SECTION 90 - RECORD KEEPING PROCEDURES I.

GENERAL The Computerized Engineers Estimate System (CEES) manual contains guidelines on data input and report preparation to make payments to a Contractor. Below is a general listing of documentation that may be required for a project and the CAM section where documentation guidelines can be found. DOCUMENTATION 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20. 21. 22. 23. 24. 25. 26. 27. 28. 29. 30. 31. 32. 33. 34. 35. Project Diary - MURK 2 Daily Inspector's Reports - MURK 1,3,4 & 5 Field Books / Computation Books Materials Acceptance Record - MURK 14 Material Acceptances Correspondence Cross Sections Photographs / Videotape Record Plans Preconstruction Meeting Minutes Utility Relocation Documentation Wage Rate Schedules Certified Payrolls Wage Rate Interviews Overtime Dispensations EEO Documentation Railroad Work Force Account Documentation Disputed Work Records Shop Drawings List of Material Sources (Suppliers) Material Safety Data Sheets Safety and Health Requirements Insurance Certificates Borrow / Waste Area Approvals, Mining Permit Right-of-Way Maps Releases ROW Initial Entry Notices Project Schedules Subcontractor Approvals Payments on Contract Partial Payment Documentation Orders-on-Contract Force Account Records Final Acceptance Documentation Uncompleted Work Agreements CAM SECTION 90 90, CIM 90 90 90 90 90 90 90 95 102-09 102-10 102-10 102-10 102-10 102-21, 102-22, 102-08 105-09 105-14, 109-16 105-16, spec. item no. 106-01 106-01 107-05, * S&HP manual 107-06 107-10 107-14 107-14 107-14 108-01 108-05 109-06 109-04 109-05 109-05 109-09 109-10

* Refer to the Construction Division Safety and Health Program Manual for information about Contractor safety plans, safety precautions during construction operations, and record keeping / reporting requirements. It is the responsibility of the Engineer-in-Charge to be familiar with all sections of the Contract Administration Manual, the Construction Inspection Manual, the Materials Inspection Manual, the CEES Manual, the Construction Division Safety and Health Program Manual and other referenced material March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES and to organize the project records, reports, forms etc. required for complete documentation of the contract. II. PROJECT RECORDS This section sets forth the format and general procedures required in Department construction contract record keeping. These procedures were developed to ensure that documentation exists for the acceptance of materials and work items for both quality and quantity. The basis of acceptance for quality, the method of measurement and the basis of payment are established by the specifications. Therefore, project record keeping is guided by the individual contract requirements of each item of work. There are many kinds of project records that must be kept for a construction project. Records are required as part of the contract payment system to document acceptance and payment of work items. Records are required to document the as-built conditions. Records are also required to document compliance with general contract provisions for which there is no direct pay item. Records could be prepared by the Engineer-in-Charge, Inspectors, the Contractor, or a host of others that are involved with a project. Some records are required on all projects 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. It is imperative that all records be kept up to date. Records for all projects shall conform to current policies and procedures. All active projects shall adapt, insofar as possible, to the latest revisions. However, it will not be necessary to modify documentation that has been compiled prior to any revision. Project records shall be available for inspection by NYSDOT and Federal Highway Administration personnel at the Engineer's field office at all times. The Engineer-in-Charge should make sure that each item in the contract is documented sufficiently to pass an audit years later without benefit of personal explanation. PROJECT RECORD ORGANIZATION AND IDENTIFICATION Project records should be separated into their various classifications, be well identified and filed so that any item can be easily found. Use folders, manila envelopes, books boxes etc. but be sure that each individual sheet has enough identification on it so if inadvertently removed from the file, it can be restored to its proper place. All diaries, field books, final books and other records shall be plainly marked showing contract identification, contents of the book, name of Engineer-in-Charge and the date. Each record and field book should also bear the name of the Regional Director and the address of the Regional Office. A job stamp should be prepared for each project and used to identify project records and forms. This job identification stamp shall contain the following information (preferably in this order): Contract Number (D number) Project Identification Number (PIN) Brief descriptive title Touring Route Number Federal Project Number (if available) County Contractor March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES A. PROJECT DIARY - MURK 2 The project diary is one of themost important project documents. It provides invaluable information and evidence in the event of later contractual controversies or legal actions. Any information that might have a bearing on any probable claim against the State should be recorded in detail. It should contain statements of fact, not opinions. It should contain detailed information about conditions and actions by the various parties that will have a significant effect on the progress of the job. The project diary need not repeat information provided on Inspection Reports. However, when an Inspector's Report comments critically or adversely about an operation, the Project Diary should explain how and when it was resolved, together with proper cross references. The Engineer-in-Charge shall maintain and sign a pre-numbered, loose-leaf type diary. Daily entries must be completed by noon of the following day. The Engineer's Daily Project Diary shall be kept on Form MURK 2 shown as Exhibit 90A. The MURK 2 diary shall be the only diary kept by the Engineerin-Charge. No unofficial diaries shall be kept. All diary entries shall be made in blue or black ink or shall be typed. The project diary is an official source document and shall be turned in with other contract records at the conclusion of the project. DURATION OF DIARY ENTRIES Project diary entries should begin with the pre-construction conferences or the first on-site activity by the Contractor. However, in instances where the start of