Section 90 RECORD KEEPING PROCEDURES

I. GENERAL
Construction inspection is performed to ensure and confirm that contract requirements are met and
documented in the contract records. The records should indicate what work was accomplished, what
checks and / or tests were made and the results of the checks and tests.
It is the responsibility of the Engineer-in-Charge (EIC) to be familiar with all sections of the Contract
Administration Manual (CAM), the Construction Inspection Manual (CIM), the Safety & Health Program
Manual, the Materials Inspection Manual (MIM) and other referenced material and to organize the
contract records, reports, forms, and other contract documents.
SiteManager is NYSDOT's primary contract administration tool and record keeping system.
SiteManager is used to record detailed inspection records, manage material acceptances, track and
process payments, track and process change orders, and as the central contract accounting system.
SiteManager is used by almost all Construction Program staff, including Inspectors, EICs, Construction
Area Supervisors, Regional Construction Engineers, Main Office Construction staff, Main Office
Materials Bureau, and Main Office Accounting.
SiteManager is a secure system that uses User Identification/Password combinations as a
replacement for signatures on paper form(s) to authorize actions. SiteManager records the date/time
that a record is approved, as well as the individual who granted the approval. An individual's authority is
controlled by the rights associated with the role that the individual is assigned and the contract(s) that
the individual is granted contract authority for. For example, the EIC on a contract will be authorized to
review and approve DWRs completed by Inspectors on the contract he/she is assigned to, but will not
be able to see any records for a different contract that he/she has not been granted access to.
Regional staff will typically be assigned contract authority for all contracts in the Region. Quick
Reference Guides (QRGs) 1-13 are available on the Department website at
https://www.dot.ny.gov/main/business-center/trns-port/modules/site-manager/construction as
references on how to perform specific tasks associated with contract recordkeeping in SiteManager.
(See Exhibit 90A.)
Locally Administered Federal-Aid construction contracts have similar record keeping requirements,
but SiteManager is not available for use by local Sponsors. Local Sponsors may use other software
such as Apia or FieldManager, or they may record inspection results on forms, in either electronic or
paper formats. Local Sponsors will have to adapt the guidance presented in this manual to the
recordkeeping system(s) utilized.

II. CONTRACT RECORDS

The format and general procedures for Department construction contract record keeping were
developed to ensure that documentation exists for the acceptance of materials and work in terms of
both quality and quantity. The basis of acceptance for material and work quality, the method of
measurement and the basis of payment are established by the contract pay item specifications. Record
keeping is guided by the contract requirements for each item of work. Records must be available for
inspection by NYSDOT and Federal Highway Administration personnel at the Engineer's field office at
all times.
There are many types of records that must be kept for a construction contract. Records are required
as part of the contract payment system to document acceptance and payment of work items. Records
are required to document acceptability of work, payment for items of work, the as-built conditions and
compliance with general contract provisions for which there is no direct pay item. Records may be
prepared by the EIC, Inspectors, Regional Staff, the Contractor, or others that are involved. Some
records are required on all contracts whereas others are only required under certain conditions.
Using the methods described in this manual, complete documentation for each contract payment
item and contract provision is developed. This not only provides up to the minute information on pay
items but also provides the necessary justification and supporting data for the quality and quantity of
each item incorporated in the work. The EIC should ensure that each contract pay item in the contract
is sufficiently documented to undergo an audit years later without the need for any personal
explanations.

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Create and maintain records contemporaneously (recorded as events occur). In particular, prepare
Contract Diary entries and Daily Work Reports (DWRs) contemporaneously. Ensure records conform
to current policies and procedures. All active contracts should adapt, insofar as possible, to the latest
revisions. Do not modify documentation that has been compiled prior to any revision retrospectively.

A. Contract Record Organization and Identification

Separate contract records into their various classifications, they are to be well identified and filed so
that any item can be easily found. Ensure that individual sheets have enough identification on them so
if removed from the file, it is still identifiable.
Plainly mark all field books and other records showing contract identification, contents of the record,
name of EIC and the date. Mark each record and field book with the name of the Regional Director and
the address of the Regional Office.
Purchase a job stamp for each contract and use it to identify records and forms. The job
identification stamp should contain the following information (preferably in this order):
Contract Number (D Number)
Project Identification Number (PIN)
Brief descriptive title
County (optional)
Contractor

B. Security of Records
When not in use, keep all source documents, reports, correspondence, survey notes, computer
diskettes, etc. locked in the fire resistant file cabinets provided in the Engineers field office. Whenever
the field office is unattended, both the office and the lockable files should be locked.

