012
Received notification from Lori Butler, Construction Section, that the

Contractor was not interested in activating this specification.
Cooperative Arrangement Document

28
Distributed
Safety Questionnaire Received
29
7/31/2012
Contractor Requested Steel Escalation

30
8/5/2012
Precon Scheduled
31
8/5/2012
Precon Held
32
8/20/2012
Precon Minutes Distributed
33
Haven't seen minutes. Email sent to John Jones (8/30/2012) to get a status
update on distributing the minutes.
Email sent to John Jones (8/30/2012) to get a status update on TOD
submittal.
TOD and Business Logo Documentation

34
Submitted
Project Schedule Reviewed
35
8/30/2012
Project Schedule Finalized
36
37
7/31/2012
Traffic Control Plan Submitted
Erosion and Sediment Control Plan

38
Submitted
7/31/2012
39
40
7/31/2012
41
42
9/10/2012
Pollution Control Plan Submitted

Material Sources Identified
First Note Issued
734-2889 PM Checklist (12-2012)
Contractor provided notification that they were not going to request steel
escalation/de-escalation for this project.
Meeting scheduled for 8/20/2012
Sent comments back to John Jones.
2 of 6
FORM EXAMPLE
12345
Contract No.
Phase 2 Between First Notification and Second Notification
Completed
Yes
Item
No
Date
N/A
Remarks
(mm/dd/yyyy)
43
8/30/2012
44
9/15/2012
10/15/2012
10/5/2012
11/5/2012
Test Summaries Completed

Progress Meeting Held:
Monthly Progress Estimate:
45
September 2012
October 2012
Price Adjustment:
46
47
Fabrication Inspection Completed

Subcontract:
Subcontract 1: ABC Flagging
48
Subcontract 2: Jackie's Testing
9/20/2012
9/202012
CCO:
CCO 1
49
10/10/2012
CCO 2
Change HMAC specs.
In signature process. Allows for construction of a drainage swale.
EWO:
50
51
SFO:
Working Drawing of Submittal (Identify):
52
CUF Evaluation:
ABC Flagging
53
10/5/2012
Jackie's Testing
Have not seen form for this subconsultant.
Submitted with invoice.
Submitted with invoice.
Summary Report of Subcontractors Paid Submitted to Civil Rights

September 2012
54
October 2012
10/5/2012
11/5/2012
EEO Reports Submitted to Civil Rights
55
Apprentice/Training Monthly Reports Submitted to Civil Rights
56
57
58
Certified Payroll Reviewed

Wage Interviews Conducted
Release of Retaining Processed (Subcontractor):
59
Claims Against Contractors Bond Received (Subcontractor):
60
734-2889 PM Checklist (12-2012)
3 of 6
FORM EXAMPLE
12345
Contract No.
Contractor Performance Evaluation Processed
61
62
Second Note
734-2889 PM Checklist (12-2012)
4 of 6
FORM EXAMPLE
12345
Contract No.
Phase 3 - Between Second Notification and Third Notification
Completed
Yes
Item
Final Inspection
No
N/A
Date
(mm/dd/yyyy)
Remarks
63
Claim Received (Identify Issue):
64
Plant Establishment Period (Identify Dates):
65
66
67
68
69
70
71
72
73
Plant Establishment Inspection
Civil Rights Notification

Labor Compliance Certification
Final Acceptance
Semi-final RAS Review
Materials Certification
Foreign Steel Summary
Quantity Ledger Report
74
Preliminary Progress Payment Repoort
75
State Force Order Notice of Completion
ROW Monumentation Completion
76
Notice
Project Manager's Narrative
77
Local Agency Acceptance Received 78

Warranties and Guarantees Sent to
79
District Maintenance Manager
Final Contractor Performance
Evaluation Processed
80
Third Note
81
82
734-2889 PM Checklist (12-2012)
5 of 6
FORM EXAMPLE
12345
Contract No.
Phase 4 Between Third Notification and Final Payment
Completed
Yes
Item
Final Consultant Performance
Evaluation
83
WOC Closed Out
84
No
N/A
Date
(mm/dd/yyyy)
Remarks
85
734-2889 PM Checklist (12-2012)
6 of 6
Appendix C
WOC Statement of Work and Delivery Schedule Template
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.
An electronic copy of the template can be found at:
Statement of Work and Delivery Schedule template
Appendix C
Page 53 of 143
Updated April 2013
Appendix C
Page 54 of 139
Updated April 2013
ADDENDUM to STATEMENT OF WORK AND DELIVERY SCHEDULE

Construction Contract Administration and Construction Engineering & Inspection (CA/CEI)
Project Name: ________________ (the Project)
Project Location: ________________
Local Agency:________________ [Delete if not applicable]
Price Agreement/Contract No.: ; WOC No.: ; Amendment No.:
Key No.:
Agencys Project Manager (APM)
for CA/CEI Phase
Name:
Address:
Phone:
Fax:
Email:
Name:
Phone:
Email:
Consultants Project Manager (PM)
[Enter name and contact info for LAL,

Construction Liaison or CPM
responsible for administration of the
consultant WOC/Contract for this
CA/CEI phase of the Project. APM
is used generically for this template
to mean Agencys Project Manager
for CA/CEI Phase.]
Alternate Contact for Agency

[this information is optional]
Name:
Address:
Phone:
Fax:
Email:
______@_____.com
Name:
Phone:
Email:
Alternate Contact for Consultant

[this information is optional]
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 Agencys
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.)
Delete instructions throughout the document before executing Contract/WOC or amendment as
follows:
From the Edit menu select Replace;
CA/CEI SOW Template 9/19/12
With cursor in the Find what field, click More button, then Format then Font , then in the font field
select Arial text ;
Leave the Replace with field blank;
Click Replace All. This will delete all yellow highlighted text.]
Table of Contents [Prior to executing contract/WOC, right-click in TOC, select Update Field, then
Update entire table]
A. PROJECT DESCRIPTION AND OVERVIEW OF SERVICES ................................................................ 3

B. STANDARDS and GENERAL REQUIREMENTS................................................................................. 3
C. REVIEW, COMMENT and SCHEDULE REQUIREMENTS................................................................. 5
D. FORMAT REQUIREMENTS................................................................................................................... 6
E. TASKS, DELIVERABLES and SCHEDULE .......................................................................................... 6
TASK CE-1 PROJECT MANAGEMENT ................................................................................................ 6
Task CE-1.1 Coordination...................................................................................................................... 6
Task CE-1.2 Status Reports and Invoices .............................................................................................. 7
Task CE-1.3 Structure Cost Data ........................................................................................................... 7
TASK CE-2 CONSTRUCTION CONTRACT ADMINISTRATION/CONSTRUCTION
ENGINEERING and INSPECTION (CA/CEI) ............................................................................................ 7
Task CE-2.1 Pre-Construction Conference ............................................................................................ 7
Task CE-2.2 Cooperative Arrangement (Partnering) [CONTINGENCY TASK, See SOW Sec. F] .... 8
Task CE-2.3 Quality Assurance & Contract Administration Plan (QA/CA Plan)................................. 8
Task CE-2.4 Construction Contract Administration .............................................................................. 9
Task CE-2.5 Monthly Preliminary Progress Estimates........................................................................ 10
Task CE-2.6 Project Progress Meetings............................................................................................... 11
Task CE-2.7 Shop Drawing and Submittal Review ............................................................................. 11
Task CE-2.8 Consultation during construction .................................................................................... 13
Task CE-2.9 Design Modifications [CONTINGENCY TASK, See SOW Section F] ....................... 13
Task CE-2.10 Claim(s) Support [CONTINGENCY TASK (see SOW section F)] ............................. 14
TASK CE-3 CONSTRUCTION, ENVIRONMENTAL COMPLIANCE AND WORK ZONE
MONITORING/INSPECTION................................................................................................................... 14
Task CE-3.1 Environmental Compliance and Mitigation Monitoring................................................. 15
Task CE-3.2 Construction Activity Monitoring................................................................................... 17
Task CE-3.3 Quality Control Monitoring (Field-Tested Materials) .................................................... 17
TASK CE-4 CONSTRUCTION SURVEYING ...................................................................................... 19
[Delete task language (or subtasks) and mark as RESERVED if not applicable to the project. ......... 19
TASK CE-5 PROJECT CLOSE-OUT ..................................................................................................... 24
Task CE-5.1 Final Inspection(s) and Submittals.................................................................................. 24
Task CE-5.2 As-Constructed Plans [Delete task language and mark as RESERVED if not
applicable to the project.] ........................................................................................................................ 25
Task CE-5.3 Structure Load Rating ..................................................................................................... 26
Task CE-5.4 Submittal of Final Project Documentation...................................................................... 28
E.1 PROJECT SCHEDULE............................................................................................................................ 28
F. CONTINGENCY TASKS....................................................................................................................... 29
ACRONYMS & DEFINITIONS .................................................................................................................... 30
BREAKDOWN OF COSTS FOR SERVICES............................................................................................... 32
A. PROJECT DESCRIPTION AND OVERVIEW OF SERVICES

[Use the following paragraph when adding CA/CEI via amendment]
The purpose of this Amendment is to add the Construction Contract Administration/Construction

Engineering and Inspection (CA/CEI) Services phase for the Project. The CA/CEI work is a new phase of
the Project, distinct from and in addition to the previous Project phases. This Amendment does not delete,
revise, or replace the tasks or requirements for the original statement of work (SOW) or any earlier
amendment for previous phases of the Project, unless otherwise specifically provided in this Amendment.
[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
B.
STANDARDS and GENERAL REQUIREMENTS
1.
Standards
Consultant shall complete the CA/CEI Services in accordance with ODOTs 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.
All Inspection work must be performed by Agency-certified Inspectors as required by the Agencys
Inspection Quality Assurance Program (IQAP). Consultants Agency-certified Inspectors shall diligently
monitor the work of the Construction Contractor (CC) in order to determine whether the Project is
constructed in compliance with the construction contract documents and any applicable current standards
and Agency manuals or procedures, including but not limited to those listed in the Price Agreement (PA)
OR Contract. All Quality Control (QC) monitoring tasks must be performed by individual(s) certified by the
Agencys Technician Certification Program.
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 PreConstruction Conference.
3.
ROLES AND RESPONSIBILITIES
Agency
The APM is Agencys primary point of contact for Consultant. The APM has the authority to review and
accept, or recommend acceptance of, all Consultant deliverables. The APM may distribute deliverables for
this phase of the work to appropriate Agency personnel for review and approval.
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.
Agency is responsible for the following:
Execution of Intergovernmental Agreements (IGAs) related to this Project
Attend Pre-Construction Conference
Material verification sampling and testing
Concrete and Asphalt mix design review
Providing a link to Agencys construction forms website and hardcopy forms as needed
Approving construction CCOs, EWOs and SFOs.
Approving requests for overrun or increase in Project authorization

Inspecting Project specific fabricated items [Delete or modify this task if Consultant will be
responsible for inspection of part or all of the Project-specific fabricated items]
All contact with Federal Highway Administration (FHWA) or other federal agencies
All contact with Native American Tribes
Reviewing and processing monthly pay estimates for construction contract through the ODOT
Contract Payment System (CPS)
Providing training to Consultant on web-based CPS program
Final Project acceptance
Providing access to Agency-owned Right of Way (ROW) and easements
Providing facilitator for Cooperative Arrangement (Partnering) if needed
Performing periodic quality, quantity and labor compliance documentation reviews
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 Consultants 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.]
Local Public Agency (LPA) is responsible for the following:
C.
Access to LPA owned ROW and easements

Attend Project meetings
Review and comment on progress submittals
Coordination with other outside agencies
Provide Consultant with existing Project information including As-Constructed drawings, pavement
typical sections, utility maps, etc.
Sign CCOs, EWOs, SFOs and Request for Increase/Overrun in Project Authorizations prepared by
Consultant prior to submittal to Agency for approval
Provide a Letter of Acceptance for Project at completion (per task 5.4)
REVIEW, COMMENT and SCHEDULE REQUIREMENTS

Throughout this Project, Consultant shall complete all tasks and deliverables in a timely manner to avoid
delays in the construction Project. Consultant shall provide written notice to Agency at the first sign of
delays caused by Agency, Consultant, CC, or any other entity.
Consultant shall notify APM immediately (within 2 business days) upon discovery of any changes in the
Project that may impact scope, schedule or budget.
Consultant shall submit all deliverables to APM or designee unless otherwise stated in specific tasks.
D.
E.
All deliverables are considered draft until reviewed and accepted by Agency. Consultant shall make
revisions to address Agency comments and submit revised deliverable(s) to APM within 5 business
days of receipt of Agency review comments, unless a different timeframe is stated in specific tasks or
otherwise agreed to in writing by Agency. If no revisions are necessary, the submittal will be
considered final.
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.
TASKS, DELIVERABLES and SCHEDULE
Unless specifically stated otherwise in a particular task, Consultant shall complete all tasks and provide all
deliverables (collectively, the Services) included in this SOW. Consultant shall provide all labor, equipment and
materials to manage, coordinate, and complete the work in accordance with the performance and delivery
schedules identified in this SOW.
Task Numbering: For purposes of standardization, task numbers in this SOW may be non-sequential due to
deletion of unneeded tasks from Agencys 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).
TASK CE-1 PROJECT MANAGEMENT
This activity is continuous throughout the duration of the Project. Consultant shall guide and direct the
overall processes and Consultants team in conformance with the Projects goals and objectives. Consultant
shall monitor progress of the Project.
Task CE-1.1 Coordination
Consultant shall provide leadership, direction and control of work tasks within the CA/CEI phase of this
Project.
Consultant shall:
Direct Consultants team with regard to overall Project activities and team meetings.
Maintain liaison, communication and coordination between Consultants 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).
Task CE-1.2 Status Reports and Invoices

Consultant shall prepare a Monthly Project Status Report to show progress throughout the duration of this Project.
The Monthly Project Status Report must:
Describe the previous months Project activities.