construction is delayed with the Department's consent, the Engineer-in-Charge may exercise individual judgment with regard to continuous vs. intermittent diary documentation during this delayed start period. The Engineer-in-Charge shall, however, record all pertinent actions and if intermittent documentation is used, the Engineer-in-Charge shall account in the diary for all intervening days. Regular entries will normally cease at the time the Regional Director recommends acceptance of the contract. However, from this date until the date of submittal of the final agreement, the Engineer-in-Charge shall maintain a log in which details of all job related actions are recorded. (telephone calls, correspondence, conversations, etc.) This log shall become a part of the project diary, either by recording the log in the diary or by appending the log to a specific diary page. If the work of preparation of the final agreement is transferred to the Regional Office, such a fact shall be recorded in the diary and the continued maintenance and signing of the log shall be accomplished by the appropriate Regional Office personnel. If an uncompleted work agreement is executed, a diary or log shall be kept until all work is complete. DIARY ENTRY GUIDELINES 1. Date and day of the week: 2. Job stamp: Each page must be stamped. 3. Page number: The diary pages shall be pre-numbered by the Regional Office and provided to the Engineer-in-Charge for each project. Regional Offices shall develop a numbering and tracking system that will account for all prenumbered diary pages. 4. Sheet number: If additional space is needed on the Engineer's Daily Project Diary for remarks, use the next pre-numbered page and designate it as sheet 2 of 2, etc. Adjacent to the original diary sheet number note "1 of 2", etc. and at the bottom of the remarks on the original diary page note "continued on Page No. XXX; 2 of 2", etc. Additional pages must be stamped, dated and signed by the E.I.C. 5. Contractor's Work Hours: Note Contractors work hours (Start and completion time). If Contractor worked less than a full day, give cause or reason in the remarks section of the diary with details as necessary. 6. Maximum and Minimum air temperatures and general weather conditions, including any major changes: i.e. fair A.M., rain P.M. March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES 7. The daily listing of all engineering personnel and their I.R. numbers and work assignments. All personnel assigned to the project must be accounted for in the Diary whether they submit an IR or not. a. For those submitting IR's, indicate the IR number, inspector's name and operation(s) inspected with any identifying description. An Inspector's Report is, by cross reference, considered to be part of the Project Diary, so the I.R. information need not be repeated beyond a short description of the work reported. b. For those not submitting IR's, indicate name and work assignment. i.e., office, leave etc. c. If an inspector is assigned to a survey crew or to assist another inspector in making field measurements, IR's are not required from each inspector/crew member. However, appropriate cross referencing must be performed so as to account for the work performed by each inspector. i.e., assistant inspectors/crew members must be listed on an IR or in a field book and cross referenced from the diary. 8. Maintenance of traffic & signs: Indicate conditions encountered in the daily inspection, especially with regard to necessary signs, barricades, etc., and note any corrective action ordered. (Follow through in future entries, noting final action to obtain satisfactory results.) Do not use the oversimplified, one word remark "Satisfactory" for this entry. Elaborate - tell what you checked and found, etc. Follow current Department procedures regarding the documentation of accidents found in the Construction Division Safety and Health Program Manual. The name of the person designated to be responsible for inspecting the Maintenance of Traffic on the project must be documented. This need only be documented once in the remarks portion for each such designation at the time of the designation. However, if an inspector is the designee such fact should be reflected daily in the work assignment area of the diary. 9. REMARKS: As an aid in future researching, it is suggested that the daily comments be grouped and identified by subject matter and that these subject titles be hi-lighted in some manner (capitalized, underlined or numbered, etc.) The following should be recorded in the Project Diary as necessary and to the extent that the scope of the project requires: a. Full details of any operation not covered by Inspector's Reports, including crew size and makeup for the operation, equipment used and comments and observations by the Engineer-inCharge. Contractor's supervisory personnel and any idle equipment that do not appear on an IR must also be indicated in the diary so that the total on site work force and equipment is recorded. This information may be needed should a dispute or claim arise that requires an analysis of the Contractors total work force and equipment usage. b. Inspection of Materials: Record any samples taken which are not covered by Inspector's Reports. Also, record by whom they were taken, whether they passed or failed, and note any corrective action if necessary. This should include samples taken by others such as Contractors, test labs., etc., if pertinent to a job condition. c. Work done by others: i.e., permit work, utilities, land owners, municipal personnel and others. Note start and completion of work and any conditions of importance. d. Discussions with Contractor: Progress Meetings, written and verbal orders. Follow through on orders showing final action taken to produce satisfactory results and any details important to a complete record for possible legal use later on. e. Orders from Construction Supervisors or other Regional Officials and important discussions. March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES f. Official visitors and discussions.

g. Discussions with property owners, especially any agreements as to driveways, trees and frontage treatment, etc. if not reported on Inspector's Reports. h. Discussions with representatives of utilities, railroads, and various government agencies. i. Delays, conditions, events and Contractor actions or inactions that do or could have an effect on the Contractor's adherence to the approved schedule. Refer to Section 108-01, Start and Progress of Work, for additional information. j. Reference to other pertinent documents such as correspondence, permits or meeting notes.