C. Photographs
As part of the record keeping process, photographs should be taken before, during, and after
construction to help document progress and avoid disputes concerning pre-existing conditions.
Photographs taken by an individual standing at an identifiable location (next to a sign, pole, hydrant,
etc.) that can be identified post construction will enable better comparison of the site(s) pre and post
construction. The number of photographs required will vary greatly depending on the size and
complexity of the construction effort.
Take photographs at the lowest resolution that provides a clear representation of the desired details
the photograph is intended to show. Ensure that the date and time is displayed on the digital
photograph using the proper camera settings to aid identification for future use.
Organize and store photographs using MicroSoft PowerPoint. Reduce very large jpeg files
produced by digital cameras using (Image Resizer is available as a free download
from MicroSoft.). and Create separate files for
needed sets of photographs, using the following file naming convention: Begin each file name with the
contract D#, then PRE_, PROG_ [Progress] or POST_, and then a description. (e.g.
D123456_PRE_Rte 123 or D123456_PROG_123 Bridge Over Creek.) Separate sets of photographs
by highway, bridge, drainage, other structures, etc. to create logical sets that are readily identifiable by
the file name and result in manageable PowerPoint file sizes. Use the presenter notes in Powerpoint to
provide location, subject, photographer, and other pertinent remarks for each photograph. Store
PowerPoint

1. Pre-Construction. Take a set of photographs before construction begins. Take both overall
photographs of the site(s) and specific photographs of affected elements (i.e. bridges, intersections,
affected driveways/ properties, drainage structures to be altered, reconstruction areas, signs,
guiderail, etc.).

2. Progress. Take progress photographs as needed, including significant work zone traffic control
(WZTC) setups. Situations that may be of interest or concern should be photographed. Include a
photograph of each major piece of equipment used in the construction process.
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Take photographs of areas of disputed work, locations of accidents, or other situations where
factual documentation is needed. Document those elements of work that are not visible after the
work is complete, including excavations for abutments & piers, completed pile and footing
placements, pile and structural member connections, forms, rebar placement, concrete placement
for structural elements and underground utility facility installations.
If a stop work order is issued, take photographs of the affected area when the stop work order
was issued.

3. Post-Construction. Take a set of photographs after construction is complete at or near the

locations of the original photographs. Photographs shall be taken of new structures and structures
that undergo major rehabilitations.

III. CUSTOM RECORD TEMPLATES

Complete the 3 Custom Record Templates in SiteManager (Project Contacts, Project Staffing and
General Project Data). (See Exhibit 90B.)
were previously required to submit. Business Object (BO) Reports are run automatically and posted
daily so they are always up to date and accessible by others in the Department.
Blank, fillable templates are available to the Contractor at the Preconstruction Meeting to capture
their information, others just get the info and fill them in. Construction field staff control their own data
and the Regional office monitors it. If they find a problem or missing information they contact the EIC.

of the reports available based on data entered into the custom templates are:

Status of Active Contracts

Status of Working Contracts
Emergency Contacts
EIC Phone List
EIC Mailing List Labels
Directions to Field Office
Working Projects by Residency
Projects Working Nights by Region
Projects Nearing Completion

The reports are powerful and informative; they contain intelligence that makes them fully functional on
Smart Phones and tablet computers. Select a phone number on a smart phone and it dials the
number; click on directions and the navigation application starts and provides turn by turn directions.

I
The contract diary is one of the most important contract documents. It provides invaluable information
and evidence in the event of later contractual controversies or legal actions. Record any information
that might have a bearing on any probable dispute or claim against the State. Record factual
information, do not record opinions. Ensure that the Contract Diary contains detailed information about
conditions and actions by the various parties that have a significant effect on the progress of the job.
(See Exhibits 90C and 90D.)
Account for all personnel actively assigned to the contract in the Contract Diary for each diary date.
The Contract Diary need not repeat information provided on Daily Work Reports (DWRs). Contract
Diary remarks are to . When an Inspector's
DWR comments critically or adversely about an operation, explain how and when it was resolved,
together with proper cross references.