Describe the planned activities for the next month.
Identify any issues or concerns that may affect the SOW, Project schedule or budget.
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.]
Task CE-1.3 Structure Cost Data

Agency will prepare structure cost data sheets for the structure(s) and enter cost data on Agencys
computers. Agencys Bridge Program System Analyst may contact Consultant for reviews or clarifications
of structure cost data if needed.
Consultant shall provide any or all of the following if requested by Agency:
Review of structure cost data sheets (sent via email to Consultant)
Clarifications of structure cost information as requested by Agency via phone or email
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)
TASK CE-2 CONSTRUCTION CONTRACT ADMINISTRATION/CONSTRUCTION

ENGINEERING and INSPECTION (CA/CEI)
Consultant shall support the Projects needs by providing CA/CEI services required to ensure the
construction of the Project is completed according to the Plans and Specifications for the Project.
Consultant shall engage the Professional of Record (POR) as required to provide engineering services
required to administer design changes that may become necessary during the construction phase of the work.
Task CE-2.1 Pre-Construction Conference
Consultant shall prepare for and lead the Pre-Construction Conference according to Oregon Standard
Specification for Construction (Standard Specifications) Section 00180.42 (current version in effect during
CA/CEI phase for this Project), and the ODOT Construction Manual, Chapter 11 Before On-Site Work
Begins. Attendees will include the CC, APM, LAPM, permitting agencies, local officials and others as may
be appropriate to discuss the construction schedule, utility involvement, permit concerns, required
documentation submittals, materials, construction surveying [delete if conducting separate pre-survey
meeting as part of task 4.1], and other items relevant to the construction of the Project.
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
Task CE-2.2 Cooperative Arrangement (Partnering) [CONTINGENCY TASK, See Sec. F]
[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 Agencys
Partnering Consultant to schedule a formal Cooperative Arrangement (Partnering) session at an agreed upon
time prior to the Pre-Construction Conference. Consultant shall:
Schedule the Cooperative Arrangement session.

Work with Agencys Partnering Consultant to build agenda.
Attend and participate in the Cooperative Arrangement session.
Follow through with any commitments made at the Cooperative Arrangement session.
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 Consultants certified quality assurance
8
and construction inspection personnel and the personnel responsible for each of the major constructionrelated 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.
Task CE-2.4 Construction Contract Administration
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 Inspectors 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 Agencys 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:
Issue First Notification when on-site construction work begins.

Monitor overall Project budget and costs included in the Project Authorization as outlined in the ODOT
Construction Manual, Chapter 5 Project Authorization.
Monitor and evaluate the construction schedule to determine whether the CC is proceeding in a manner
to ensure timely Project completion in conformance with the construction contract documents.
Review Contractors Request for Subcontract Consent (form 734-1964), prepare the PMs Report on
Contractors Request for Subcontract Consent as outlined in the ODOT Construction Manual, Chapter
14 Subcontracts, and review and approve CCs request for rental of operated equipment as outlined in
Chapter 14 Subcontracts.
Perform Equal Employment Opportunity (EEO) and Labor Compliance monitoring as required by the
construction contract and the ODOT Construction Manual. Tasks include, but are not limited to:
o Receive and review weekly certified payrolls from the CC and all subcontractors to ensure
payment of prevailing wages, as outlined in the ODOT Construction Manual, Chapter 19 Labor
Compliance.
o Receive and review of Subcontractors Paid Summary Reports as outlined in the ODOT
Construction Manual, Chapter 18 Affirmative Action.
o Receive and review CCs EEO, DBE, and OJT/Apprenticeship compliance reports, if required, as
outlined in the ODOT Construction Manual, Chapter 18 Affirmative Action.
o Conduct employee interviews, owner-operator checks, and Commercially Useful Function (CUF)
reviews on all DBE subcontractors as outlined in the ODOT Construction Manual, Chapter 19
Labor Compliance.
Deliverables
First Notification Issue when on-site construction work begins. Distribute original and copies per
distribution list on Agencys 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.
Contractors Request for Subcontract Consent Review and prepare a Project Managers Report on
Contractors 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 CCs 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.
Task CE-2.5 Monthly Preliminary Progress Estimates
Consultant shall prepare and enter all source documents as paynotes into the monthly preliminary progress
estimate using the Agencys Contract Payments System (CPS) for CCs 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 CCs 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.
10
Task CE-2.6 Project Progress Meetings

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:]
Concrete Deck Placement

Drilled Shafts
HMAC Paving
Hazardous Materials Handling
Mitigation Planting
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.
Task CE-2.7 Shop Drawing and Submittal Review
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:
11
Maintain 1 of the as-submitted copies in the Project files.

Conduct review and prepare 5 mark-up/comment copies of the shop drawing. Stamped Drawings must
be signed and dated by the POR and marked as either RV = Reviewed, or RVC = Reviewed with
Comment. Unstamped Drawings shall be marked as AP = Approved, AX = Approved as Noted, or RC =
Returned for Correction.
Include construction contract number on all shop drawings.
Consultant shall review the following submittals as required using the guidelines in ODOTs Construction
Manual, Chapter 16 Working Drawings, the ODOT Guide to Electronic Shop Drawing Submittal, and the
Standard Specifications Section 00150.35:
[Add or delete items in the following list as individual project requires:]
Traffic control plans
Erosion control plans
Pollution control plans
Quality control plan and personnel
Construction schedules (baseline and monthly updates)
Machine control survey submittals

Drainage structures (manholes and inlets) shop drawings
Work containment plans and systems
Bridge removal plans
Shoring and falsework calculations and drawings
Reinforcing steel shop drawings
Prefabricated steel shop drawings
Prefabricated concrete shop drawings
Pile and driving equipment submittal
Bridge rail and protective fencing shop drawings
Retaining wall calculations and drawings
Sign bridge shop drawings
Drilled shaft submittals
Lighting pole and traffic signal pole submittals
Blue or green sheet submittals for traffic signal or electrical equipment and materials
Landscaping and irrigation submittals
Others as required by construction contract specifications
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)
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)
Files Retained by Consultant:

Consultant shall maintain files of all reviewed shop drawing submittals according to the retention period set
forth in the terms and conditions of the PA Contract. ODOT may request these files at any time during the
retention period. Consultant shall provide the files to ODOT within 14 calendar days of the request.
Task CE-2.8 Consultation during construction
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.
Upon request of the CC or Agency during construction, Consultant shall:
Clarify construction contract documents.
Respond to field inquiries.
Engage the services of the POR on all matters involving design changes.
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 Consultants 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.
Task CE-2.9 Design Modifications [CONTINGENCY TASK, See SOW Section F]
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
13
Work Performed on a Force Account Basis. Change Orders may include, but are not limited to, modification
to the plans, specifications, and contract time.
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)
TASK CE-3 CONSTRUCTION, ENVIRONMENTAL COMPLIANCE AND WORK ZONE
MONITORING/INSPECTION
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 CCs 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.
Consultants Inspectors must be certified prior to commencement of any on-site work by the CC.
14
If circumstances occur that prevent the use of a Certified Inspector, Consultant may assign specific tasks to a
non-certified individual. Refer to the IQAP for a list of limited duties that may be performed by noncertified personnel.
Following are the ODOT Inspector Certifications required for Inspectors:
Certified Bridge Construction Inspector (CBCI)

Certified Environmental Construction Inspector (CECI)
Certified Traffic Signal Inspector (CTSI)
Certified General Inspector (CGI)
Certified Hot Mixed Asphalt Concrete Inspector (HMAC)
Certified Drilled Shaft Inspector (CDSI)
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:
Permit compliance during construction

Temporary Traffic Control measures
Erosion Control installation and maintenance
Turbidity Monitoring (if required)
Consultant shall monitor the CC to ensure the following deliverables are completed and submitted to
Consultant, if required by the construction contract documents:
Temporary Protection and Direction of Traffic (TP&DT) Reports

Erosion Control Monitoring Reports
Turbidity Monitoring Reports
Material Daily Progress Reports
Task CE-3.1 Environmental Compliance and Mitigation Monitoring

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 Projects 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.
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, Consultants 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. Consultants 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.) Consultants 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
16
Project Photography / Photo Logs Submit with reports (when applicable) and final Project
documentation as defined in task 5.4.
Task CE-3.2 Construction Activity Monitoring

Consultant shall monitor construction activities during construction of the Project utilizing Agency-certified
Inspectors. Consultant shall provide inspection concurrently with the CCs 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
Consultants 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 Consultants
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.
CCs EEO/DBE and OJT/Apprenticeship reports, if required Submit as required by construction
contract.
Task CE-3.3 Quality Control Monitoring (Field-Tested Materials)
Consultant shall monitor the CCs 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.
17
Agency staff will perform the verification and IA testing; it is not a Consultant task under this SOW.
Consultant shall monitor the CCs QC Program. One or more Consultant staff shall perform the QCCS
functions as defined in the QCCS Handbook and the Agencys 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 Agencys
Technician Certification Program for the specific tests being monitored.
Following are the approved Technician Certifications currently in place:
Certified Aggregate Technician (CAgT)

Certified Embankment and Base Technician (CEBT)
Certified Density Technician (CDT)
Certified Asphalt Technician I (CAT-I)
Certified Asphalt Technician II (CAT-II)
Certified Mix Design Technician (CMDT)
Quality Control Technician (QCT)
Concrete Control Technician (CCT)
Concrete Strength Testing Technician (CSTT)
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 CCs 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 ODOTs 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 Agencys 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 CCs QC test results to ODOTs verification test results to ensure they are within IA
parameters.
Work with APM to resolve any discrepancies between CCs QC test results and the ODOT verification
test results.
Prepare quality price adjustments as necessary for materials.
Deliverables:
18
Field-Test Summaries and other Project field-tested materials quality documentation - Make available
for Agency review throughout the Project. Submit originals to Agency with final Project documentation
per task 5.4.
TASK CE-4 CONSTRUCTION SURVEYING

[Delete task language (or subtasks) and mark as RESERVED if not applicable to the project.
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):
ORS Chapter 92 - Subdivisions and Partitions

ORS Chapter 93 - Conveyancing and Recording
ORS Chapter 209 - County Surveyors
ORS Chapter 672 - Professional Engineers; Land Surveyors; Photogrammetrists; Geologists
Consultants 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 Contractors
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 Preconstruction 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 CCs 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.
19
Perform QA review of CCs field survey work. Provide memo indicating dates and times the survey field
checks of CCs 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 PreConstruction 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 Preconstruction 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.
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.
Deliverables [Double-click checkbox(s) below to select applicable distribution option(s).]
Submit the deliverables below to CC and APM (required for projects on or connected to an ODOT
facility).
Submit the deliverables below to CC and the LAPM. Provide via email a copy of transmittal letter to
APM.
21
Calculations, survey drawings and grade reports for layout and control of the work - Submit
electronically at least 2 business days prior to staking a specific element. Keep copies in PM project file.
If required by APM, hard copies shall be provided.
Staking reports (field notes, cut sheets, and survey drawings) for the specific items laid out - Submit
electronically within 24 hours after staking of the specific element is complete. If required by APM, hard
copies shall be provided.
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 surveyors 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.
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.
ASCII File of located monuments with monument point numbers and coordinates and any other
electronic files (such as .fwd, .alg, ASCII, etc.) created or produced for the Project documenting
Monumentation surveying - Submit within 2 weeks after recording of the survey filing map (SFM) with
the appropriate County Surveyor's office.
Original field notes and 1 electronic .pdf copy - Submit within 2 weeks after recording of the SFM with
22
Task CE-4.4
Right of Way Monumentation
[For every project, it must be known whether or not R/W will be purchased. If New R/W is purchased
for a project then this 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 document the location of the ROW lines at the completion of the Project construction.
Consultant shall perpetuate the location of the monuments found prior to construction and shall document the
ROW lines for all property acquired for the Project.
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
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.
Task CE-4.5 Monumentation Survey Filing Map (SFM)

[ 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)
23
Consultant shall submit the survey to the appropriate county for filing on archival Mylar or acceptable media
per county requirements.
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).]
Final recorded SFM and narrative regarding methodologies used Submit within 2 weeks after
recording of the SFM with the appropriate County Surveyor's office.
TASK CE-5 PROJECT CLOSE-OUT