k. Date and location (map and parcel number) of the Contractor's initial entry upon new right-ofway parcels. Refer to section 107-14 of this manual for additional record keeping requirements. l. At the completion of the daily entry, affix initials or draw vertical wavy lines across the remaining blank areas to prevent postdated additions. 10. Signatures: Diary entries shall be made under the direction of, and signed by, the person designated to be in charge. When inspection is by a Consultant, the Resident Engineer shall prepare and sign the diary. The name of the Consultants firm shall be printed or stamped on each page. The Engineer-in-Charge shall review the Resident Engineers diary entries, adding comments if needed, and countersign each diary page. DIARY ENTRY ERRORS Original entries, later determined to be in error, must not be erased. A line is to be drawn through them and corrections entered directly above. The initials of the individual making the corrections must also be indicated next to any corrections. This method of documenting diary errors is very important, as erasures damage the legal standing of records. B. ENGINEERING FORCE SUMMARY A listing of the engineering force assigned to the contract should be placed in the front of the project diary. As the engineering force reports to the project, their signatures and signed initials must be recorded. A sample summary is shown as Exhibit 90B. C. DAILY INSPECTOR'S REPORT - MURK Form Nos. 1,3,4,& 5 Construction inspection is done to ensure and confirm that each contract requirement is met and these facts should be documented in the records. The records should indicate what work was accomplished, what checks or tests were made and the results of the checks or tests. The Inspector's Daily Report will be the Source Record for all items of work. It is expected that the Inspector will compile this report using a clipboard at the work site. This report, which by crossreference is considered to be part of the Project Diary, is to be completed by the end of each day by all field engineering personnel who are engaged in contract inspection work and turned in by the beginning of the next work day. In purpose, it is each inspector's daily diary and work report. Except for the special cases listed under Specialized Daily Inspector's Reports" the inspector shall use Form MURK 1 Inspectors Daily Report shown as Exhibit 90C. The Inspector's Daily Report, MURK 1, should contain the following information: 1. Date and day of the week: Date the work is performed. March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES 2. Project Identification (Job Stamp) 3. I.R. number: One IR per day per inspector should suffice except for paving (See Specialized Inspection Reports). Inspector's Reports are to be numbered consecutively after they have been turned in. The first IR for each project shall be IR 1. Do not have several series of numbers for earthwork, pavement, drainage etc., or skip numbers. They shall be filed in numerical order. 4. Sheet number: If extra sheets are necessary to provide additional details or computations, another IR form or a sheet of line or graph paper may be used. All additional sheets must contain the same IR number as the first sheet and the sheet numbers adjusted accordingly, i.e., sheet 1 of 2, 2 of 2, etc. All additional sheets must be stamped with the Job Stamp and signed by the inspector. 5. Temperature & Weather: The Engineers diary contains the daily temperature and weather information. Inspectors need only fill this section out if it is pertinent to the item being inspected. 6. Description of Work Performed and Inspected: Enter in this section any information that will be of value in the documentation of the quality of materials, work processes, quantity of work or other project activity. The following types of information shall be included: a. Describe what work was being performed. b. Indicate who performed the work, Contractor name and/or Subcontractor name. Separate operation descriptions by who performed them. The first day a subcontractor arrives on the job site, the inspector should check that the subcontractor is approved by the Department and note it on the IR. c. The start and completion time of the operation being inspected. d. Inspection of materials placed or received. Include time of deliveries and receipt of certifications or acceptance documentation. Prior to the placement of materials the inspector should check the Material Acceptance Record, MURK 14, to ensure that the required acceptance documentation has been received. Refer to section D for additional information on the MURK 14. e. Check measurements or tests made by the inspector or others. Location of checks and tests should be cited and frequency noted by the Inspector on any item where such information is needed. f. Measurements & Sketches to document specification compliance and quantities - The quantities for which payment is made must be documented in the project records. This can be done directly on the IR, on a work sheet attached to and becoming a part of the IR or in a separate computation book referred to in the IR. The Engineer-in-Charge should select the methods which best suit the particular job conditions and then thoroughly document the computations in the project records. All computations and work sheets used in arriving at the payment quantity must be retained in the project files. Sketches must be neatly drawn and clearly labeled. Indicate what measurements were field measurements. Check specification method of measurement and payment. Lump Sum Item Documentation - On Lump Sum Payment Items progress payments may be made in accordance with specification language. Records shall be kept to insure that timely progress payments are made when specification requirements have been met for each stage and that duplicate payments are not made for any portion of the lump sum. g. Arrival and departure time of equipment and work crews. A table on the back of the IR is available to assist in the summary of labor and equipment. March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES h. Uncompleted Work - In the event that an operation is not completed the day it is started, the Inspector should note that when complete, quantities will appear on a later IR. The inspector should, however, list the item number in the designated column on the IR. This treatment should be used when multiple operations are required to complete work included in a pay item. (e.g. where footing forms are constructed and inspected one day the rebar is placed on the second day and concrete is poured on a later date.) Subsequent IR's should be cross referenced back so that inspection of the entire operation for the pay item is tied together. i. Length and cause of any delays. Describe any occurrences that delayed any operation including who, when, why, how long. j. Orders given to the Contractor. Indicate to whom they were given and what measures were taken by the Contractor to respond. Cross reference to previous IR's if follow-up occurred on a subsequent day. k. Work or materials rejected and reasons. l. Disputes - Note any disputes discussed with full details.