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The EIC maintains the Contract Diary within SiteManager. Complete by

noon of the following business day. diary kept by
the EIC, no unofficial diaries are to be kept. Complete a contract diary for every normal business day
as well as any other day the Contractor works or a Daily Work Report is recorded.
Only one contract diary can be created in SiteManager per contract per day, regardless of the
number of personnel assigned. SiteManager automatically associates DWRs created by the assigned
Inspectors to the Contract Diary for the same date. When the Inspector has completed the DWR, the
EIC will "Authorize" the DWR, which locks it and prevents any further editing by the Inspector. If the
Inspector or the EIC determines that a DWR needs to be corrected, the EIC will "Unauthorize" the
DWR, allowing the Inspector access. After the DWR is corrected, it must be "Authorized" again in the
contract diary, which will establish a new date/time approval of the contract diary.
If a Consultant Resident Engineer is assigned, the EIC will continue to prepare the Contract Diary.
The Resident Engineer is to prepare a DWR in accordance with
s and authorizes

these remarks but instead make reference to them.

A. Duration of Contract Diary Entries

Begin contract diary entries with either the pre-construction meeting(s) or the first on-site activity by the
Contractor, whichever is first. In instances where the start of construction is delayed with the

exercise individual judgment with regard to continuous vs. intermittent diary entry during this period and
is to so note it in the diary. Record pertinent actions and if intermittent diary entry is used, account for
unrecorded days under Remarks 3. - General.
Cease regular contract diary entries when the Regional Director recommends contract final
acceptance, or the contract completion date is reached. Contract diary entries cannot be made in
SiteManager after the contract completion date unless an administrative time extension is approved by
the RCE. An administrative time extension does NOT change the contract completion date, but it
allows additional diary entries. After cessation of regular contract diary entries, until the final agreement,
maintain a log of contract related actions (telephone calls, correspondence, conversations, etc.) that
are pertinent to contract completion. Attach the log to a contract diary in SiteManager. If the work for
preparation of the final agreement is transferred to the Regional Office, record the transfer in the log
and any additional log entries will be made by Regional Construction Contracts staff.

B. Diary Entries
Contract diary entries are not locked in SiteManager until contract final acceptance. Original entries,
later determined to be in error, must not be edited or deleted. If a previous contract diary is opened and
edited in SiteManager, it will be saved with a new date/time stamp of approval. If an error is found a
found or determined to be an error
and a reference to the original date noted with a correction made.

C. Contract Diary Remarks Guidelines

1. DWR Complete Leave Blank. This field is for DWR entries only and not a Diary remark.

2. WZTC Work Zone Traffic Control Indicate WZTC conditions encountered in the daily
inspection, especially with regard to necessary signs, channelization, etc and note any corrective
action ordered. (Follow through in future entries, noting final action to obtain satisfactory results.)
escription of WZTC

-87 SB passing lane, from Exit 16 to

Exit 15, 9:00 AM 3:00 PM.)
Inspectors are to record on their DWRs the WZTC for the Contractor's operation(s) they inspect.
Document if a specific individual is delegated the responsibility for inspecting all WZTC.
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For multiple sites spread out over a large geographical area, or work on multiple shifts (e.g. day

has not personally observed on that day.

3. General Indicate the details of any operation not covered by a DWR. This information may be
needed should a dispute or claim arise that requires an analysis of the Contractors total work force
and equipment usage. (See Remarks #15 Dispute below.)
Inspection of Materials: Record any samples, tests or checks taken if they are not covered by
the DWRs. Also, record by whom they were taken, whether they passed or failed, and note any
corrective action if necessary. Include samples taken by others such as Contractors, test labs, etc.,
if pertinent to a work operation.
Indicate any Subcontract
initial entry and completion of work on any easement (temporary of permanent) or fee taking.
Record weather conditions for each business day for the duration of the Contract, through a
DWR. If no operations are recorded on a day then an inspector is to be assigned to record on their
DWR. If there are no DWRs (no personnel) on the day record weather conditions in the Diary.

4. Contrctr Work Hrs - (start and completion) in military time. If

5. Phone Calls Document all pertinent incoming and outgoing phone conversations, including
decisions and directives. Note any directions from Construction Area Supervisor(s) or approvals by
Regional or Main Office staff. Cross reference to correspondence remarks section for e-mail
communications.

6. Visitors Record all visitors, their affiliated organization(s), and any pertinent discussions that
affect the contract.