Consultant shall complete interim and final on-site inspections and submit all Project records required for
final payment and project acceptance.
Task CE-5.1 Final Inspection(s) and Submittals
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.
24
Deliverables:
Second Notification - due within 2 business days of completion of on-site work. Distribute original and
copies per distribution list on Agencys Second Notification Form.
Recommendation of Project Acceptance - Submit original to APM upon completion of final inspection
per Construction Manual Chapter 36.
Project Managers Narrative Form. Due after claims expiration date, but prior to Third Notification
Third Notification due within 2 business days of completion of all construction contract work.
Distribute original and copies per distribution list on Agencys Third Notification Form.
Prime Contractor Performance Evaluation and Contractor Construction Process Feedback forms
Submit to CC annually, and within 60 calendar days of issuance of second notification. Original signed
forms to Agency upon receipt from CC. If CC does not sign and return, submit unsigned forms to
Agency within 15 calendar days of sending to CC.
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/apr2011_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 Consultantprepared 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.
Deliverables & Schedule
(All deliverables due within 30 calendar days of issuance of Third Notification)
In addition to the deliverables listed below, Consultant shall submit paper format of as-constructed mark-ups
to APM (if requested) for Tech Center reviews when projects are 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.]]
25
Bridge Plans (required for all ODOT and LPA bridges): Consultant shall submit as-constructed plans as
follows:
1. Electronic files: MicroStation file and PDF file output that shows all red-line as-constructed markups
of plan sheets Follow the file naming convention required in the Bridge Design and Drafting Manual (linked
above), Section 2.1.3.4 (pages 2-4).
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 Bridge folder using
the ODOT key number for the subfolder name. Place the MicroStation and PDF files in the key
number folder.
Send email notification to APM, LAPM (if applicable) and to bridge@odot.state.or.us after placing
files on FTP site (include link to applicable FTP subfolder in email).
2. 24 inch x 36 inch Mylar plan sheets stamped and signed showing hand drafted as-constructed markups Submit 1 set to ODOT Bridge Section (4040 Fairview Industrial Dr SE MS#4; Salem, OR 973021142).
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.
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.
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).
Task CE-5.3 Structure Load Rating
[DELETE TASK AND REPLACE WITH RESERVED IF PROJECT DOES NOT INCLUDE A STRUCTURE]
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
26
Rating Procedures. LRFR is a statistically-based, more accurate and defensible load rating than the previous
method, now referred to as the Tier-1 Load Rating Procedures. The applicability of the Tier-2 Load Rating
Procedures (as detailed in the ODOT LRFR Manual) is determined by the availability of calibrated liveload
factors and the ongoing development of procedures for specific structure types.
[1. Refer to this Load Rating Procedure Flowchart http://www.oregon.gov/ODOT/HWY/BRIDGE/docs/LRFLOW_07.pdf
to determine which method is appropriate for a specific structure.
2. Then choose the appropriate option below and delete the other option.]
[OPTION 1: Tier 1 Load Rating]
Due to the lack of availability of liveload factors for the bridge on this Project, Consultant shall perform load
ratings in conformance with the procedures and software specified in the ODOT Tier-1 Load Rating Manual
(current edition at time load rating work is performed), including all reference standards incorporated into
the manual in section 1.1.1.
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 asconstructed 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.
[OPTION 2: Tier 2 Load Rating]
Based on the availability of liveload factors for the bridge on this Project, Consultant shall perform load
ratings in conformance with the Tier-2 procedures and software specified in the ODOT LRFR Manual
(current edition at time load rating work is performed), including all reference standards incorporated into
the manual in section 1.3.1.
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 asconstructed 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.
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.
Task CE-5.4 Submittal of Final Project Documentation

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 Agencys 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 Agencys 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 Agencys RAS within 14 calendar days after plant
establishment work.
E.1 PROJECT SCHEDULE

Schedule Assumptions
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 1year 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 __________.
28
Regardless of the schedule for deliverables identified in specific tasks, all tasks and deliverables except
Claims Support (if applicable) must be completed no later than ________. [Make sure expiration date of
the WOC/Contract is at least 6 months later than this completion date for all deliverables]
[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 Consultants invoice.
Table 2--Contingency Task Summary (Revise to reflect contingency tasks identified in the SOW)
MAX
METHOD CONTINGENCY
CONTINGENCY TASK DESCRIPTION (UNIT)
NTE
QUAN.
OF
COMP.
NTE AMOUNT
Task 2.2 Cooperative Arrangement

(Partnering)
Task 2.9 Design Modifications
__
Task 2.10 Claims Support
__
29
Task 4.2Construction Survey and Staking

Task 4.3 Relocate, Recover and Reference
Monuments
Task 4.4 Right of Way Monumentation
Task 4.5 Monumentation Survey Filing Map
$
$
1
1
__
__
$
$
$
$
1
1
__
__
$
$
Total NTE For All Contingency Tasks:
$__________
ATTACHMENT A
ACRONYMS & DEFINITIONS
AASHTO
Acceptance
Agency/ODOT
APM
CA
CA/CEI
CAgT
CAT I
CAT II
CBCI
CC
CCO
CCT
CE
CEBT
CECI
CDSI
CDT
CGI
Change Order
CMDT
CPS
CSTT
CTSI
CUF
DBE
DRR
EEO
EWO
FHWA
FIR
HMAC
American Association of State Highway and Transportation Officials

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.
Oregon Department of Transportation
Agencys Project Manager
Contract Administrator
Contract Administration/Construction Engineering and Inspection
Certified Aggregate Technician
Certified Asphalt Technician I
Certified Asphalt Technician II
Certified Bridge Construction Inspector
Construction Contractor
Contract Change Order
Concrete Control Technician
Certified Embankment and Base Technician
Certified Environmental Construction Inspector
Certified Drilled Shaft Inspector
Certified Density Technician
Certified General Inspector
Contract Change Orders (CCO), Extra Work Orders (EWO) and State Force Orders
(SFO)
Certified Mix Design Technician
ODOT Contract Payment System
Concrete Strength Testing Technician
Certified Traffic Signal Inspector
Commercially Useful Function
Disadvantaged Business Enterprises
Documentation Review Report
Equal Employment Opportunity
Extra Work Order
Federal Highway Administration
Field Inspection Report
Certified Hot Mixed Asphalt Concrete Inspector
30
IA
IGA
Inspector
IQAP
LAPM
LPA
LRFD
NTE
NTP
OCR
OJT
ORS
PA
PE
PM
POR
QA
QAC
QA/CA Plan
QC
QCCS
RAS
RFI
RFP
ROW
SFM
SFO
SOW
Standard
Specifications
TP&DT
WOC
WYDOT
Independent Assurance
Intergovernmental Agreement
Representative of Consultant, with appropriate certifications, authorized to inspect and
report on construction contract performance.
Inspection Quality Assurance Program
Local agency project manager
Local Public Agency
Load and Resistance Factor Design
Not to Exceed
Notice to Proceed
ODOT Office of Civil Rights
On-the-Job Training
Oregon Revised Statutes
Price Agreement
Preliminary Engineering
Consultants Project Manager
Professional of Record
Quality Assurance
Quality Assurance Coordinator
Quality Assurance & Contract Administration Plan
Quality Control
Quality Control Compliance Specialist
Region Assurance Specialist
Request for Information
Request for Proposal
Right of Way
Survey Filing Map
State Force Order
Statement of Work
Oregon Standard Specification for Construction - current version in effect during
CA/CEI phase for this Project
Temporary Protection & Direction of Traffic
Work Order Contract
Wyoming Department of Transportation
31
ATTACHMENT B
BREAKDOWN OF COSTS FOR SERVICES
(Use Current BOC or BOC-NBR form, as applicable, available at:
http://www.oregon.gov/ODOT/CS/OPO/pages/AE.aspx#Forms)
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).
Delete optional language below that is not used.
[Option 1- BOC and Rates are separate files]
The Breakdown of Costs (BOC) dated [________] is not physically attached but incorporated into this
WOC Amendment with the same force and effect as though fully set forth herein. A Copy of the final BOC
has been provided to Consultant prior to WOC execution.
[Option 2 Copy and paste below]
The Breakdown of Costs (BOC) is inserted below:
32
Appendix D
OPO Form Examples
The following documents are completed examples of forms required for a WOC request through
OPO. You would want to complete the documents and send them to the ODOT Personal
Services Contract Requests mailbox (PersonalServicesContract@odot.state.or.us).
The forms included are:
Personal Services Request Request form for OPO to begin work on authorizing work
order contract with Consultant.
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.
Record of Negotiations this provides documentation regarding the negotiations

regarding tasks and level of effort required to complete the work. There are instructions
included in the master file to assist with completing the Record of Negotiations.
All of these forms must be completed prior to and included with the request when submitted to
OPO for the WOC assignment.
Appendix D
Page 87 of 143
Updated April 2013
Appendix D
Page 88 of 143
Updated April 2013
ODOT PERSONAL SERVICES

REQUEST
INSTRUCTIONS: Requestor e-mails electronic copy of all request materials to ODOT Personal Services Contract
Requests. Requestor certifies that all required approvals have been obtained.
REQUIRED INFORMATION
Project Manager/Requestor: Persons 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.
Project Title: As appropriate

Requested Service: (Check all that apply)
Mini-solicitation
RFP Project Specific
RFP Price Agreement
Project Specific Contract
Direct Appointment
Price Agreement
WOC
Amendment
Funding Source(s): (Check All That Apply)
FRA
NHTSA
FTA
FHWA
For PA/WOC/Contract/Amendment requests:

PA/Contract #
WOC #
Amendment #
Consultant Contact Information (for Direct Appt and Amendments)
Name:
Telephone:
Email:
State
ODA
Other (Please identify)

Proposed Expiration Date: Enter anticipated work completion
date.
For DOJ Legal Sufficiency:
EA Project Specific SUBJOB
ACTIVITY CODE
Proposed Execution Date: Enter the date work should start

Federal Aid Number (if applicable): Project Specific
Estimated Contract Not to Exceed Amount: $Enter amount listed
on the BOC
Is there a PD-02 Exception Letter for PSK work?
Yes
Key Number (if applicable): Project Specific
No
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
Project Overview
Evaluation Criteria
RFP Exhibits
Insurance Requirements
Statement of Work or Menu of Services
IRR/Business Case Study Approval (IT Only, if applicable)
SEIU Feasibility Study and Union Notification (if applicable)
Legislative Involvement Explanation
PA/Contract/WOC Requests
Project Overview
Insurance Requirements
Statement of Work or Menu of Services
IRR/Business Case Study Approval (IT Only, if applicable)
Internal Estimate
Pre-negotiation Plan (PNP)
Record of Negotiation (RoN)
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

(ORS 279B.030-279B.036)(A & E/Related Services Not Required)
Information System Dev. Standards, Encryption Standards,

Information Asset Handling Req. (if applicable)
Jun 2012
Amendments
Statement of Work or Menu of Services (if applicable)
Internal Estimate
Pre-negotiation Plan (PNP)
Record of Negotiation (RoN) (if applicable)
Appendix D
Page 90 of 143
Updated April 2013
$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
150.00%
0.30%
% of Total NonContingency Labor

Costs
Job Classification
(Individual )
$0.00
$0.00
$0.00
GRAND TOTAL CALCULATION SECTION
Cost + Profit
Job Classification
(Individual )
$0.00
$0.00
$0.00
CALCULATION SECTION
Profit
Job Classification
(Individual )
$0.00
$0.00
$0.00
Project Summary
Certification: Not Certified
Direct Expenses
Job Classification
(Individual )
Task #
Direct Salary Rate (Avg, Actual, Max) Current Year $100.00

Annualized Direct Salary Rate (OR enter Negotiated Billing Rate) $104.54
Fully Burdened Billing Rate $285.19
Job Classification
(Individual )
5. Task Numbers and Names

Info comes from the negotiated Statement of Work.
Job Classification
(Individual )
Job Classifications
(Individuals' names are optional)
Job Classification
(Individual )
DATA ENTRY SECTION
Grey cells are section dividers

(no data entry unless specified)
Job Classification
(Individual )
4. Annualized Direct Salary Rate

Calculates the direct salary rates with escalation for
multi-year contracts. If Consultant uses Negotiated
Billing Rates, manually enter the negotiated billing
rate instead.
15. Certification
Click the cell for drop-down lists
to select appropriate certification
status.
FCCM
[Enter Prime Consultant's Name]
Green cells have formulas

Overhead
Yellow cells are for data entry
BOC Requirements
Hours
150.00%
0.30%
9.00%
4.50%
Profit
Accepted Overhead
FCCM
Negotiated Profit
Annual Escalation Rate
Total Cost
Cell Color Legend
20.00%
60.00%
20.00%
0.00%
1.045
Direct Expenses
% of budget in Current Year (CY)

% of budget in CY+1
% of budget in CY+2
% of budget in CY+3
Weighted Escalation Factor
Additional information regarding BOC is available at the link below:
14. Direct Expenses

Enter total estimate of direct expenses for each task
or subtask. Show detailed breakdown of direct
expenses on separate worksheet.
FCCM
PA/ATA or Contract Num: #####

WOC Num: ##
PROJECT NAME: [Enter Project Name]
17. Total Cost + Profit

The total estimated cost + profit is the
basis for the contract's Not To Exceed
amount for Time & Materials contracts
and Fixed Fee contracts.
Total Cost
MULTIPLIERS
Overhead
Dated: [enter date of final]
Job Classification
(Individual )
3. Direct Salary Rate for Current Year