m. Procedures used for Maintenance & Protection of Traffic - Reference plans, proposal, MUTCD. Indicate problems encountered and remedies. n. Procedures used for compliance with safety provisions - Describe what procedures were used, refer to approved safety plans, proposal, etc. Record discussions regarding safety. o. Other inspectors who assisted the inspector preparing the IR. 7. CEES Data Entry Fields a. Item number b. Fiscal Share c. Engineering Share: This is an optional entry which enables CEES to sort and display inspector's report data by engineering share. Refer to the CEES manual for additional information. d. 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 all or most items. It is recommended that in most cases final quantities be computed and recorded on the Inspector's Daily Report. Computations for interim quantities must be documented in the project records. Since interim quantities are estimates of the work completed, they must be superseded by final quantities which are based on accurate cross-sections, measurements and computations. When the final quantity is calculated for a previously entered interim quantity, an IR must be completed and reference the interim quantity IR number. e. Final Quantity: Final quantities are the final measured or computed amounts actually used. Computations of volumes, areas, etc., will be based on final measurements made with the degree of accuracy consistent with the item and with the practical precision of measurement. 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 March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES nearest foot (1) distance. Do not show any quantity with more than two decimal places unless precluded by the specifications. Pay quantities listed on the IR should be back referenced to delivery tickets, measurements, sketches, computations or other source documents. When applicable, design computation sheets should be used as quantity computations to eliminate recomputing and rechecking the same quantities. Whenever possible quantities should be computed as "Final" and supporting field measurements and computations shown on the IR or attached to and becoming a part of the IR. This will reduce the number of computation books required. Refer to 109-11 Final Agreement, for further information regarding final contract quantities. When work is reported on items that have been previously sketched and computed in a final book (bridge components, etc.), the Inspector will refer to the final book as the source of the quantity used. f. Quantity Check: A person other than the individual preparing the IR must check the report computations and initial this field. A check mark is not acceptable. All computations, both interim and final quantities, must be checked. Original entries, determined to be in error, must not be erased. A line is to be drawn through them and corrections entered and initialed by the person making the correction. g. Description of Work: This is an optional field that was created to allow for computerized sorting by CEES. It was not intended that this be a description of the item number. The information contained in this field could be a location description such as station limits, drainage structure number, ramp name, street name, bridge number / name, pour number or other description that could be used to assist in retrieval of information from CEES. For example, if there is a need to locate a previously completed inspection report for an item of work at a specified location, CEES could perform a search on both the item number and the description to help find the IR number. If the field is to be used the Engineer-in-Charge should determine the type of description wanted and discuss it with the inspection staff prior to beginning work. This will ensure uniform reporting and facilitate its use in CEES. h. Computer - Entered/checked: The persons entering and checking the data transferred from the I.R. to the Computerized Engineer's Estimate System (CEES) initial these fields. All data entry into CEES, both interim and final quantities, must be checked. Pay items shown on I.R.`s are to be posted under their proper fiscal share. Refer to the CEES Manual for additional information. 8. Labor & Equipment Used: All labor and equipment performing work on the project must be accounted for on the IRs. Each inspector must document the number and type of labor and equipment as well as the time of arrival and departure so that crew and equipment movements are recorded. The table on the back of the MURK 1d should be used to record this information. If idle equipment is observed it should be noted on the IR. 9. Inspector's Signature: Except as noted elsewhere, the Inspector's full signature is necessary on the IR and on any forms that may be prepared (not initials or a printed name). 10. Reviewed By / Date: Daily, the E.I.C. shall review the I.R.'s for the credibility and adequacy of the information supplied, and then should immediately sign and date them. In special instances the E.I.C. may delegate in writing this responsibility to a specific subordinate if such delegation is approved in writing by the Regional Construction Engineer. Such written approval shall be kept on file with the I.R.`s. On consultant supervised projects the consultant's Resident Engineer will sign the Inspector's reports as the reviewing authority. However, the State's E.I.C. must read and initial them. SPECIALIZED DAILY INSPECTOR'S REPORTS March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES Due to unique record keeping requirements for certain work operations the following specialized daily inspector's reports have been developed: Concrete Pavement Daily Field Inspection Report - MURK 3 Asphalt Pavement Daily Field Inspection Report - MURK 4 Structural Concrete Inspector's Daily Report - MURK 5 Inspector's Daily Report Railroad Force Account - MURK 1RR When an inspector's assignment is to a paving operation, Forms MURK-3 OR MURK-4 will be their daily IR. Similarly, Form MURK-5 will be the daily IR when the assignment is structural concrete inspection. In these situations the inspector will not make out MURK-1 unless they are also inspecting other types of work. However, the Structural Concrete Inspector's Daily Report, MURK-5 may be omitted, at the discretion of the Engineer, when only one load of concrete will be used in a day. In such cases, all of the data required on the MURK-5 for such a load of concrete shall be recorded on the MURK-1 for that day. If more than one load of concrete is used, Form MURK-5 shall be utilized. For specific details on completing these forms refer to Sections 401 and 501 of the Construction Inspection Manual. MURK 3 and 5 are in Section 501, MURK 4 is in Section 401. When an inspector's entire day is spent on railroad force account work, Form MURK-1RR, Inspector`s Daily Report - Railroad Force Account, may be used in place of the regular MURK-1 and MURK-11 combination. The option to use MURK-1 or MURK-1RR for such work will be that of the Engineer-inCharge. For specific details on completing MURK-1RR, refer to 105-09 of this manual, Work Affecting Railroads. IR DATA ENTRY CONTROL Positive control must be maintained at each project to prevent entering an inspection report more than once, omitting entries from inspection reports, or omitting the 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 entered, checking against a master list of items by station, length, area, etc. D. FIELD BOOKS / COMPUTATION BOOKS The number and contents of field books (survey and field measurement) and computation books depends on the type of construction involved. Composition of field and computation books will vary due to practices that have become "acceptable practice" in the different Regions. However, record content shall conform with this manual, particularly in the use and referencing of source records. Whenever possible, quantities should be computed as "final" on the inspector's report and entered directly into the Computerized Estimate System as such. This will reduce the number of computation books required. When stakeout survey is done by State forces, it is preferable that all survey field notes, base line notes, center line notes and grade books should be recorded in bound books, except for those that are compiled by computer. When loose leaf books are used, care must be exercised to prevent lost pages. All books are to be numbered and referenced in the Index of Final Records. Field notes and computations should be checked, signed or initialed and dated. If initials are used, the name and title of the individual shall be on file in the project records. Notes shall be recorded neatly, clearly, uncrowded and in sufficient detail to be easily understood. Too much detail is much better than too little. Original entries, later determined to be in error, must not be erased. A line is to be drawn through them and corrections entered directly above. The initials of the individual making the corrections must also be indicated next to any corrections. This is very important, as erasures damage the legal standing of records. When revisions require abandonment of a considerable portion of notes, these March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES should be crossed out and a notation made of the book and page number where revised notes may be found. Each book 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. Computation books shall show the