7. Directions to Prime/Sub Document discussions with Contractor, including written and verbal
orders, final actions taken, any details important to support possible future disputes or legal action.

8. Accidents Follow current Department procedures regarding documentation of accidents found

in the Section 97 Accident Notification and Reporting. All accidents are to be recorded under this
remark; including all worker or vehicle accidents, even if no one was injured.

9. Environmental Document inspections, concerns, directives, or issues relevant to

environmental requirements.

10. Civil Rights If a DBE has performed a Commercially Useful Function (CUF) on a FA
contract, make the following entry: [DBE Firm Name] has performed a Commercially Useful
Function (CUF) on contract [D123456] on [date].

11. Suspension/Delay Record delays, conditions, events and Contractor actions or inactions
that have or could have an effect on the Contractor's adherence to the approved schedule. Refer to
§108-01 Progress Schedule, for additional information.

12. Meetings Note the Pre-Construction meeting, regular progress meetings, and any other
pertinent meetings with Regional, Main Office or outside agencies, (e.g. meetings with
representatives of utilities, railroads, and various government agencies.) Note meetings held with
property owners, especially where agreements regarding driveways, trees, or frontage treatment,
etc. are made.

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13. Utilities Record any work performed by others: i.e., permit work, utilities, land owners,
municipal personnel and others. Note start and completion of work and any pertinent conditions.

14. Correspondence Reference incoming and outgoing correspondence if it is of possible

concern so that the Regional Construction Engineer may have access to it, refer to VIII.
Correspondence is for attaching and logging correspondence.

15. Dispute Describe disputed work issues, including the first date of notice. Indicate if force
account records are being maintained, or alternatively, if the Contractor has been directed to
maintain force account records. DWR should note presence of supervisory personnel and any idle
equipment so that the total on site work force and equipment is recorded. Record the presence of
supervisory personnel and idle equipment that do not appear on a DWR. This information may be
needed should a dispute or claim arise that requires an analy
and equipment usage.

16. Non-Compliance Note Contractor/Subcontractor non-compliance and refer to #7

Directions to Prime/Sub above to any directives given to the Contractor to rectify the situation.

17. Audit Record any audits performed by either the Department or other Agencies (i.e. OSC,
FHWA, NYSDOL, etc) and state the name(s) of the person(s) performing said audit.

V. DAILY WORK REPORTS (DWRs)

A Each inspector is to create a DWR for each
date the Contract Diary is created, in order to maintain an audit trail. (See Exhibit 90E.)
If an Inspector is absent for a
creates a DWR on a non-business day, the EIC will need to create a Diary for that date in order to
authorize the DWR so the contract may be closed out. It is not necessary for any other staff to create a
DWR for that non-business day.

A. Typical Daily Operations

Construction inspection is performed to ensure and confirm that each contract requirement is met and
The DWR will be the source
record for all items of work. The DWR indicates what work was accomplished, what checks or tests
were made and the results of the checks and tests.
All checks/tests required by the specifications are to be performed and results recorded, including
tests that are performed by the Contractor's staff and witnessed by the inspector. If the If a test cannot
currently be performed, indicate in the remarks why and when it will be performed.
Cross-check inspectors and subsequent/previous DWRs to prevent recording information on a
DWR more than once, recording on multiple Inspe omitting entries from DWRs, or
incorrect measurement of portions of pay items. This control can be attained by any combination of
methods such as coloring in a set of plans as work is completed and recorded, by checking against a
master list of items by station, length, area, or other methods.
An Inspector creates a DWR in SiteManager and records
Inspectors complete a DWR, which by reference is
considered to be part of the Contract Diary, and should be completed by the end of each day by all
inspection staff and logged on the server (turned in) by the beginning of the next work day.
aterial Acceptance (Sample)
records are used to generate the payment record in SiteManager and will produce reports used in the
contract payment process.

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B. DWR Entries
e DWR. If an
error is noted in A DWR, the DWR is returned to the Inspector for correction prior to authorization. A
DWR
DWR needs to be corrected after it is authorized by the PM, the PM must reset the DWR to
then reauthorize it. Once a contract payment
is made based on an item and quantity on a DWR, no further edits to a DWR can be made. Changes
must then be made on a correction DWR which references the original, incorrect DWR.

C. DWR Entry Guidelines

SiteManager has a number of tabs that are used to enter information into a DWR.