Direct rates must not exceed the maximum direct
rates on Consultant's approved Escalated Salary
Rate Schedule. If Consultant uses Negotiated
Billing rates, enter zero.
Breakdown of Costs -
16. Total Profit

The total estimated profit can be
used as the basis for negotiating
the fee on Cost Plus Fixed Fee
contracts.
13. Profit for Escalated Billing Rates

ODOT negotiates profit rate with the Prime
Consultant. The same profit rate is applied to Prime
and all subconsultants under the contract.
Job Classification
(Individual )
2. Job Classifications
Job classifications come from Consultant's currently
approved Escalated Salary Rate Schedule or
Negotiated Billing Rate schedule.
Escalated Direct
Labor or NBR $
1. Contract Numbers and Project Name

Info comes from Project Specific Contract or Work
Order Contract.
12. Multipliers for Escalated Billing Rates

Obtain current Overhead and FCCM rates from
ODOT Procurement Office. Overhead and FCCM
rates are specific to the Prime or sub.
11. Multipliers for NBR

For Primes or subconsultants using
Negotiated Billing Rates, enter zero for
ALL the multipliers.
10. Multipliers for Escalation

If current phase of contract covers multiple years,
enter the estimated percentage of work to be
completed for each year.
Escalated Direct
Labor or NBR $
9. Enter Date of Final

BOC
After negotiations are
complete, enter date of
final agreed to BOC.
Hours
Go to BOC
9.00%
NON-CONTINGENCY TASKS/DELIVERABLES
1
Subtask name
1.2
Subtask name
1.3
Subtask name
1.4
Subtask name
7. Contingency Tasks/Deliverables
Estimated costs for Contingency Tasks must be
separate from estimated costs for
Non-contingency tasks (also called Required
T k )
8. Deleting rows and columns on spreadsheet
Recommend hiding rows and columns that are not
needed instead of deleting. If deleting
rows/columns, make sure applicable subtotals and
totals still calculate correctly.
40
Hours/Task
TASK 1 NAME
1.1
TASK 2 NAME
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%
10
10
1,045
1,568
$ 100
2,717
235
10
1,045
1,568
100
2,717
235
2,952
25.0%
10
10
1,045
1,568
2,617
235
10
1,045
1,568
2,617
235
2,852
25.0%
10
10
1,045
1,568
2,617
235
10
1,045
1,568
2,617
235
2,852
25.0%
10
10
1,045
1,568
2,617
235
10
1,045
1,568
2,617
235
2,852
25.0%
$ -
0.0%
$ -
0.0%
2.1
$ -
2.2
$ -
0.0%
2.3
$ -
0.0%
0
40
$
$
4,182
$
$
6,272
$
$
13
$
$
100
$
$ 10,567
$
$
941
$
$
11,507
0.0%
2.4
TOTAL Non-Contingency
40
0
40
$
$ 4,182
$
$ 6,272
$ $ 13
$ 100
$
$ 10,567
$
$
941
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
100
$ 10,454
$ 15,681
31
$ 100
$ 26,266
2,352
100
$ 10,454
15,681
31
100
$ 26,266
2,352
28,619
$ -
$ -
$ -
$ 10,454
15,681
31
100
$ 26,266
2,352
28,619
$ 14,636
21,954
44
200
$ 36,833
3,293
40,126
CONTINGENCY TASKS/DELIVERABLES
C1
CONTIGENCY TASK NAME 1
C1.1
Subtask name
C1.2
Subtask name
C1.3
Subtask name
C1.4
Subtask name
Hours/Task
6. Level of Effort
Enter estimated number of labor hours for each Job
Classification for each subtask (yellow cells). The
task totals will calculate automatically (green cells).
100
TOTAL Contingency
TOTAL Non-Contingency + Contingency
100
140
100
$ 10,454
$ 15,681
31
$ 100
$ 26,266
2,352
$ 140
$ 14,636
$ 21,954
44
$ 200
$ 36,833
3,293
100
140
WOC #XX, ATA #XXXX

(BOC version 10/7/08
Summary Breakdown of Costs

PA/ATA or Contract Number: #####
WOC Number: ##
Total Non-Contingency Hours
Total Non-Contingency Labor Costs
Total Non-Contingency Direct Expenses
Total Non-Contingency Costs
Total Non-Contingency Profit
Total Non-Contingency Cost + Profit
Total Contingency Hours

Total Contingency Labor Costs
Total Contingency Direct Expenses
Total Contingency Costs
Total Contingency Profit
Total Contingency Cost + Profit
$
$
$
$
$
20
2,386.63
2,386.63
190.68
2,577.30
0
$
$
$
$
$
Appendix D
Page 94 of 143
Updated April 2013
% of Total NonContingency Labor

Costs
Cost + Profit
Profit
0.00%
Total Cost
0.00%
Direct Expenses
$0.00
$0.00
$0.00
FCCM
$0.00
$0.00
$0.00
Overhead
$0.00
$0.00
$0.00
Escalated Direct
Labor or NBR $
$0.00
$0.00
$0.00
Hours
$0.00
$0.00
$0.00
Profit
$0.00
$0.00
$0.00
GRAND TOTAL CALCULATION SECTION
Total Cost
$0.00
$0.00
$0.00
FCCM
$0.00
$0.00
$0.00
Overhead
$0.00
$0.00
$0.00
Escalated Direct
Labor or NBR $
$0.00
$0.00
$0.00
Hours
Job Classification
(Individual )
Job Classification
(Individual )
0.00%
Job Classification
(Individual )
0.00%
Job Classification
(Individual )
0.00%
Job Classification
(Individual )
$0.00
$0.00
$0.00
Job Classification
(Individual )
$0.00
$0.00
$0.00
Job Classification
(Individual )
$0.00
$0.00
$0.00
Project Summary
Not Certified
CALCULATION SECTION
Job Classification
(Individual )
$0.00
$0.00
$0.00
Press ctrl+s to add subconsultants

Press ctrl+t to add tasks.
Press ctrl+m to add contingency tasks.
Certification:
DATA ENTRY SECTION

Job Classification
(Individual )
$0.00
$0.00
$0.00
AddSubs&Tasks
These values will be zero if a firm uses

Negotiated Billing Rates (NBRs);
otherwise, use applicable Overhead,
FCCM, and escalation at 4.5%.
0.00%
0.00%
0.00%
0.00%
Job Classification
(Individual )
$0.00
$0.00
$0.00
Accepted Overhead
FCCM
Negotiated Profit
Direct Expenses
10.00%
50.00%
40.00%
0.00%
1.000
[Enter Subconsultant's Name]
Not Certified
Profit
$0.00
$0.00
$0.00
FCCM
$0.00
$0.00
$0.00
Overhead
$0.00
$0.00
$0.00
Escalated Direct
Labor or NBR $
$0.00
$0.00
$0.00
Hours
Job Classification
(Individual )
Job Classification
(Individual )
Job Classification
(Individual )
Job Classification
(Individual )
Job Classification
(Individual )
Job Classification
(Individual )
8.00%
Job Classification
(Individual )
0.30%
Job Classification
(Individual )
125.00%
Job Classification
(Individual )
$0.00
$0.00
$0.00

% of budget in CY+1
% of budget in CY+2
% of budget in CY+3
CALCULATION SECTION
Job Classification
(Individual )
Job Classification
(Individual )
$0.00
$0.00
$0.00
Profit
Job Classification
(Individual )
$0.00
$0.00
$0.00
EnterBillingRateMultipliers
MULTIPLIERS
Press ctrl+s to add subconsultants

Press ctrl+t to add tasks.
Press ctrl+m to add contingency tasks.
Certification:
DATA ENTRY SECTION
Total Cost
Job Classification
(Individual )
$0.00
$0.00
$0.00
FCCM
Job Classification
(Individual )
$0.00
$0.00
$0.00
Overhead
Job Classification
(Individual )
$0.00
$0.00
$0.00
Escalated Direct
Labor or NBR $
Job Classification
(Individual )
$0.00
$0.00
$0.00
Hours
Job Classification
(Individual )
$0.00
$0.00
$0.00
AddSubs&Tasks

Negotiated Billing Rates (NBRs);
otherwise, use applicable Overhead,
FCCM, and escalation at 4.5%.
0.00%
0.00%
0.00%
0.00%
[Enter Subconsultant's Name]
CALCULATION SECTION
$0.00
$0.00
$0.00
Accepted Overhead
FCCM
Negotiated Profit
Total Cost
10.00%
50.00%
40.00%
0.00%
1.000
Direct Expenses

% of budget in CY+1
% of budget in CY+2
% of budget in CY+3
Certification: Not Certified
DATA ENTRY SECTION
Direct Salary Rate (Avg, Actual, Max) Current Year $50.00

Annualized Direct Salary Rate (OR enter Negotiated Billing Rate) $52.97
Fully Burdened Billing Rate $128.87
MULTIPLIERS

Negotiated Billing Rates (NBRs); otherwise,
use applicable Overhead, FCCM, and
escalation at 4.5%.
125.00%
0.30%
8.00%
4.50%
[Enter Prime Consultant's Name]
Job Classifications
(Individuals' names are optional)
Task #
Accepted Overhead
FCCM
Negotiated Profit
Job Classification
(Individual )
Grey cells are section dividers

10.00%
50.00%
40.00%
0.00%
1.059
Job Classification
(Individual )
For instructions,
click on
"Instructions"
tab below.
Green cells have formulas

Job Classification
(Individual )
Cell Color Legend

Yellow cells are for data entry
MULTIPLIERS
% of budget in CY+1
% of budget in CY+2
% of budget in CY+3
Direct Expenses
Breakdown of Costs - Dated: [enter date prepared]

PA/ATA or Contract Number: #####
WOC Number: ##
0.00%
TASK 1 NAME
1.1
Subtask name
1.2
Subtask name
1.3
Subtask name
20
Hours/Task
20
1,059
1,324
2,387
191 0
20
1,059
1,324
2,387
191
2,577
100.0%
10
10
530
662
1,193
95
10
530
662
1,193
95
1,289
50.0%
10
10
530
662
1,193
95
10
530
662
1,193
95
1,289
50.0%
0.0%
0.0%
2.1
2.2
0
0
$
$
$
$
$
$
$
$
$
$
0
0
$
$
$
$
$
$
1.4
2
Subtask name
TASK 2 NAME
2.3
2.4
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%
0.0%
0.0%
TASK 8 NAME
0.0%
TASK 9 NAME
0.0%
0.0%
10
TASK 10 NAME
0.0%
11
TASK 11 NAME
0.0%
12
TASK 12 NAME
13
TASK 13 NAME
0.0%
14
TASK 14 NAME
0.0%
15
TASK NAME
0.0%
16
TASK NAME
17
TASK NAME
0
20
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
20
$
$
1,059
$
$
1,324
$
$
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
TASK 7 NAME
0
0
TASK 6 NAME
0
0
TASK 5 NAME
0
0
0
0
0
0
0
0
TASK 3 NAME
TASK 4 NAME
0
0
3
4
0
0
$
$
$
$
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
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
0
$
$
$
$
$
$
$
$
$
$
$
$
0
20
$
$
1,059
$
$
1,324
$
$
0.0%
$
$
$
$
2,387
$
$
191
$
$
2,577
0.0%
CONTIGENCY TASK NAME 1
C1.1
Subtask name
C1.2
Subtask name
C1.3
Subtask name
C1.4
C2
Subtask name
Hours/Task
C1
C3
C4
C5
C6
TOTAL Contingency
1,059
1,324
2,387
191
20
20
20
1,059
1,324
2,387
191
2,577
0.0%
WOC #XX, ATA #XXXX