date and names or initials of the persons who made and checked the computations. E. MATERIALS ACCEPTANCE RECORD - MURK 14 The project records must contain documentary evidence of specification compliance to support acceptance of all materials furnished and incorporated into the work. This form is used to cross reference between IR's used to document the inspection and receipt of material and associated acceptance documentation. The form, shown as Exhibit 90D, is also used prior to each payment to check that materials placed do not exceed materials received and accepted. This check is incorporated into CEES and should be used for appropriate items. The Specifications and the Materials Inspection Manual describe the necessary documentation or acceptance procedure for each item of work. TYPES OF ACCEPTANCES Manufacturer's certification Erector's certification Department form (per Materials methods or other Department procedures) Engineers evaluation / visual inspection Approved list All materials received on the project that require acceptances or certifications, eg. pipe, rebars, mesh, etc., should be detailed on this record. Entry of materials received into CEES does not replace the need to complete a MURK 14. Material acceptance documentation must be cross referenced and filed so that they can be found easily. There is no need to complete a MAR for materials like asphalt concrete, portland cement concrete or bulk items from acceptable sources that have delivery tickets and are documented on Inspector's Reports. Weight or batch slips received on the project for items paid for in place, e.g. concrete, etc., should be retained but need not be treated as source documents. The Materials Acceptance Record should contain the following information: 1. Pay item number and description 2. Material specification Numbers - Include all 700 series numbers that apply. If several materials are required for an item, additional sheets may be used. 3. Original contract quantity 4. Final contract quantity 5. Material description - Indicate the brand, type, model, option, grade etc. of the material actually received. 6. Manufacturer / Address / Supplier - This information is provided by the Contractor in accordance with 106-01 of the specifications. For ease of reference a copy of the Contractors list of suppliers March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES should be kept in front of the Materials Acceptance Book. If several suppliers provide material for an item of work all suppliers must be listed. Additional sheets may be used if required. 7. Date approved (Supplier) - In the "Date Approved" box following the Name of the supplier enter either (1) the date that the Regional Office receives the Contractor's list of suppliers containing the material in question or (2) if from an approved list, the date of the list with a note denoting from an approved list. If the Contractor later changes the supplier in accordance with subsection 106-01 of the specifications, the date of the Regional Director's written approval of the change should also be entered together with an appropriate note. 8. Basis of Acceptance (Evidence of Acceptability) - List all Evidence of Acceptability requirements from the Materials Inspection Manual and the basis of acceptance requirements from the specifications. 9. I.R. number / Date shipment received / Quantity (Units) Received this shipment - When material is received at the project site it should be inspected to ensure that it meets the material specification requirements. The inspection must be recorded on an IR and include the date received, the measured quantity and any other pertinent facts that establish specification compliance. 10. Quantity (Units) received total to date - Total to date received should be kept current and reviewed at each progress payment. This quantity may be computed by CEES and checked against the quantity of material placed for payment. 11. Lot Number - Where applicable this information should be taken from the materials documentation. 12. Acceptance document / Type / Quantity Denoted / Date Received - This information should be entered when the acceptance documentation is received. If the material is accepted based on a visual inspection, indicate so in the acceptance document type field. The IR referenced in the first column will contain the details of that inspection. 13. Date of Acceptance - This shall be the date of acceptance for incorporation into the work at the project site. i.e. The material is on site, has been inspected at the site and the proper documentation for acceptability has been provided. 14. Test Number - Where applicable this information should be taken from the materials documentation. MULTIPLE MATERIAL ACCEPTANCE ITEMS Many pay items require multiple materials / acceptances / suppliers which may require the use of multiple pages or at the Engineer-in-Charge's option dividing the page up into sections for each material. Either way is acceptable as long as all of the information required is provided. Key points for multiple material acceptance pay items: 1. When more than one material acceptance is required for a pay item the Engineer-in-Charge must check that all material requirements are met before the item is accepted for incorporation into the work. 2. If the unit of measure for the various materials that make up a pay item are different than the pay item unit of measure, the Engineer-in-Charge should establish a controlling material and convert the unit of measure for comparison with the quantities reported on IR's. F. PAYMENTS ON CONTRACT Information recorded on IR's and the Material Acceptance record are entered into the Departments Computerized Engineers Estimate System in accordance with the CEES manual to produce reports used in the contract payment process. Documentation showing the progression of payments made March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES during the life of the contract up to and including the final payment shall be kept in the project files. For details on documentation required for processing a payment on contract refer to section 109-03 of this manual. G. CORRESPONDENCE A file shall be kept for all incoming and outgoing correspondence as a part of the proper support for all documentation of the contract. A copy of any letter written by the Engineer-in-Charge shall be sent to the Regional Construction Engineer unless regional policy requires otherwise. Copies of incoming correspondence shall also be given to the Regional Construction Engineer if of possible concern. This, of course, refers only to correspondence that is not intra-departmental. If incoming correspondence pertains to matters outside the authority of the Engineer-in-Charge , it shall be forwarded to the Regional Construction Engineer for appropriate action. H. CROSS SECTIONS If preliminary and/or final cross sections are used to calculate pay quantities for such items as excavations, drainage, structure or any other contract item, then the sections and support data shall be adequately identified (job stamp, station, etc.) and stored as project records. This applies to both manually and computer generated cross sections. 1. Computer Generated Cross Sections If the cross-sections for a project are performed by computer, (either microcomputer, workstation, or mainframe) and the software application employed has been approved by the Division for statewide construction use, then full size (1" = 5' H&V or 1:50 H&V) final as-built cross section rolls need not be printed and stored as project records. However, reduced size, final as-built cross-sections on 8-1/2" x 11" paper are required to be printed and stored as project records if the computer files are not retained as project records. If the computer files of the cross sections are transferred to diskette and stored as project records then the paper cross sections are not required to be retained as project records. The computer diskettes must be clearly labeled to include file name(s), the software application name and version used, along with the contract D number and date. Computer generated cross sections and resulting quantity calculations shall be manually "spot checked" and so indicated on the reduced size paper prints. A minimum of 5% of all sections shall be "spot checked" and a variety of conditions such as, cut to fill, benching or stripping, mainline-ramp intersects, etc. shall be included in the checking. Those sections used for "spot checking" must be retained and stored as project records. 