1. DWR Info
Contract D number
Date
Temperature and Weather for their operation(s)
Remarks
#1 DWR Complete Enter
#2 WZTC
Note procedure used, indicate any problems encountered and remedies to them. Do not use
oversimplified r with location, and details.
-87 SB passing lane from Exit 16 to Exit 15, 9:00 AM 3:00 PM.)
#3 General Remarks Enter remarks that do not pertain to a work item, including any discussions
with Contractor personnel or other relevant topics (e.g. permit work, utility work, etc.). Record

#4 - Contrctr Work Hrs (military time), - Record Contractor and/or Subcontractor times.
#5-17 are not used for typical Inspectors DWRs

2. Contractors
Select the Prime and/or Subcontractor(s) who are performing the work being recorded and their
personnel (Labor).
R personnel if the shift is either greater than or less than the
standard eight hour day, noting those hours.

3. Contractor Equipment
Record all Equipment used by the Prime and/or Subcontractor(s) performing the work by selecting
from the pulldown list.
R the duration of the shift
Record speci for Force Account operations.
Record all operating equipment as well as non-operating equipment.

4. Daily Staff
Not Used

5. Work Items
Select the Work Item in the correct Category (Fiscal Share), the Description of Work is displayed.
Record the q Placed Q .
Enter the Engineering Share if applicable.
Select the Contractor performing the work item.
Enter the location of the operation; drainage structure number, ramp name, street name, mile
marker, pour number, or other description to assist in retrieval of information. Fill in the stationing
field(s) if pertinent.

Select Final or select Interim)

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Interim Quantity: Interim quantities are estimates of the quantity of work completed. They are used
when it is more efficient to delay final measurement of quantities until a particular segment or
portion of an item has been constructed (as opposed to daily computation of item quantities of each
completed segment). This method should not be used for most items. Document computations for
interim quantities.
Interim quantities are estimates of the work completed, and must be superseded by final
quantities which are based on accurate measurements, and computations.

Final Quantity: Final quantities are the final measured or computed amounts actually used. With
most items final quantities will be used and recorded on a DWR. Base computations of volumes,
areas, etc., on final measurements made with the degree of accuracy consistent with the item.
When the final quantity is calculated for a previously entered interim quantity, record the final
quantity on a DWR and reference the date when the interim quantity was recorded, and deduct the
interim quantity.
For example: computations for excavation should not be made to the nearest hundredth (0.01)
of a cubic foot, when field measurements are made to the nearest tenth of a foot (0.1) for elevation,
and to the nearest foot (1) distance. Do not show any quantity with more than two decimal places
unless required by the specifications.

R any information necessary to document the quality of materials, work

processes, and any other activities:
Describe the work being performed for the contract pay item listed
Note any inspection of materials placed or received.
Check measurements or tests made by the inspector or others. Enter location of checks,
samples and tests; and their frequency.
Reference contract pay item quantities to delivery tickets, measurements, sketches,
computations or other source documents.
Whenever possible, compute pay item
the item, attach supporting field measurements and computations to the DWR.
Neatly draw and clearly label sketches, indicating which measurements are field measurements
and attach the sketch(s) to the work item tab. Note in the remarks that a sketch is attached.
If work on a contract pay item is incomplete, or the item is progress payment eligible, note that
the work is in progress and record a zero quantity
documented. Note that completed quantities will be recorded on a later DWR. Cross reference
s pay item is
documented.
Note work or materials rejected, the contract pay item and reason(s).

C. Specialized Operations
Certain work operations have unique record keeping requirements and
associated to the following specialized operations (work items) and are required to be used. When an
Inspector is assigned to one of these operations they are to fill out the associated template under that
work item to record delivery, temperatures, tests and any other required information.
Concrete Pavement
Structural Concrete
Asphalt Pavement
If a template is not available, upon Regional Construction Engineer concurrence, the current MURK

MURK 1RR Railroad Force Account

MURK 3 Concrete Pavement DWR (See CIM Section 501)
MURK 4 Asphalt Pavement DWR (See CIM Section 402)
MURK 5 Structural Concrete DWR (See CIM Section 555/557)
MURK 6 SPDES Stormwater Inspection Report (See CIM Section 209)

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VI. MATERIAL ACCEPTANCE RECORD