(BOC version 10/7/08
Consulting Firm:________________________________________________________________________
(Complete a separate sheet for Prime and each subconsultant, as needed. Totals must be manually entered into the BOC worksheet.)
Task #
Basis of Estimate
Description
Amount
Include enough detail for the reader to understand how the estimate was
determined.
Sample Task for Instructional Purposes Only
820.91
Lodging
2 nights @ $81 per night (Bend, OR) for 2 people
324.00
Per Diem
3 days @ $44 per day (Bend, OR) for 2 people
264.00
Mileage
382 miles roundtrip from Roseburg to Bend @ 50.5 cents per mile
192.91
Video Camera
2 days @ $20 per day (per Price Agreement)
40.00
[Task Name]
[Task Name]
[Task Name]
[Task Name]
Include enough detail for the reader to understand how the estimate was
determined.
C.1
[Contingency Task Name]
C.2
[Contingency Task Name]
TOTAL Contingency
10/26/2012 11:25 AM
Appendix D
Page 98 of 143
Updated April 2013
PROFIT (FEE) WORKSHEET
ATA/PA/Contract No.:
Work Order No.:
Consultant Name:
Project Name:
Profit Factors
1. Complexity
0.070
0.085
Low
Low-Ave.
Rating Points
0.100
Average
Points Assigned
0.115
0.130
Above Ave.
High
Value
0
Justification:
2. Delivery Schedule
0.070
0.085
0.100
0.115
0.130
Low
Low-Ave.
Average
Above Ave.
High
Justification:
3. Cost Risk
0.070
0.085
0.100
0.115
0.130
Low
Low-Ave.
Average
Above Ave.
High
Justification:
4. Assistance/Oversight by ODOT
0.070
0.085
0.100
0.115
0.130
Extensive
Above Ave.
Average
Below Ave.
Minimal
Justification:
0.100
0.105
0.115
0.130
None/Minimal
Moderate
Above Ave.
Extensive
0.070
0.085
0.100
0.115
0.130
>$1,000,001
$500,001 $1,000,000
5. Subcontracting
Justification:
6. Cost of Services
Considerations:
$250,001 - $500,000 $100,001 - $250,000
< $100,000
Profit Objective
This worksheet was completed based on consideration of the instructions and the above criteria by:
Name:
Title:
Date:
Notes:
1. To properly complete this worksheet, review guidance on the attached "Profit Factor Scoring" and "Instructions & Limitations" sheets.
2.
3.
4.
5.
6.
Select the appropriate point value for each Profit Factor and enter value in the "Points Assigned" column.
If appropriate, point values that fall in between the normal gradations may be used when scoring subjective profit factors.
This worksheet is used to develop Agency's profit objective for purposes of negotiation. Enter final agreed-to profit in Record of Negotiations.
Profit/fee below 8.5 or above 11.5 or outside of Profit Limitations/Guidance must be approved by the Area Manager.
Keep a copy of the completed Profit/Fee Worksheet in the Contract Administration file, and forward a copy to the assigned procurement staff.
734-2760 (4/09)
0.0%
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 juniorlevel 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;
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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 Consultants 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 Agencys estimate but there are several unknowns which cant 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 Agencys internal estimate.
High (score is based on assessment of the following):
o The budget is in line with Agencys estimate but there are significant unknowns which cant 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 Agencys internal estimate;
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4.
g
g y
;
Amount negotiated for level-of-effort/costs (including potential contingency tasks, if any) is more than 10
percent less than Agencys internal estimate;
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 Consultants 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
consultants 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 consultants
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 consultants 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.
None/Minimal: up to 1 subconsultant needed

Moderate: 2-3 subconsultants needed (or 20-29.9% of contract costs are subcontracted)
Above Average: 4-6 subconsultants needed (or greater than 30% of contract costs are subcontracted)
Extensive: 7 or more subconsultants
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
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See Instructions and Limitations tab for additional information regarding contract amendments and contingency tasks.
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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 Institutes 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 Agencys 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 firms 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
firms 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 ODOTs 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 consultants
estimate, use the Profit/Fee Worksheet to develop Agencys 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 Agencys Prenegotiation Plan. A Pre-negotiation Plan should be prepared following the required cost analysis
and prior to entering negotiations with the Consultant.
8. Review consultants proposed profit/fee and discuss/explain the Agencys profit objective with the
consultant to gain an understanding of each others 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. ODOTs 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 ODOTs 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 Agencys Estimate (prior to receiving Contractors estimate), and
Agencys 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.
2. Instructions (for detailed guidance See the ODOT Negotiations Guide)
The Agencys Project Manager (APM) or the negotiation team put together by the APM is responsible
for preparation of the RON, internal estimate, Pre-negotiation Plan and Cost Analysis, with input as
needed from other technical staff, the Procurement Specialist and Contract Administrator.
The effort that goes into the Negotiations and related documentation should be directly related to the
dollar value, importance, and complexity of the Contract or Contract amendment.
Begin preparing the RON and associated documentation at the beginning and throughout the negotiation
process rather than wait until the end of the process and try to recall what happened.
Refer to the ODOT Negotiation Guide for addition information regarding negotiation requirements, best
practices, and the associated documentation.
At the end of the negotiation process (or when unsuccessful negotiations are terminated with a
proposer), submit the completed RON form to the assigned Procurement Specialist along with any
related documentation such as: internal estimate with basis of how it was developed, initial Contractor
estimate and any revisions, Pre-negotiation Plan and Cost Analysis, meeting summaries, and
correspondence.
See the ODOT Negotiations Guide or contact the assigned Procurement Specialist if you have any
questions related to preparation of the RON.
3. Definitions
For the Record of Negotiations and these instructions the following definitions apply:
A&EArchitectural, Engineering and Land Surveying Services and Related Services as
defined in Oregon Revised Statutes (ORS) 279C.100
AgencyOregon Department of Transportation
APMAgencys Project Manager
ATAAgreement to Agree
Contractor....Contractor means individual, corporation, Consultant as defined in OAR 137-0480110, 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 offerors or
contractors proposal (including cost or pricing data or information other than cost or
RON Form; Rev Date: 4/2/2008
pricing data), and the application of judgment to determine how well the proposed
costs represent what the cost of the contract should be, assuming reasonable economy
and efficiency. Cost Analysis is conducted for no-bid solicitations to determine
reasonableness. A detailed internal estimate for comparison purposes is required.
CPPFCost Plus Fixed-Fee (with not-to-exceed amount)
ODOT.Oregon Department of Transportation.
OAROregon Administrative Rule
OPOThe ODOT Procurement Office. OPO is the procurement and contracting authority
for the Oregon Department of Transportation.
PA...Price Agreement (currently synonymous with ATA)
PM...Project Manager. The individual responsible for oversight of the contracted project
work; i.e., Work Order Project Manager (WPM), or Contract Administrator (CA)
Price Analysis....The process of examining and evaluating a proposed price without evaluating its
separate cost elements and proposed profit. Price analysis is used in low bid
solicitations to confirm reasonableness of price, especially if only one bid is received
or if there is wide disparity in bid pricing. The validity of the comparison and the
reasonableness of the previous price(s) used for comparison must be established.
Generally, adequate price competition establishes reasonable pricing.
Procurement Office....Any office of Agency that has received written delegated authority to conduct
procurements and is responsible to retain the associated procurement documents.
RON.Record of Negotiations
SOW....Statement of Work
T&M....Time and Materials (with not-to-exceed amount)
WOC....Work Order Contract
4. Example Entries in Summary of Negotiation Process
Date
1/28/08
1/29/08
1/31/08
1/31/08
2/04/08
2/06/08
2/7/08
2/08/08
2/11/08
2/13/08
List any meetings and conference calls, specific negotiated items, schedule, classifications, tasks, etc.
and the results. For IT contracts, also document negotiations of any terms, such as product or service
warranty, license agreement, maintenance agreement, etc. (attach any related correspondence)
Conducted SOW review meeting with XYZ corp. (see attached minutes)
Made revisions to SOW based on changes and clarifications discussed1/28/08 meeting; emailed revised
SOW to Joe Smith at XYZ for review (asked for response within 2 business days).
Received approval of SOW changes from XYZ. Emailed request to Joe Smith for detailed cost estimate
using classifications as discussed at SOW review meeting (asked for submittal on 2/6/08, after internal
estimate was completed).
Emailed SOW to various technical staff for review and input on internal cost estimate (see attached
correspondence). Also emailed SOW to Jane Jones in procurement for review.
Received input for internal estimate from staff (see attached correspondence); compiled data into a detailed
internal estimate broken down by task.
Received detailed cost estimate from XYZ and began cost analysis. Sent XYZ estimate and internal estimate
to technical staff and to procurement for review and comment (see attached correspondence). Contacted Joe
Smith at XYZ to schedule negotiation meeting for 2/13/08.
Emailed Joe at XYZ to request additional breakdown of costs/hours for public involvement subcontractor
including travel expenses (per feedback from Jane L in Procurement)
Received from Joe, additional cost detail for pub involvement sub.
Prepared Pre-negotiation Plan (attached) to document cost analysis, Agencys negotiation position and
various items to discuss. Reviewed PNP with Area Manager and internal negotiation team members.
Held negotiation meeting with XYZ at Agency office in Salem. See attached negotiation meeting minutes
(attendees are listed in the minutes). Scheduled second meeting for 2/15/08.
Record of Negotiations (RON)

Contract / PA #
Amendment #
WOC #
Amendment #
A Record of Negotiations (RON) is required for every negotiated contract, Work Order Contract (WOC), and for
each Amendment (except time-only amendments). This RON form can be used for Architectural, Engineering and
Land Surveying and Related Services (A&E), Non-A&E Personal Services, Information Technology, Trades
Services, and Public Works. See Negotiated Procurements Directive and ODOT Negotiations Guide.
2. Key # (or N/A):
1. Project/Contract Name:
3. Contractor Name:
4. Project Description, Services and Purpose of Procurement: The project description, services and purpose
of the procurement are stated in the associated solicitation or in the Background section of the associated WOC,
Contract, or amendment.
5. Negotiation Participants
a. Agency Staff and Titles:
b. Contractor Staff and Titles:
6. Summary of Negotiation Process
Date
[Go to Section 4 of attached instructions to see example entries]
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)
(Add Rows as needed)

[Note: Section 7 does not need to be completed if the information is in an attached Pre-negotiation Plan.]
7. Cost Estimates & Cost Analysis:
a. Internal Estimate $
(Must be completed by Agency prior to receiving Contractor estimate)
b. List name(s) of internal estimate preparer(s):
c. Contractors Initial Estimate $
d. Agreed to Profit/Fee Percentage
(attach Agencys completed Profit/Fee Worksheet).
e. Cost/Price Analysis was conducted by:
(Attach any documentation of Cost/Price Analysis/PreNegotiation Plan)
8. AGREED-TO AMOUNT/NOT-TO-EXCEED: $
(Includes $
for contingency tasks, or optional goods or services)
Agreed-to amount includes reasonable level of effort/hours for the various project tasks.
Agreed-to amount includes appropriate staff classifications for the various tasks.
Agreed-to amount includes appropriate project management costs (should be challenged if over 10% of
estimate)
Agreed-to amount includes appropriate travel and other direct non-labor expenses.
Confirmed no mark-up on subcontractors or direct expenses.
For Amendments and Work Order Contracts, confirmed billing rates and classifications in estimate match
rates and classifications in the Contract, Agreement To Agree (ATA) or Price Agreement (PA).
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:
13. Prepared by (Type, print or sign name):
_____________________________; Date Completed:
14. Submit RON Form along with copies of the following items to the assigned Procurement Specialist
(electronic preferred, or hard copy):
Internal estimate
Contractors 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 166300-0015 and Agencys file retention schedules.
Appendix E
Agency Oversight Project Review Checklist
and Corrective Action Plan
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.
An electronic copy can be found at:
ftp://ftp.odot.state.or.us/techserv/construction/Construction%20Forms/2890.pdf
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.
1. Enter the Project Name as shown on the Construction Contract.
2. Enter the ODOT Region number the project is located in.
3. Enter the Contract Number as shown on the Construction Contract.
4. Enter the Consultant name that is assigned to the project (e.g., OBEC, DEA, etc.).
5. Enter the date that the form was prepared.
6. Enter the number of the review. This number should be sequential (1, 2, 3).
7. Enter an item description of what isnt completed according to the WOC.
8. This is an identification of whether it meets the requirements of the WOC, Construction
Manual, or other resource manuals requiring specific tasks/work to be completed.
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.
11. Agency PMs signature.
Appendix E
Page 111 of 143

Updated April 2013
12. Enter the Agency PMs name.

13. Date the Agency PM signs the form.
14. Construction PMs signature.
15. Enter Construction PMs name.
16. Date the Construction PM signs the form.
Appendix E
Page 112 of 143

Updated April 2013

Project Information
1
Contract No.
3
Construction Project Manager (CPM)
Agency Project Manager (APM)
Region
CPM Employer
Review Date
Review Number
Review Information
Meets Requirements
Item
Yes
No
N/A
11
13
Agency PM Signature
734-2890 (10-2012)
Construction PM Corrective Action
12
14
Agency PM Name
16
Construction PM Signature
APM Remarks
10
15
Date
17
Construction PM Name
18
Date
1 of 1

Project Information
Form Example
C14235
Region
Contract No.
Appropriate Consultant Name
10/25/2012
0001
CPM Employer
Review Date
Review Number
Review Information
Meets Requirements
Item
First Note
TOD Submittal
Yes
No
N/A
APM Remarks
Construction PM Corrective Action
Construction has begun but First Note

has not been submitted.
Construction has begun but the TOD
Submittal has not been submitted.
Appropriate Agency PM
Agency PM Signature
Agency PM Name
Date
Appropriate Construction PM
Construction PM Signature
734-2890 (10-2012)
Construction PM Name
Date
1 of 1
Appendix F
Consultant Performance Evaluation and Instructions
The Consultant Evaluation form must be completed as follows:
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.
Electronic copy of the form:
file://scdata2/OPOnet/Forms/PSK/AE/CACEIeval.xls
Electronic copy of the instructions:
file://Scdata2/OPOnet/Forms/PSK/AE/CACEIeval_Instr.pdf
Once completed, the evaluation must be sent to mailto:OPO Consultant Performance
Evaluations@odot.state.or.us.
Appendix F
Page 115 of 143

Updated April 2013
Appendix F
Page 116 of 143

Updated April 2013
CA/CEI CONSULTANT PERFORMANCE EVALUATION

DATE SENT TO CONSULTANT DATE RECEIVED
AGENCY REPRESENTATIVE
PROJECT NAME
CONSULTANT
OFFICE USE ONLY

FINAL % SCORE
0.00%
REPORTING PERIOD
CONTRACT NO.
INSTRUCTIONS TO AGENCY REPRESENTATIVE:

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.
FOR PURPOSE OF COMPLETING THIS EVALUATION:
Verbal notice is defined as a formal notice documented in meeting minutes or phone call.
Written notice is defined as an email or a formal written letter signed by the Agency's Representative.
SCORE POSSIBLE
TASK CE-1 PROJECT MANAGEMENT

1. Were monthly status reports accurate and submitted on time?
(1.2 Status Reports and Invoices )
Agency Representative should determine if the Consultant gave proper notice via status reports, appropriately managed
invoices and apprised them of the status of the Project.
5 - Consultant delivered accurate status reports and invoices on time
4 - Consultant delivered accurate status reports and invoices, but required reminders from the 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
0 - Not applicable
TASK CE-1 PROJECT MANAGEMENT: Provide specific examples of issues that resulted in a score of 1 or 2:
Consultant Evaluation Form ###

1 of 8
Construction Forms Website: http://www.oregon.gov/ODOT/Hwy/Construction/ConstForms1.shtml
TASK CE-2 CONSTRUCTION CONTRACT ADMINISTRATION / CONSTRUCTION ENGINEERING AND INSPECTION

(CA/CEI)
SCORE POSSIBLE
2. Did the Consultant project manager / leader fulfill the role during the pre-construction conference?
(2.1 Pre-Construction Conference)
Agency Representative should also consider whether or not the Consultant coordinated and properly managed the preconstruction meeting, received all submittals required before the Pre-Con meeting and whether the Consultant provided an
appropriate agenda that discussed and addressed the required Agency items.
5 - Consultant satisfactorily fulfilled the role in the pre-construction conference, as specified in the contract
3 - Agency verbally reminded the Consultant about roles and responsibilities
1 - Agency was forced to fulfill the role of the Consultant
0 - Not applicable
SCORE POSSIBLE
3. Were the deliverables listed for the Cooperative Arrangement "Partnering" task provided as requested? (2.2
Cooperative Arrangement "Partnering" [Contingency Task])
Agency Representative should only answer this question with a score of 1 to 5 if it is applicable and part of the SOW contract.
Score this as a "0" if it is not applicable.
5 - All documents and tasks completed met the scope of work requested
4 - All of the documents were finished, but did not meet the level of quality requested
3 - Agency verbally requested documents and unfinished tasks to be completed
2 - Agency sent written notice to the Consultant and the Consultant responded by completing the work
1 - Agency was forced to fulfill the role of the Consultant
0 - Not applicable
SCORE POSSIBLE
4. Was the Consultant's approved QA/CA plan followed? (2.3 Quality Assurance and Contract Administration Plan
[QA/CA Plan])
When answering this question, the Agency Representative should also note whether or not the Consultant promptly notified
the Agency of changes to the QA/CA Plan in a proactive manner.
5 - Consultant followed the QA/CA plan satisfactorily, as specified in the contract
3 - Agency notified Consultant about not following the QA/CA plan
1 - QA/CA plan was not followed and the Consultant did not resolve the issue
0 - Not applicable
SCORE POSSIBLE
5. Was the Consultant able to administer the construction contract as required in the scope? (2.4 Construction
Contract Administration)
When answering this question, the Agency Representative should consider whether or not the Consultant understood its role
and authority representing the Agency. Did the Consultant demonstrate an ability to enforce the construction contract
requirements? Were there instances when the construction contract requirements were ignored?
5 - Consultant administered the contract without additional Agency assistance on standard or routine procedures
4 - Consultant needed Agency assistance with standard or routine procedures to administer the contract
2 - Consultant needed regular Agency assistance and was notified to take corrective action
1 - Consultant failed to adequately correct noted deficiencies
0 - Not applicable
6. Did the Consultant use sound judgment regarding application of the Agency standards
(i.e., the Construction Manual, Manual of Field Tested Procedures, plans and specifications, etc.)
and taking corrective actions?
(2.4 Construction Contract Administration)
SCORE POSSIBLE
5
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

2 of 8
SCORE POSSIBLE
7. Did the Consultant assure compliance with Civil Rights procedures from Chapter 18 of the Construction Manual?
The Agency Representative should determine scores based on the Labor Compliance Officer's periodic reviews and any
issues noted on the Labor Compliance Audit Report.
5 - No issues or appropriate actions were taken which required reporting
4 - Consultant identified missing items and took corrective actions
3 - Agency notified the Consultant of missing items
2 - Agency sent written notice to the Consultant of expectations regarding the policies and procedures
1 - Agency was forced to contact the Contractor directly to resolve any and all Civil Rights issues
0 - Not applicable
SCORE POSSIBLE
8. Did the Consultant track and inform the Agency of Contractor overruns and or change orders as appropriate?
Based on the total number of change orders on the project, determine as a whole how the Consultant tracked and
communicated the Project Change Orders (Contract Change Orders, Extra Work Orders and State Force Orders) with the
Agency. Were potential overruns or increases of bid items or the status of the entire project funds communicated in a
proactive manner?
5 - Consultant tracked the progress, was in regular contact with Agency representative and submitted request for increases or
overruns and change orders to the appropriate levels to the Agency before the work was performed
4 - Consultant did not always provide information, requests, or change orders in a timely manner
3 - Consultant tracked the progress, but submittals to the Agency usually did not occur in a timely manner
2 - Consultant identified contract overruns after the work was already been performed
1 - Consultant did not track progress and waited for the Agency representative to provide solutions to resolve the issues
0 - Not applicable
SCORE POSSIBLE
9. Were monthly progress estimates submitted by the 5th of the month?
(2.5 Monthly Preliminary Progress Estimates)
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?
(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

3 of 8
SCORE POSSIBLE
11. Were meetings held at the proper frequency and deliverables of agendas and minutes completed as specified in
the contract? (2.6 Project Progress Meetings)
Agency Representative should request a copy of these items for their records and base scoring on any documents received
or not received.
5 - No issues, the Consultant met all deliverables
4 - Minor issue(s), but the Consultant corrected the issue(s)
2 - Issues with the deliverables or concerns with meeting frequency were not addressed after verbal warning
1 - Agency sent written notice requesting deliverables or concerns with the meeting frequency
0 - Not applicable
SCORE POSSIBLE
12. Were submittals reviewed in a timely manner and managed within the periods established in the contract?
(2.7 Shop drawings and Submittal Review)
All projects should have a certain amount of submittals. Agency Representative should request a copy of submittal logs or
inquire as to the status of submittal reviews. Scoring of this question should be based on the requirements in the SOW and
whether or not any Project delays occurred as a result of submittals not being reviewed in a timely manner.
5 - No Issues, the Consultant met requirements in the time specified
3 - Agency sent verbal notice of the problem
2 - Agency sent written notice of the problem and it was corrected
1 - Agency sent multiple written notices
0 - Not applicable
SCORE POSSIBLE
13. Did the Consultant provide appropriate responses in a timely manner to requests for information (RFIs)? (2.8
Consultation During Construction)
Requests for information (RFIs) are common occurrences on all projects. The Agency Representative should be aware or
inquire as to the status of any requests. Scoring of this question should be based on whether or not any delays occurred or
miscommunication resulted in any Project delays.
5 - Consultant provided clear, understandable answers in time to meet the needs of the Contractor
3 - Agency provided verbal notice of incomplete or untimely response
2 - Agency sent written notice of incomplete or untimely response
1 - Agency was forced to respond directly to the Contractor
0 - Not applicable
SCORE POSSIBLE
14. Did the Consultant follow Agency procedures when administering change orders? (2.9 Design Modifications)
Agency Representative should determine whether or not the Consultant demonstrated the correct procedures in assisting
with change orders as outlined in Chapter 15 of the Construction Manual. This can include, but is not limited to: notification,
obtaining proper approval prior to allowing the Contractor to proceed, assembling supporting documentation, performing an
independent cost estimate to justify Contractor estimates, properly documenting and tracking Contract Time and determining
if any escalation/de-escalation pay quantities were affected.
5 - Consultant followed proper Agency procedures
3 - Agency gave verbal reminders to the Consultant regarding Agency procedures
1 - Agency sent written notice to the Consultant regarding procedures
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:

4 of 8
TASK CE-3 CONSTRUCTION, ENVIRONMENTAL COMPLIANCE AND WORK ZONE MONITORING/INSPECTION

SCORE POSSIBLE
15. Were environmental inspection reports in the scope of work provided as requested?
(3.1 Environmental Compliance and Mitigation Monitoring)
The Agency Representative should consult with the Region Environmental Coordinator (REC) on issues, or the Region
Assurance Specialist (RAS) on periodic reviews and items noted on a Document Review Report (DRR). Example of items
may include: missing erosion control monitoring reports or turbidity monitoring documentation required as per the contract.
5 - No significant issues, monitoring reports were filled out in accordance with the Agency procedures
4 - Agency provided verbal notice to correct deficiencies
3 - Agency sent written notice to correct deficiencies
2 - Agency sent second written notice to correct deficiencies
1 - Agency sent more than two (2) written notices to correct deficiencies
0 - Not applicable
SCORE POSSIBLE
16. Did the construction monitoring documentation (i.e., daily reports, photos, quantity and quality documentation
etc.) contain sufficient detail to document the project work?
(3.2 Construction Activity Monitoring)
The Agency Representative should determine scoring based on requests from their office or with the Region Assurance
Specialist (RAS) on periodic review and items noted on a Document Review Report (DRR).
5 - No significant issues, monitoring reports were filled out in accordance with the Agency procedures
4 - Agency provided verbal notice to correct deficiencies
2 - Agency sent second written notice to correct deficiencies
1 - Agency sent more than two (2) written notices to correct deficiencies
0 - Not applicable
17. Were all the inspectors knowledgeable and certified in the area of work that they were inspecting? (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.
SCORE POSSIBLE
5
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?
(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
1 - Agency sent two (2) or more written notices to the Consultant to correct deficiencies
0 - Not applicable

5 of 8
SCORE POSSIBLE
19. Were individuals performing QCCS functions properly certified for work they were performing?
(3.3 Quality Control Monitoring [Field Tested Materials])
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. Review the Consultant QA/CA Plan for information and if more than one individual was
performing this function.
5 - All individuals were certified, informed and knowledgeable about the work performed on the project
4 - All individuals were certified, but there were performance issues and the matter was corrected
3 - Agency gave notice regarding an individual's certifications or training issues and issue was corrected
2 - Agency gave second notice regarding an individual's certification or training issues
1 - Agency removed an individual from the project
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

SCORE POSSIBLE
20. Did the Consultant provide the requested level of construction surveying services as defined in the scope of
deliverables?
(4.1 Construction Surveying Coordination, Calculations and Quality Assurance)
Score this as a "0" if it is not applicable. If applicable, determine whether or not any errors or issues resulted in Contractor
difficulties, quantity discrepancies and/or project delays.
5 - No significant Issues
4 - Survey staking was completed with minor errors, but with no impact to project schedule or cost
3 - Survey staking resulted in minor schedule delays
2 - Survey staking resulted in minor costs to the project
1 - Consultant survey staking resulted in major costs to the project
0 - Not applicable
TASK CE-4 CONSTRUCTION SURVEYING: Provide the question number(s) and specific examples of issues that resulted in a score of
1 or 2:
TASK CE-5 PROJECT CLOSE-OUT

SCORE POSSIBLE
21. Did the Consultant submit as-constructed drawings within the contract timeframe and in conformance with
Agency requirements? (5.2 As-Constructed Drawings)
Agency Representative should determine whether or not the Consultant followed procedures as described in the Construction
Manual and within the SOW contract. Determine whether or not quality as-constructed drawings were submitted within the
timeframe specified.
5 - Consultant submitted as-built drawings within 30 days of second notification
4 - Consultant submitted as-built drawings, later than 30 days past second notification
3 - Agency sent notice of quality or time issues
2 - Agency sent second written notice
1 - Agency sent more than two (2) written notices
0 - Not applicable

6 of 8
SCORE POSSIBLE
22. Were accurate structure load rating reports submitted in a timely manner as defined in the contract or the scope
of work? (5.3 Structure Load Rating)
Score this as a "0" if it is not applicable.
5 - Consultant submitted accurate structure load rating reports within conformance to contract requirements
4 - Consultant submitted accurate structure load rating reports, later than 30 days past the contract requirements
3 - Agency sent notice of quality or time issues
2 - Agency sent second written notice
1 - Agency sent more than two (2) written notices
0 - Not applicable
SCORE POSSIBLE
23. Did the Consultant submit complete final project documentation and material reports within the timeframe
specified in the contract (not including documentation for plant establishment work)?
(5.4 Submittal of Final Project Documentation)
Final documentation submission is required within 60 days of second notification (not including documentation for plant
establishment work). Note: If plant establishment is on the contract, the remaining quality, quantity and labor compliance
documentation associated with the plant establishment must be submitted within 14 calendar days after the plant
establishment work has been completed.
5 - Final documents (except plant establishment) were found in compliance; project was closed out within 120 days
2 - Final documents (except plant establishment) were found in compliance; project was closed out over 365 days
1 - Agency was forced to step in and assist the Consultant in closeout of the project
0 - Not applicable
TASK CE-5 PROJECT CLOSE-OUT: Provide the question number(s) and specific examples of issues that resulted in a score of 1 or 2:
TASK CE - GENERAL REQUIREMENTS