2. Hand Drawn Cross Sections When cross sections for pay items are done manually, care shall be exercised in the plotting, computation and checking of all work and proper identifying initials of persons performing the work shall be indicated. Survey notes, etc., for cross sections should be treated as source records. I. PHOTOGRAPHS / VIDEOTAPE As part of the record keeping process, photographs of the project should be taken before, during, and after construction to help document the Contractors progress and avoid disputes concerning preexisting conditions. The following guidelines should be considered to ensure uniformity: 1. A set of photos should be taken before construction begins. Overall project photos and specific photos of affected areas should be taken (i.e. bridges, intersections, affected driveways, drainage structures to be altered, reconstruction areas, affected properties, etc.). March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES 2. A set of photos should be taken after construction is complete at or near the locations of the original photos. 3. Progress photos should be taken as needed, including documentation of significant M&PT setups. Situations that may be of interest or concern should be photographed. 4. Photos should be taken of areas of disputed work, locations of accidents, or other situations where factual documentation is essential. 5. If a stop work order is issued, photos should be taken of the affected area at the time of the order. 6. Photographs shall be taken of new structures and major structure rehabilitations. The following procedures apply : a) Take an appropriate number of photographs so that all elements of the structure that are not visible in the completed structure are documented. 1.) For the abutments & piers : Excavations Completed pile placement Forms, rebar placement, concrete placement for all elements Pile and structural member connections 2.) For the deck : Forms, rebar placement, concrete placement b) One picture of each major piece of equipment used in the construction process. c) Photographs to be archived as part of the project records should be organized and properly described, such that searching for structure specific photographs can be easily accomplished. d) The number of photographs required to document a structure will vary greatly depending on the size and complexity of the structure construction effort. It is expected that the number necessary for the purposes outlined above could easily exceed 50 (+/- 25) photographs. 7. All pictures must be identified for future viewing. The following information should by provided for each photo: Project name, contract number, date taken, time taken, location, view direction, photographer, subject, and remarks. 8. As part of the project record, the photographs shall be readily accessible to all interested, authorized parties. 9. The following procedures are specific to digital photographs: a) All digital photos are to have a logical computer file name with a maximum of 8 characters. Standard recommended file naming convention : First 4 digits are the last 4 digits of the contract D#. Next 4 digits is the number of the photo, 0001 to 9999. b) The file format should be JPEG.

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SECTION 90 - RECORD KEEPING PROCEDURES c) Digital photos should be taken at a resolution that provides a clear representation of the details the photograph was intended to show. Where the photograph details are considered important and/or the image is expected to be printed, 1024 x 768 pixel resolution is recommended as a reasonable balance between image clarity and computer file size. d) The date and time the photograph was taken must be recorded. Do not alter the date and time of any photo. Ensure that the date and time the photograph was taken is recorded and not the date and time the computer image file is created, as these may not always be the same. e) All digital photos shall have the following fields of data associated with each photo through use of the indexing/cataloging software: 1. Contract Number (DXXXXXX format) 2. Date (DD/MM/YYYY format) and Time Taken 3. Photograph File Name (8 characters max) Also, the following fields of data should be associated with each photo : 4. Type of Work - highway, bridge, or other (20 characters max) 5. Location of Photo - highway reference marker, contract station number, or BIN (20 characters max) 6. Description of Photo (< 100 characters recommended) f) Copies of the digital photos shall be kept on CD/diskette or other reasonable method (Example: an accessible computer server). CDs/Diskettes should be labeled to clearly identify the type of information and files they contain. An index file, which logically catalogs the images, should accompany the image files. An index file should including thumbnails (small images of the photograph) and photograph descriptions (date, time, location, BIN, etc.). g) The digital photos and related index/catalog data files are to be retained as permanent project records. Videotapes are encouraged where appropriate to document contract operations or conditions at the work site. The information available on the videotape should be clearly identified. Superseded by EB 08-044 III. AS-BUILT RECORD PLANS Upon advertising a contract for letting, the Region, usually the Regional Design Group, is sent the original contract drawings plus one (1) set of reproducibles suitable for contact reproduction. The original drawings are retained by the Region for ultimate development of the As-Built Record Plans. The set of reproducibles is given to the Contractor after award. The following standards have been established for timely completion and submission of As-Built record plans. During the course of the project designated field staff will transfer the information on the Draft As-Built set of plans to the original contract drawings or paper copies of such to develop the As-Built Record Plans. Prior to construction, the Engineer-in-Charge shall obtain an extra set of full size contract plans on which all as-built revisions, i.e., invert elevations, location of underdrains, ducts, survey monuments, etc. shall be recorded. This set of plans shall be referred to as the "Draft As-Built Record Plans". The final As-Built Record Plans, including all approved field change sheets shall be completed and available for Regional Construction Group review no later than 30 days after contract acceptance date. The development of the final plans may be performed during the course of the project since these plans, in most instances, may be submitted on a standard paper copy of the original contract plan. The use of mylar paper, for original plan sheets, has been all but eliminated within DOT. The Engineerin-Charge shall verify this with the Regional designer of the contract. March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES The Engineer-in-Charge will then submit the final As-Built Record Plans to the Regional Construction Group in accordance with Regional policy and procedures. The Regional Construction Group will review and approve the As-Built Record Plans, and then transmit them to the Regional Design Group within 60 days of the contract acceptance. Final As-Built Record Plans, including field change sheets, shall be sent to the Main Offices Record Plans Unit by the Regional Design Group. The Main Office Records Plans Unit will only microfilm the sheets with changes and then the entire set of plans are returned to the Regional Design Group together with a copy of the microfilm. If field change sheets are developed during construction, the approved, original field change sheets and microfilm cards are prepared and also returned to the Regional Design Group. The Design Quality Assurance Bureau will monitor and periodically report the status of overdue "AsBuilt Record Plans" to the Design and Construction Divisions with a copy to the Regional Design and Construction Groups. A. NUMBERING OF ORIGINAL CONTRACT PLAN SHEETS Normally when contract plans are prepared, the sheets are numbered consecutively and the total