The contract records must contain documentary evidence of compliance with the specification to
support acceptance of all materials furnished or incorporated into the work. (See Exhibit 90F.) This
documentation consists of one or more components in the form of:
1. Visual and / or Approved List material via the Sample Window
2. Sample Tests in the form of Certifications as specified in the contract pay item via the Sample,
Enter Test Results and Review Samples windows
3. Samples submitted for further testing and acceptance via the Sample Window and (Laboratory
Information Management System) LIMS
After the documentation has been entered, the information is used prior to processing payment by
checking that quantities of materials placed do not exceed quantities of materials received and
accepted, as well as ensuring that payments are not made until materials are verified. The
Specifications and the Materials Inspection Manual as well as Materials Inspection Detail (MID) window
describe the necessary documentation or acceptance procedure for each item of work.

A. Types of Material Acceptances

ample)
Approved Shop Drawing(s)
Department form (per Materials Methods or other Department procedures) (Sample)
Engineers Evaluation/Visual Inspection (Sample)
Approved List (Sample)

Detail all materials received that require acceptances or certifications (e.g.: pipe, rebar, mesh, etc.)
as required by the specification.
For materials that use hot mix asphalt or portland cement concrete, information is provided from the
plant at the end of the day's production on Form BR 316 (PCC) or BR 313 (HMA). Verify that the total
amount shipped from the plant was received.
Do not complete a sample or bulk items from acceptable sources (e.g. top soil, sub-base, select fill,
etc) that have delivery tickets and are documented via a DWR template (i.e. logging the tickets and
placing them in the appropriate item file). Retain weight or batch slips received for items paid for in
place (e.g. concrete, etc.), in the item file but do not treat them as source documents.
Ensure the Template or Sample connected to a contract pay item contains the following:

1. Material Code. Verify that all applicable material codes (primarily 700 series specifications) are
identified. If several materials are required by one contract pay item, select all the corresponding
templates or samples. (Example: 709-04)

2. Material Description. Indicate as appropriate: the type, model, option, grade, etc. of the
material received. (Example: Epoxy-Coated Bar Reinforcement)

3. Product Name. Some materials are identified by brand name, many do not have a brand
name, and therefore those entries are blank. (Example: Blank)

4. Producer/Supplier. Identify the producer or supplier using the pre-populated pull-down

selection. If the vendor is not on the list, notify the Helpdesk via e-mail to add the vendor. If
multiple suppliers provide materials for an item of work, use one sample/template per supplier.
(Example: XYZ Rebar Supply, Inc)

5. Inspection. Inspect material when it is received to ensure that it meets the material
requirements. Record the inspection on a DWR, including the date received, the quantity and any
other pertinent information that establishes compliance.

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B. Multiple Material Acceptance Items

Many pay items require multiple materials/acceptances/suppliers which may require the input of
multiple material samples or templates for a contract pay item.

1. When more than one material acceptance is required for a contract pay item, check that all
material requirements are met before the item is accepted for incorporation into the work.
2. The various materials that make up the contract pay item identify the quantity in the unit of
measure for the contract pay item. For example, guiderail tube and posts will both identify the
length of installed guiderail that the material will supply, not length of tube and number of posts.

C. Multiple Items for a Single Material Acceptance

Many contract pay items share the same material as a component of the item(s). Use a shared sample
window to input data for multiple contract pay items on the Contract Data Tab in the Sample Window.
As long as the documentation covers the multiple items, the EIC may elect to input the information
under an initial item and list the other contract pay items, thus documenting them as well.

VII. COMPUTATION BOOKS/FIELD BOOKS

Composition of computation and field books will vary due to what have become "acceptable practices".
Whenever possible, quantities should be computed as "Final" on the inspector's DWR and entered
directly into SiteManager or scanned and attached to a SiteManager DWR. Show the date and names
or initials of the persons who made and checked computations.
All survey field notes should be recorded electronically whenever possible. Original raw data from
survey and other devices should be maintained in the format produced by the device, prior to
conversion or import into some other format or device.
Field notes and computations should be checked, signed or initialed and dated. Notes shall be
recorded neatly, clearly, uncrowded and in sufficient detail to be easily understood. Field books should
have all pages numbered and there should be an index of its contents on the first page. Field books
should show the date, weather conditions and party personnel at the beginning of each day's notes.