SCORE POSSIBLE
24. Was the Consultant responsive to requests from the Agency?
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

7 of 8
SCORE POSSIBLE
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
TOTAL SCORE
130
CONSULTANT REPRESENTATIVE SIGNATURE AND DATE (Signature indicates that

Consultant has reviewed evaluation.)
Agree
Disagree
AGENCY REPRESENTATIVE SIGNATURE AND DATE
Percentage Score
0.00%
Percentage Score
(TOTAL SCORE/TOTAL POSSIBLE)X100
NOTE: Use a separate sheet for additional comments and staple to the back of this document.
Distribution:
ODOT Procurement Office:
Construction Section
Region Manager
Consultant

8 of 8
OPO Consultant Performance Evaluations@odot.state.or.us
Contract Administration/Construction Engineering Inspection

Consultant Performance Evaluation
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
ACEC STEERING COMMITTEE APPROVAL OF RECOMMENDATIONS (5/11/2012):
Proposed CA/CEI Consultant Performance Evaluation form for use in a pilot program for further
testing and data collection.
o
Pilot Program start immediately for the 2012 construction season, on all projects with the CE
Consultant performing CA/CEI, a duration of 9 to 12 months.
o
Data generated from the pilot program would be used to further assess the performance
evaluation questions, the overall scoring and to produce data to develop a scoring range.
o
Once the scoring range is determined, the data generated, collected and reviewed from the
pilot program would determine how the performance evaluations would be used.
CA/CEI CONSULTANT EVALUATION FORM:
Format is similar to existing forms on ODOT website
Sections and questions follow the latest SOW template for Construction Engineering (CE) Phase on
OPOs website
o Instructions are below each question
o There are six (6) sections and 26 questions
o Questions 1-23 follow the overall SOW template task, with objective scoring
o Questions 24-26 are overall performance questions that are subjective in nature, but objective
scoring
o Objective scoring is based on documented notices from the LAL or Agency Representative to
substantiate lower scores.
o Scoring ranges for individual questions were from 5 to 1, with 5 being the highest score and 1
being the lowest.
o Text boxes require documentation when scores of 2 or 1 are given or when additional
comments assisted in the overall scoring criteria.
o If a particular portion of the work is not included in the Consultants SOW, it should be rated as
Not Applicable and be given a score of 0.
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.
2012 Construction Season- CA/CEI Consultant Evaluation Form

Pilot Program Timeline:
Spring 2012:
Provide a copy of the evaluation form to the CA/CEI Consultants 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.
Page 2 of 3
CA/CEI Consultant Performance Evaluation
Because the evaluation form is in the Pilot phase, the results, at this time are not being used for
future selection.
Page 3 of 3
Appendix F
Page 128 of 143

Updated April 2013
Appendix G
Expenditure Report Example
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 projects budget vs.
expenditures. To get to this report:
1. Open up CPS.
2. Select Reports.
3. Enter the Contract Number in the Expenditure Report box.
4. Select Submit.
5. The report will open up in a Word document.
6. Save and/or print the report.
The following pages show an example of an Expenditure Report.
Appendix G
Page 129 of 143

Updated April 2013
Appendix G
Page 130 of 143

Updated April 2013
Contract Payment System

Active Project Expenditure Report
For contract number: C14267
Ea: CON02874
By EA/SUBJOB BY ACTIVITY BY SFO BY CHARGE UNIT
last updated on October 22 2012
Project
Unit Title
Budget
EA/SUBJOB
CON02874/000 - SW GIBBS ST PEDESTRI
ACTIVITY
J41 - UTIL/RAIL RELOCATI0N
SFO (
)
7784
UTILITIES
$0.00
SFO (
)
ST
$0.00
UTIL/RAIL RELOCATI0N
ST
$0.00
Prior
Biennium
Expenditures
Current
Biennium
Expenditures
To Date
Total
Expenditures
To Date
10/24/2012
04:56 PM
Available
Budget
Current
Month to date
Expenditures
$29.04
$29.04
$29.04
$61.09
$61.09
$61.09
$90.13
$90.13
$90.13
($90.13)
($90.13)
($90.13)
$0.00
$0.00
$0.00
ACTIVITY
J42 - PROJECT INSPECTION
SFO (
)
1100
DISTRICT 2A MANAGER
1012
ADMIN SERVICES-REG 1
1200
DISTRICT 2B MANAGER
SFO (
)
ST
PROJECT INSPECTION
ST
$0.00
$0.00
$0.00
$0.00
$0.00
$2,972.13
$0.00
$0.00
$2,972.13
$2,972.13
$1,224.94
$126.29
$3,247.44
$4,598.67
$4,598.67
$4,197.07
$126.29
$3,247.44
$7,570.80
$7,570.80
($4,197.07)
($126.29)
($3,247.44)
($7,570.80)
($7,570.80)
$0.00
$0.00
$0.00
$0.00
$0.00
ACTIVITY
J43 - CONST MGMT-OFFCE SPT
SFO (
)
1052
TRAFFIC ANALYSIS
1100
DISTRICT 2A MANAGER
SFO (
)
ST
CONST MGMT-OFFCE SPT
ST
$0.00
$0.00
$0.00
$0.00
$0.00
$236.59
$236.59
$236.59
$818.88
$0.00
$818.88
$818.88
$818.88
$236.59
$1,055.47
$1,055.47
($818.88)
($236.59)
($1,055.47)
($1,055.47)
$0.00
$0.00
$0.00
$0.00
ACTIVITY
J45 - MATERIALS QA/QC
SFO (
)
1081
AREA MGR-METRO WEST
7870
STRUCTURE SERVICES
7840
QUALITY ASSURANCE
7810
CONTRACT ADMIN
1809
CONST PROJ/STATLER
7890
LABORATORY SVCS MGR
SFO (
)
ST
MATERIALS QA/QC
ST
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$6,270.76
$2,469.38
$527.25
$0.00
$931.40
$10,198.79
$10,198.79
$15,575.09
$134,921.76
$2,328.59
$0.00
$106.40
$6,677.52
$159,609.36
$159,609.36
$15,575.09
$141,192.52
$4,797.97
$527.25
$106.40
$7,608.92
$169,808.15
$169,808.15
($15,575.09)
($141,192.52)
($4,797.97)
($527.25)
($106.40)
($7,608.92)
($169,808.15)
($169,808.15)
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
ACTIVITY
J46 - PROJECT CONSULTATION
SFO (
)
1013
FACILITIES-REGION 1
1610
BRIDGE DESIGN- R1 TC
1052
TRAFFIC ANALYSIS
$0.00
$0.00
$0.00
$0.00
$0.00
$268.45
$23.43
$2,151.43
$1,727.16
$23.43
$2,151.43
$1,995.61
($23.43)
($2,151.43)
($1,995.61)
$0.00
$0.00
$0.00
Contract No: C14267
Ea: CON02874
Expenditure Report
Page 1

Ea: CON02874
Unit Title
1672
TRAFF TP/DT - R1 TC
1650
ROADWAY - R1 TC
1630
GEO/HYDRO - R1 TC
1625
ENV COORD/PRJ MGT-R1
7870
STRUCTURE SERVICES
7810
CONTRACT ADMIN
7805
OPER SUPP SEC-OFF AD
1710
COMMUNITY AFFAIRS
SFO (
)
ST
PROJECT CONSULTATION
ST
Project
Budget
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
Prior
Biennium
Expenditures
$537.98
$272.51
$1,815.17
$637.52
$1,069.51
$843.18
$58.11
$145.49
$5,647.92
$5,647.92
Current
Biennium
Expenditures
To Date
$93.31
$366.58
$0.00
$50.28
$1,720.53
$1,172.60
$0.00
$745.25
$8,050.57
$8,050.57
Total
Expenditures
To Date
$631.29
$639.09
$1,815.17
$687.80
$2,790.04
$2,015.78
$58.11
$890.74
$13,698.49
$13,698.49
10/24/2012
04:56 PM
Available
Budget
($631.29)
($639.09)
($1,815.17)
($687.80)
($2,790.04)
($2,015.78)
($58.11)
($890.74)
($13,698.49)
($13,698.49)
Current
Month to date
Expenditures
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
ACTIVITY
J60 - ASSURANCE REVIEWS
SFO (
)
7810
CONTRACT ADMIN
SFO (
)
ST
ASSURANCE REVIEWS
ST
$0.00
$0.00
$0.00
$4,928.98
$4,928.98
$4,928.98
$4,726.23
$4,726.23
$4,726.23
$9,655.21
$9,655.21
$9,655.21
($9,655.21)
($9,655.21)
($9,655.21)
$0.00
$0.00
$0.00
ACTIVITY
J62 - CONTRACTOR CLAIMS
SFO (
)
1096
R1 UTILITIES UNIT
SFO (
)
ST
CONTRACTOR CLAIMS
ST
$0.00
$0.00
$0.00
$131.37
$131.37
$131.37
$0.00
$0.00
$0.00
$131.37
$131.37
$131.37
($131.37)
($131.37)
($131.37)
$0.00
$0.00
$0.00
ACTIVITY
J71 - PROG MGMT/PROJ DEL
SFO (
)
1013
FACILITIES-REGION 1
1000
REGION 1 ADMIN
8112
SALEM PERMITS OFFICE
1817
LOCAL AGENCY COORD
1672
TRAFF TP/DT - R1 TC
1087
AREA MGR-METRO EAST
1085
REGION CONS ENGINEER
1052
TRAFFIC ANALYSIS
SFO (
)
ST
PROG MGMT/PROJ DEL
ST
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$21.40
$0.00
$932.21
$15,939.19
$0.00
$0.00
$2,958.74
$0.00
$19,851.54
$19,851.54
$0.00
$243.10
$3,358.89
$10,418.12
$194.41
$4,065.09
$3,768.48
$3,638.25
$25,686.34
$25,686.34
$21.40
$243.10
$4,291.10
$26,357.31
$194.41
$4,065.09
$6,727.22
$3,638.25
$45,537.88
$45,537.88
($21.40)
($243.10)
($4,291.10)
($26,357.31)
($194.41)
($4,065.09)
($6,727.22)
($3,638.25)
($45,537.88)
($45,537.88)
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
ACTIVITY
SFO (
307 - HAZ MAT CLEANUP

)
Contract No: C14267
Ea: CON02874
Expenditure Report
Page 2

Ea: CON02874
Unit Title
1630
GEO/HYDRO - R1 TC
SFO (
)
ST
HAZ MAT CLEANUP
ST
EA/SJ CON02874/000
ST
Project
Budget
$0.00
$0.00
$0.00
$0.00
Prior
Biennium
Expenditures
$174.27
$174.27
$174.27
$44,170.63
Current
Biennium
Expenditures
To Date
$0.00
$0.00
$0.00
$203,551.14
Total
Expenditures
To Date
$174.27
$174.27
$174.27
$247,721.77
10/24/2012
04:56 PM
Available
Budget
($174.27)
($174.27)
($174.27)
($247,721.77)
Current
Month to date
Expenditures
$0.00
$0.00
$0.00
$0.00
EA/SUBJOB
ACTIVITY
J46 - PROJECT CONSULTATION
SFO (
)
1052
TRAFFIC ANALYSIS
$0.00
1610
BRIDGE DESIGN- R1 TC
$0.00
SFO (
)
ST
$0.00
PROJECT CONSULTATION
ST
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$84.47
$84.47
$84.47
$0.00
$84.47
$84.47
$84.47
$0.00
($84.47)
($84.47)
($84.47)
$0.00
$0.00
$0.00
$0.00
ACTIVITY
SFO (
)
1052
TRAFFIC ANALYSIS
1817
LOCAL AGENCY COORD
SFO (
)
ST
PROG MGMT/PROJ DEL
ST
EA/SJ CON02874/001
ST
$0.00
$0.00
$0.00
$0.00
$0.00
$734.98
$1,684.30
$2,419.28
$2,419.28
$2,503.75
$734.98
$1,684.30
$2,419.28
$2,419.28
$2,503.75
($734.98)
($1,684.30)
($2,419.28)
($2,419.28)
($2,503.75)
$0.00
$434.89
$434.89
$434.89
$434.89
EA/SUBJOB
ACTIVITY
J64 - CONSTRUCT PAYMENTS
SFO (
)
7815
CONTRACT PAYMNT UNIT
$0.00
SFO (
)
ST
$0.00
CONSTRUCT PAYMENTS
ST
$0.00
EA/SJ CON02874/010
ST
$0.00
$159,778.51
$159,778.51
$159,778.51
$159,778.51
$800,246.83
$800,246.83
$800,246.83
$800,246.83
$960,025.34
$960,025.34
$960,025.34
$960,025.34
($960,025.34)
($960,025.34)
($960,025.34)
($960,025.34)
$0.00
$0.00
$0.00
$0.00
EA/SUBJOB
ACTIVITY
SFO (
)
7815
$0.00
1817
LOCAL AGENCY COORD
$0.00
SFO (
)
ST
$0.00
CONSTRUCT PAYMENTS
ST
$0.00
$1,102,630.82
$0.00
$1,102,630.82
$1,102,630.82
$2,584,223.26
($1,000,000.00)
$1,584,223.26
$1,584,223.26
$3,686,854.08
($1,000,000.00)
$2,686,854.08
$2,686,854.08
($3,686,854.08)
$1,000,000.00
($2,686,854.08)
($2,686,854.08)
$0.00
$0.00
$0.00
$0.00
ACTIVITY
SFO (
$0.00
$0.00
$0.00
$0.00
$0.00