number of sheets is indicated on the Title Sheet and in the upper right hand box of each sheet. Occasionally, after the contract plans have been sent to the Main Office, and prior to the letting, it is necessary to add a sheet or sheets to the contract. For example; should it be required to insert a sheet to supplement the information given on Sheet 14 of 162, the new added sheet will be numbered 14A1, and if more than one sheet is required they will be numbered 14A1, 14A2, etc. B. FIELD CHANGE SHEETS Field change sheets are prepared after a contract is let and awarded. They are required when a major change in the contract requires that an original contract sheet be significantly altered or if additional sheets must be added to the contract to provide a clear understanding of the work to be performed. They are also required to facilitate review the approval of major redesigns of project elements. Field change sheets must be incorporated into the contract by an order-on-contract. Refer to sections 104-03 and 109-05 of this manual for guidelines on preparing and processing field change sheets. C. AS-BUILT RECORD PLAN GUIDELINES Regional Construction Groups may use either, ledger size paper, U.S.Standard D size paper, or mylar to create As-Built Record plans . This determination is based on Regional policy to submit PS&E packages on size A (letter size), size B (ledger size) or D (22" x 34") full size. Some Regional Design Groups may continue to use full size mylar. If so, the Regional Construction Groups would continue to create As-Built Record Plans on the original mylars. Additionally, the Region may consider the development of the As-Built Record Plans via computer software on a project by project basis. For some contracts or some specific sheets of a contract, the use of computer software may prove beneficial. The final "As-Built Record Plans" are prepared from the draft as-built plans maintained during construction. Steps to be taken to insure the clarity of final As-Built Record Plans for both viewing and reproduction purposes are: 1. Numbering As-Built Record Plan Sheets Any sheet which has been revised with "as-built" features shall be renumbered as follows:

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SECTION 90 - RECORD KEEPING PROCEDURES a. An R1 shall be added to any original sheet number to indicate that as-built revisions have been made. i.e., Assume that on sheet 14 the station number of a culvert was changed. This sheet would become sheet 14R1. b. If a field change sheet, 18F1, also has "as-built" features, it would become 18F1R1. c. When it is necessary to add various tables to a sheet in order to indicate the "as-built" features, there may be cases where there is insufficient room for all of the additional tables on the appropriate sheet. In this case, a new sheet should be prepared and numbered as a revision of the original sheet; i.e., sheet 14R2 would be a revision of or supplementary sheet to sheet 14R1. 2. Title Sheet a. The words RECORD PLANS shall be written in at least 254 mm (1") letters on D size paper, or 127mm (") letters on B size paper across the top of the title sheet to the left or right of the State emblem. b. The following information should be shown in tabular form on the title sheet of the Record Plans: Contractor's name, date of award, date of final acceptance, fiscal share costs and combined total cost. The name of the Regional Director and the Engineer-in-Charge shall also appear on this sheet. c. The title sheet of the record plans must be signed by the Regional Construction Engineer or designee. d. Standard sheets listed on the title sheet should reflect corrections and/or additions made by amendment or order-on-contract work. 3. As-Built Revisions / Signature Box a. All "as-built" revisions made should be noted in the box provided in the lower right corner of each sheet, i.e., " Alignment Revision, Sta. 10, " etc. If no as-built changes were made the words " No AsBuilt Revisions " shall be written in the lower right hand corner. b. All "as-built" revision sheets must be signed and dated by the Regional Construction Engineer or their designee. 4. The original lines or lettering shall not be erased when making corrections. 5. Line revisions should be made by using heavy weighted lines which stand out clearly. 6. Revisions to the notes and written matter should be made by crossing out the original and inserting the revision as close to the original as is possible without impairing the legibility of the original. New lettering should be similar in size and spacing to the original lettering so that it will be legible when the drawing scale is reduced approximately one half. 7. The use of ink and pencil on the same sheet shall be avoided. 8. No entries should be made on the backs of the Record Plans. 9. The Estimate of Quantities sheets and the Earthwork and Earthwork Summary Sheets on the plans need not be up-dated for Record Plan purposes. Cross them out and affix a reference directing the reader to the appropriate Final Book for "as-built" quantities. 10. Tables Except as noted below, tables should be revised as noted in "6" or by inserting a new table if the changes are extensive. If "as-built" changes are shown on the 1" = 50' Record Plans and adequately labeled, most tables need not be updated to "as-built" conditions. However, all tables may be updated if you so desire. The changed conditions on the tables should be marked out and referenced to the plans for "as-built" March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES conditions. Tables such as Structures, Driveways, Intersections, Gutter, Sidewalk, Guide Rail, Underdrain, Curb, Fencing, etc. fall in this category. The Table of Lengths and Table of Bench Marks should be updated in the Record Plans. IV. SECURITY OF RECORDS At all times when not in use, all source documents, reports, project diary, correspondence, survey notes, computer diskettes, etc. are to be kept 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. V. AVAILABILITY OF CONSTRUCTION PROJECT RECORDS TO THE CONTRACTOR The Department's policy and procedure for processing public requests for access to printed Department information is contained in section 2.7-1 of the Manual of Administrative Procedures and should be referred to for guidance. The Department's policy regarding the availability of construction project 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 particular contract while it is in the construction phase, i.e., the period between award and final payment. The following guidelines apply to commonly requested construction project documents: 1. Project Diary and Inspection Reports - The Contractor should be allowed to review those portions of the project diary and IR's that contain statistical or factual tabulations or data. The review shall be under the supervision of a Department employee. 2. Final Quantities - The Contractor should be allowed to review methods of measurement and computations for final quantities. The review shall be under the supervision of a Department employee. 3. Cross sections - The Contractor shall be allowed to review cross sections under the supervision of a Department employee. 4. Where review of final quantities and computations exceeds the normal amount of time required for a comparison of quantities at a meeting with Department staff, copies of the required information may be provided to the Contractor and charged in accordance with the billing procedure provided in MAP 2.7-1. 5. Copies of standard CEES reports may be provided to the Contractor with an explanation of their use. Requests for reports that are significantly beyond what is normally printed may be honored and charged in accordance with the billing procedure contained in MAP 2.7-1. 6. Subsurface information is available to prospective bidders / the Contractor and is addressed in 102-04, No Misunderstanding, and 102-05, Subsurface Information. Any questions regarding the availability of these or other construction project records should be directed to the Office of Construction. VI. AVAILABILITY OF CONSTRUCTION PROJECT RECORDS TO THE PUBLIC Requests for construction project records from owners of borrow pits, plants, quarries, material supply sources or anyone other than the Contractor must be reviewed in accordance with MAP 2.7-1.