VIII. CORRESPONDENCE/SHOP DRAWINGS

Keep a log of all incoming and outgoing correspondence via the correspondence function in Site
Manager. Shop drawings are also logged via the correspondence function in SiteManager. The
SiteManager log will be the official document to track all contract correspondence. All correspondence
should be scanned and filed electronically. If something cannot be scanned and attached to a record,
file it in hard copy. (See Exhibit 90G.)
Attach any incoming correspondence that may be of concern to the Construction Area Supervisor
(CAS)/Regional Construction Engineer (RCE), or that pertains to matters outside the authority of the
EIC to the correspondence log and notify the CAS/RCE for appropriate action. This will allow others to
view the correspondence. The RCE should be made aware of these attachments as appropriate. Send
a copy of any letter written by the EIC to the RCE unless Regional policy requires otherwise.
Obtain the approval of the Office of Construction and Regional Construction Engineer if an
electronic system other than SiteManager is to be used to manage correspondence. Enter a note in

Do not duplicate or enter portions of the correspondence in different systems.

IX. TERRAIN DATA

Any terrain data used to calculate pay quantities for such items as excavations, drainage, backfill or any
other contract item, then the sections and support data shall be adequately identified (job stamp,
station, etc.) and stored as contract records. This applies to both manually and computer generated
data. Treat survey notes, etc., for cross sections as source records.

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A. Volume Calculation Techniques

The triangulated volume between two Triangulated Irregular Network (TIN) surfaces is the most
accurate method of calculating volume, but is not verifiable on paper using manual calculations. For
fairly straight roadway alignments, the average end area method is also an accurate method of
calculating volume, and it can be verified manually. For areas with significant horizontal curves, a
shorter cross section interval will result in more accurate average end area calculations. The
triangulated volume should be used as a check of average end area volumes to ensure accuracy.

1. Computer Generated Cross Sections

Print and store reduced size, final as-built cross-
Do not retain paper copies of pdf files.
Incorporate the contract D number into the cross-section set file name(s) (e.g.
D123456_Rte123_XSect.pdf).
Manually spot check a minimum of 5% of all cross sections and resulting quantity calculations
including a variety of conditions such as, cut to fill, benching or stripping, mainline-ramp intersect,
etc. Retain and store those sections used for spot checking.

2. Paper Cross Sections

Electronic collection and printing is the preferred method of producing cross sections on paper.
Exercise care in the manual plotting, computation and checking of cross sections. Identify the
individuals performing each type of work.

X. FINAL RECORDS
Final records will vary in number according to the size and complexity of the work. Whenever possible,
create and use information electronically, and avoid paper records wherever possible. If documents
are scanned, the original paper records may be retained for the duration of the contract, but need not
be archived. Organize final paper records in a bound book, loose leaf book, folder, envelope, etc.
Number boxes containing final records consecutively and list contents on the outside.

A. Critical Dates
Ensure all of the critical dates marked Required to Finalize in SiteManager are entered by the
SiteManager Regional Contract Administrator
acceptance. Do not print lists for archiving.

B. Inspection Staff
Print a copy of the report of the inspection staff assigned to the contract.

C. Final Book
Compile the Final Book at the completion of work and will include any required reports produced by
SiteManager in place at time of finalizing. Include the Final Record Index in the front of the first Final
Book. Include a hard copy of the Final Estimate, (CONR 22 - SiteManager report). Group and label all
other records as appropriate.

XI. AVAILABILITY OF CONSTRUCTION CONTRACT RECORDS

A. Availability to the Contractor
The Department's policy and procedure for processing public requests for access to printed
Department information is contained in the Manual of Administrative Procedures (MAP) 2.7-1
Processing Requests for Access to Department Records. Direct any questions regarding the availability
of these or other construction contract records to the Office of Construction.

June 2014 New York State Department of Transportation Page 11

Contract Administration Manual
 Section 90 RECORD KEEPING PROCEDURES

The Department's policy regarding the availability of construction contract records is to allow a
Contractor to inspect and if desired, to copy records, notes or documents that contain statistical or
factual tabulations or data pertaining to engineering and payment information which apply to their
contract during the period between award and final agreement. The following guidelines apply to
commonly requested construction documents:

1. Contract Diary and Daily Work Reports. Allow the Contractor to review those portions of the
contract diary and DWR's that contain statistical or factual tabulations or data under the supervision
of a Department employee.