)
Contract No: C14267
Ea: CON02874
Expenditure Report
Page 3

Ea: CON02874
Unit Title
1087
AREA MGR-METRO EAST
SFO (
)
ST
PROG MGMT/PROJ DEL
ST
Project
Budget
$0.00
$0.00
$0.00
ACTIVITY
WKP - OPER/PROJ BUDGETS
SFO (
)
1817
LOCAL AGENCY COORD
$5,308,374.41
SFO (
)
ST
$5,308,374.41
OPER/PROJ BUDGETS
ST
$5,308,374.41
EA/SJ CON02874/011
ST
$5,308,374.41
Prior
Biennium
Expenditures
$671.05
$671.05
$671.05
Current
Biennium
Expenditures
To Date
($671.05)
($671.05)
($671.05)
Total
Expenditures
To Date
$0.00
$0.00
$0.00
10/24/2012
04:56 PM
Available
Budget
$0.00
$0.00
$0.00
Current
Month to date
Expenditures
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$1,103,301.87
$0.00
$0.00
$0.00
$1,583,552.21
$0.00
$0.00
$0.00
$2,686,854.08
$5,308,374.41
$5,308,374.41
$5,308,374.41
$2,621,520.33
$0.00
$0.00
$0.00
$0.00
EA/SUBJOB
ACTIVITY
J43 - CONST MGMT-OFFCE SPT
SFO (
)
1817
LOCAL AGENCY COORD
$0.00
SFO (
)
ST
$0.00
CONST MGMT-OFFCE SPT
ST
$0.00
EA/SJ CON02874/021
ST
$0.00
$328,557.90
$328,557.90
$328,557.90
$328,557.90
$779,964.88
$779,964.88
$779,964.88
$779,964.88
$1,108,522.78
$1,108,522.78
$1,108,522.78
$1,108,522.78
($1,108,522.78)
($1,108,522.78)
($1,108,522.78)
($1,108,522.78)
$0.00
$0.00
$0.00
$0.00
EA/SUBJOB
ACTIVITY
SFO (
)
7815
$0.00
SFO (
)
ST
$0.00
CONSTRUCT PAYMENTS
ST
$0.00
EA/SJ CON02874/030
ST
$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
EA/SUBJOB
ACTIVITY
SFO (
)
7815
$0.00
SFO (
)
ST
$0.00
CONSTRUCT PAYMENTS
ST
$0.00
$381,354.06
$381,354.06
$381,354.06
$0.01
$0.01
$0.01
$381,354.07
$381,354.07
$381,354.07
($381,354.07)
($381,354.07)
($381,354.07)
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$381,354.06
$381,354.06
$0.00
$0.00
ACTIVITY
SFO (
)
1817
LOCAL AGENCY COORD
$381,354.06
SFO (
)
ST
$381,354.06
Contract No: C14267
Ea: CON02874
Expenditure Report
Page 4

Ea: CON02874
Unit Title
OPER/PROJ BUDGETS
EA/SJ CON02874/031
ST
ST
Project
Budget
$381,354.06
$381,354.06
Prior
Biennium
Expenditures
$0.00
$381,354.06
Current
Biennium
Expenditures
To Date
$0.00
$0.01
Total
Expenditures
To Date
$0.00
$381,354.07
10/24/2012
04:56 PM
Available
Budget
$381,354.06
($0.01)
Current
Month to date
Expenditures
$0.00
$0.00
EA/SUBJOB
ACTIVITY
SFO (
)
7815
$0.00
SFO (
)
ST
$0.00
CONSTRUCT PAYMENTS
ST
$0.00
EA/SJ CON02874/040
ST
$0.00
$0.00
$0.00
$0.00
$0.00
$150,990.24
$150,990.24
$150,990.24
$150,990.24
$150,990.24
$150,990.24
$150,990.24
$150,990.24
($150,990.24)
($150,990.24)
($150,990.24)
($150,990.24)
$0.00
$0.00
$0.00
$0.00
EA/SUBJOB
ACTIVITY
SFO (
)
7815
$0.00
SFO (
)
ST
$0.00
CONSTRUCT PAYMENTS
ST
$0.00
$1,624,441.10
$1,624,441.10
$1,624,441.10
$0.01
$0.01
$0.01
$1,624,441.11
$1,624,441.11
$1,624,441.11
($1,624,441.11)
($1,624,441.11)
($1,624,441.11)
$0.00
$0.00
$0.00
ACTIVITY
SFO (
)
1817
LOCAL AGENCY COORD
$1,624,441.10
SFO (
)
ST
$1,624,441.10
OPER/PROJ BUDGETS
ST
$1,624,441.10
EA/SJ CON02874/041
ST
$1,624,441.10
$0.00
$0.00
$0.00
$1,624,441.10
$0.00
$0.00
$0.00
$0.01
$0.00
$0.00
$0.00
$1,624,441.11
$1,624,441.10
$1,624,441.10
$1,624,441.10
($0.01)
$0.00
$0.00
$0.00
$0.00
EA/SUBJOB
ACTIVITY
SFO (
)
1817
LOCAL AGENCY COORD
$0.00
7815
$0.00
SFO (
)
ST
$0.00
CONSTRUCT PAYMENTS
ST
$0.00
$0.00
$0.00
$0.00
$0.00
$1,000,000.00
$817,730.98
$1,817,730.98
$1,817,730.98
$1,000,000.00
$817,730.98
$1,817,730.98
$1,817,730.98
($1,000,000.00)
($817,730.98)
($1,817,730.98)
($1,817,730.98)
$0.00
$0.00
$0.00
$0.00
ACTIVITY
SFO (
)
1817
LOCAL AGENCY COORD
$1,817,730.97
SFO (
)
ST
$1,817,730.97
OPER/PROJ BUDGETS
ST
$1,817,730.97
EA/SJ CON02874/051
ST
$1,817,730.97
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$0.00
$1,817,730.98
$0.00
$0.00
$0.00
$1,817,730.98
$1,817,730.97
$1,817,730.97
$1,817,730.97
($0.01)
$0.00
$0.00
$0.00
$0.00
$3,641,604.07
$5,338,540.05
$8,980,144.12
$151,756.42
$434.89
REPORT TOTALS
Contract No: C14267
$9,131,900.54
Ea: CON02874
Expenditure Report
Page 5

Ea: CON02874
10/24/2012
04:56 PM
Recap of expenditure account CON02874

SFO Total
Contract No: C14267
$0.00
Contract Payments
$7,621,395.82
Const. Engineering Cost
$1,358,748.30
Total Const. Cost

Ea: CON02874
$8,980,144.12
Expenditure Report
Page 6

Ea: ' ','CON02874'
Recap of expenditure accounts '
Expenditure Account
CON02874
Contract No: C14267 Ea: '
SFO Total
$0.00
','CON02874'
','CON02874'
Contract Payments
$7,621,395.82
Expenditure Report
Const. Eng. Cost.

$1,358,748.30
Page 7
Total Const. Cost.

$8,980,144.12
10/24/2012
04:56 PM
Appendix G
Page 138 of 143

Updated April 2013
Appendix H
Document Review Form Prioritization Discussion
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.
Appendix H
Page 139 of 143

Updated April 2013
Appendix H
Page 140 of 143

Updated April 2013
DOCUMENTATION REVIEW REPORT

PAGE
OF
PROJECT NAME (SECTION)
EA. NUMBER
PROJECT MANAGER
COMP. DATE
LOCAL AGENCY OR CONSULTANT

Yes
FUEL ESCALATION
ASPH. ESCALATION
Reimbursable
Training:
Yes
No
No
BI QUANTITY
DATE PLACED ON
DRR BY RAS
BID ITEM
NO.
3rd NOTE DATE
PREPARED BY (RAS)
Yes
STEEL ESCALATION
Yes
Contractor Opted
HRS TO DATE
PRIORITY
H-High
M-Medium
L-Low
SECOND NOTE
Key No.
(150% Max.)
% USED
Contract No.
REGION
REVIEW DATE REVIEW NUMBER
No Steel Escalation Pay Items
No
No
Date Letter was

Submitted:
No Training
Item name and comments, unresolved details, and exceptions to the Final Materials
Certification, form 734-1979 or unresolved quantity issues.
This DRR Replaces All Prior DRRs
% CONTRACT
COMP. (based
on Prog Est.)
PM
RESOLVED
(Initials/Date)
REVIEWED
BY RAS
(Initials/Date)
I RECOMMEND ACCEPTANCE OF THE DOCUMENTATION

PROJECT MANAGER SIGNATURE
DATE
REGION ASSURANCE SPECIALIST SIGNATURE
DATE
ATTACHMENTS
734-1903 (01-2012)
Effective January 1, 2012
Documentation Review Escalation Process

The purpose of this document is to address recommendations from ODOT Internal
Audits regarding the Construction Quality Assurance Audit. The Construction
Leadership Team has tasked the Contract Administration Unit with developing a
process for recommendation #2 of the audit.
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:
Priority for Issues
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
Effective January 1, 2012
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.
Items listed on the DRR
Low
Priority
Medium
High
Missing quality documents &

Paynotes
< 5%
5% -20%
> 20%
Missing QA Field Tested

Documentation (Each Work Type)
< 5%
5% -20%
> 20%
Missing Inspector or QCCs

Certification
< 5%
5% -20%
> 20%
Documentation Errors resulting in

Incorrect Payment, paying for
Change Order work under Bid
items, or overpayment to the
Contractor.
<$50,000
$50,000 $125,000
> $125,000
No Assessment of LDs
(no approved CCO granting time)
<15 Days
15 -30 Days
>30 Days
Buy America Requirement on

Federal Aid Projects
Missing CMO
Exceeds
Missing
Multiple CMOs 0.1% or >
$2,500
Missing Adjustments (FE, AE, SE,

StatSpec, Quality){absolute value or
+/- adjustments)
< |$25,000|
Revised 1/25/2012
|$25,000||$50,000|
>|$50,000|

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CONSULTANT OVERSIGHT MANUAL

FOR AGENCY PROJECT MANAGERS

This document provides guidance to ODOT personnel who oversee

Section 2 WOC Preparation

Section 3 Prior to Construction Contract Pre-Bid to Bid Letting

Section 4 Bid Letting to Construction Contract Notice to Proceed

Section 5 Construction Notice to Proceed to Second Notification

Section 6 Second Notification to Third Notification and Project Close-Out Activities

Section 7 WOC Closeout

Section 8 Tools and Forms

Appendix A: Agency Oversight Responsibility Matrix

AGENCY OVERSIGHT MANUAL

Agency Project Manager (ODOTs

Contract Administration Unit

SECTION 2: WORK ORDER CONTRACT (WOC) PREPARATION

When the contract administration/construction engineering and inspection (CA/CEI) will be

PROCUREMENT RELATED TRAINING

SECTION 3: PRIOR TO CONSTRUCTION CONTRACT PRE-BID

WORK ORDER CONTRACT REQUIREMENTS

INVOICE AND PROGRESS REPORT SUBMITTALS

CONSTRUCTION PROJECT MANAGER RESPONSIBILITIES AND PROJECT

ADVERTISING AND BID LETTING REQUIREMENTS

Chapter 12 of the Construction Manual

Sample Quantity and Quality Guidelines

CONSULTANT PERFORMANCE EVALUATIONS

SECTION 4: BID LETTING

Contractors Bid: Amount contractor bid on the project.

SECTION 5: CONSTRUCTION NOTICE TO PROCEED

Before On-Site Work Can Begin (Construction Manual, Chapter 11)

Project Records (Construction Manual, Chapter 12)

Contract Time (Construction Manual, Chapter 13)

Subcontracts (Construction Manual, Chapter 14)

Change Orders (Construction Manual, Chapter 15)

Payments to Contractors/Retainage (Construction Manual, Chapter 25)

Disputes/Claims (Construction Manual, Chapter 27)

Section 00180 applies to disagreements that only involve Contract Time.

The Agency PM would be involved at all levels of a claim review.

SECTION 6: SECOND NOTIFICATION TO THIRD NOTIFICATION

SECTION 7: WOC CLOSEOUT

SECTION 8: TOOLS AND FORMS

Revise SOW template to fit

Post WOC NTP Meeting

Public Works Bond

Quality Assurance &

WORK ORDER CONTRACT PREPARATION AND ADMINISTRATION

Monthly Status Report

Sending out NTP allows the consultant

All the forms and processes used in this section are

Can begin work.

Obtain copies of all pertinent permits for

Assist with obtaining copies of all

Ensure contractor completed safety

Assure task has been completed.

Sample agenda: (need to put this together)

If consultant is not on board at this step, the Agency PM

This is usually supplied to OPO during the award process.

Contractor submits with award documents to Construction

Steel escalation/deescalation (if opted in by

Traffic Control Plan (TCP)

Erosion and Sediment

Pollution Control Plan

Project Progress Meetings