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SECTION 90 - RECORD KEEPING PROCEDURES 1. RELEASE OF SUBSURFACE INFORMATION - Special procedures have been established for the release of subsurface information. Requests for subsurface information from anyone must be referred to the Regional Geotechnical Engineer in the Regional Office. VII. FINAL RECORDS All original notes, books, source documents, etc. will be retained by the Department in accordance with section VIII below. The use of the word "book" herein means a grouping of information contained in a bound book, loose leaf book, folder, envelope, etc. Boxes containing final records shall be numbered consecutively and their contents listed on the outside. Final books will vary in number according to the size and complexity of the project. One suggested grouping of Final Books would include: A. FINAL ESTIMATE BOOK. This book will be compiled at the completion of a project and will include reports produced by the Computerized Engineer's Estimate System. The Final Estimate Book shall contain the following reports and data: 1. Final Record Index - A composite index of all books and rolls making up the final records shall be contained in the front of the Final Estimate book. 2. a. b. c. d. e. f. g. Summary of contract dates - The following data should be included in the summary: Contract Award Date Original Contract Completion Date First Day of Work Extensions of Time Granted to Last Day of Work Date of Regional Director's Recommendation of Acceptance Date of Acceptance by the Construction Division

3. Engineer-in-Charge certification of quantities and materials used. The following two statements shall be included in the final estimate book and signed by the Engineer-in-Charge: a. The quantities in this final book have been reviewed and verified as to their accuracy. b. All materials incorporated in this contract have been tested and accepted as specified in the New York State Department of Transportation Specifications of ____. Acceptances, certifications and test numbers have been recorded in the final books. 4. CEES reports - The following reports produced by CEES shall be printed and included in the Final Estimate Book: a. Charges To Contractor b. Fiscal Shares c. Partial Payments d. Eligible Fuel Adjustment Items e. Eligible Asphalt Adjustment Items f. Monthly Fuel Prices g. Monthly Asphalt Prices h. Items Not Paid By NYSDOT 5. Payments on contract record - This section shall contain a copy of the Data Entry form, the CONR 22, and the Fuel & Asphalt report produced by CEES and a copy of the CONR 22 produced by the Main Office for each payment estimate. In addition at the end of the project a copy of the Final estimate CONR 22, the Final Data Entry form and the Fuel & Asphalt Summary Report produced by CEES shall March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES be included. Refer to 109-03 and 109-11 of this manual for additional information regarding these documents. B. ENGINEER'S DAILY DIARY BOOK C. INSPECTOR'S DAILY REPORT BOOK(S) D. MATERIALS ACCEPTANCE BOOK E. FIELD BOOKS (Survey & Field Measurements) F. COMPUTATION BOOKS G. CEES DISKETTES The following CEES data files shall be stored on floppy diskette and kept with the final records: 1. A copy of the CONR 00 file. 2. A copy of each progress estimate database file & ASCII estimate file. 3. A copy of the final estimate database file & ASCII final estimate file. 4. A copy of the following six final ASCII files: ITEM (ITM), CHARGES (CHG), PARTIAL PAYMENTS (PRT), ORDERS ON CONTRACT (OOC), MATERIALS ACCEPTANCE (MAR), INSPECTOR REPORTS (IR) Refer to the CEES manual for detailed information concerning required back-up, retention and CEES data. H. MISCELLANEOUS BOOKS All other project records shall be grouped and labeled as appropriate. VIII. RETENTION OF RECORDS Project records are subject to detailed review by engineers and auditors of the State and Federal government years after the construction work is completed, and must be retained in accordance with current State and Federal retention schedules. In general, Federal regulations require the retention of all project records and source data for a minimum of three (3) years after submission by the State of the final voucher for a particular project to the Federal Highway Administration (FHWA). They also require that these records and source data shall be available at all times for inspection by any authorized representative of the Federal Government and that copies thereof shall be furnished when requested. The New York State Department of Transportation (NYSDOT) Finance Division, Accounting and Fiscal Services Bureau will notify the Regional Director of the date of the final payment voucher to the FHWA for each construction contract. It should be stressed that the date of submission of the final payment voucher by the State to the Federal Highway Administration may be quite some time after final payment is made to the Contractor. NYSDOT policy requires retention of all project records for periods ranging from 10 years to permanent retention, depending upon the type of record. For details, see the Manual of Administrative Procedures, Chapter 2.1, Records Management. Since reimbursement of the federal portion of the total contract amount is dependent upon the original verified documents, it is imperative that these documents be carefully kept and recorded and then transferred to safe, adequate and recoverable storage after the contract is completed. March 1996/September 2000
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SECTION 90 - RECORD KEEPING PROCEDURES RELATED CONTRACT PROVISIONS: 102-04, No Misunderstanding 102-05, Subsurface Information 104-03, Changes, Contingencies, Extra Work and Deductions 105-09, WORK AFFECTING RAILROADS 106-01, SOURCE OF SUPPLY AND QUALITY REQUIREMENTS 108-01, Start and Progress of Work 109-03, PAYMENTS ON CONTRACT 109-05, Extra Work, Force Account Work, Dispute Compensation & Recordkeeping 109-11, Final Agreement

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