2. Quantities. Allow the Contractor to review methods of measurement and computations for
quantities under the supervision of a Department employee.

3. Cross sections. Allow the Contractor to review cross sections under the supervision of a
Department employee.

4. FOIL Requests. Where review of contract diaries, DWRs, quantities or computations exceeds
the normal amount of time required for a comparison of quantities at a meeting with Department
staff, provide copies of the required information to and charge the Contractor in accordance with the
billing procedure provided in MAP 2.7-1.

5. Standard Reports. Provide copies of standard SiteManager reports to the Contractor,

Subcontractors, or Material Suppliers that is relative to their work with an explanation of their use.
Requests for reports that are significantly beyond what is normally printed may be referred to the
Records Access Officer in accordance with MAP 2.7-1.
Special procedures have been established for the release of subsurface information. Refer
requests for subsurface information from anyone to the Regional Geotechnical Engineer.

B. Availability of Construction Contract Records to the Public

Refer requests for construction contract records from owners of borrow pits, plants, or quarries; labor
union representatives, or anyone not a part of the contract to the Freedom of Information Law (FOIL)
Officer or the Records Access Officer in accordance with MAP 2.7-1.

XII. RETENTION OF RECORDS

Contract records are subject to detailed review by engineers and auditors of the State and Federal
government years after the construction work is completed. Department policy requires retention of
contract records for various periods, depending upon the type of record. See MAP 1.2-2, Records
Management.

EXHIBITS
A SiteManager Construction Quick Reference Guide (QRG) List 1-15 & 29-32
B Sample NYSDOT Custom Record Template
C Sample SiteManager Inquiry Report
D
E Sample SiteManager Daily Work Report
F Sample SiteManager Material Sample Data
G Sample SiteManager Correspondence Log

June 2014 New York State Department of Transportation Page 12

Contract Administration Manual
 SiteManager Quick Reference Guide (QRG) List

1. Index of QRGs for Construction [Page 1 and 2 of 2] July 2012

2. Procedures / Make Note [Page 1 and 2 of 2]
3. Definitions / Critical Dates [Page 1 and 2 of 2] July 2012
4. Functionality [Page 1 and 2 of 2]
5. Pipelining [Page 1 and 2 of 2] Feb 2011
6. Daily Work Report [Page 1 and 2 of 2] includes Copying a DWR July 2012
7. Material Acceptance – Sample Certification A [Page 1 of 4] July 2012
8. Review/Accept – Sample or Certification [Page 2 of 4] July 2012
9. Sample (Cylinder) C [Page 3 and 4 of 4] how to input a cylinder/slump/air- July 2012
10. DWR Template Matl Acceptance B [Page 4 of 4] how to input “visual or approved list July 2012
11. Material NOT Requiring Material Acceptance [Page 1 of 2] turn on/off requirements &
Material Definitions (codes) and Reviewing a Sample [Page 2 of 2] July 2012
12. Multiple Items with same 700 spec; How to open an existing sample Sept 2011
13. Correspondence Log [Page 1 and 2 of 2]
14. Stockpile (Partial Payments) [ Page 1, 2 and 3 of 3] July 2012
15. Estimate (Generate/View/Process/Manual Line Adj) [Page 1 through 7] July 2012

(See CAM 104-02 for QRG 16-28)

29. Fuel and Asphalt [Page 1 and 2 of 2] July 2012

30. Finalizing a Contract [Page 1-11 of 11] July 2012
31. Adding a SubContractor – Regional [Page 1 and 2 of 2] Feb 2011
32. Custom Record Templates [Page 1 of 1] July 2012

June 2014 New York State Department of Transportation Exhibit 90A

Contract Administration Manual
June 2014 New York State Department of Transportation Exhibit 90B1
Contract Administration Manual
June 2014 New York State Department of Transportation Exhibit 90B2
Contract Administration Manual
June 2014 New York State Department of Transportation Exhibit 90C
Contract Administration Manual
June 2014 New York State Department of Transportation Exhibit 90D
Contract Administration Manual
June 2014 New York State Department of Transportation Exhibit 90D
Contract Administration Manual
June 2014 New York State Department of Transportation Exhibit 90E2
Contract Administration Manual
June 2014 New York State Department of Transportation Exhibit 90F
Contract Administration Manual
June 2014 New York State Department of Transportation Exhibit 90G
Contract Administration Manual