105.9 Authority and Duties of Resident Engineer (Sec 105.9)

Refer to Sec 105.9 for information on the authority and duties of the Resident Engineer.

Under direction of the District Engineer and the district construction and materials engineer, the Resident Engineer shall have immediate charge of one or more construction projects. The activities and efficiency of subordinates and the satisfactory prosecution of work is the responsibility of the Resident Engineer.

The Resident Engineer will be held responsible for the accuracy of all notes and reporting procedures.

Each Resident Engineer must keep a diary for each contract being supervised, in which matters of importance regarding the project shall be entered. A daily diary for each contract is only required for contracts which track Available Time (Working Days) as a completion date or milestone.

The Resident Engineer is not expected to function as the sole representative of the state but needs various assistants, inspectors and others to closely watch the different phases of work for proper compliance and for keeping records in order.

To have an efficient organization, the line of authority must be well defined. The Resident Engineer should delegate authority to each employee in line with their administrative responsibilities and should then follow up to see that delegated duties are being properly discharged. The Resident Engineer is expected to coach project office personnel to develop skills and understanding necessary to exert that authority effectively.

It is good practice to assign responsibility for inspection supervision on the project to one or more experienced inspectors. The Resident Engineer must give these employees, as chief inspectors, authority to direct and coordinate the activities of all inspection personnel and to make day-to-day decisions involving engineering judgment of an immediate nature.

Although the Resident Engineer may have a qualified inspector on the project to inspect the work, the Resident Engineer remains responsible for the overall project and should develop a process to be certain that inspection operations and reports provide assurance that the plans and specifications are being properly interpreted and applied. The Resident Engineer must also be alert to any difficulties that could arise either in the construction or in the final function of the project and try to make correction at a time when it can be done with a minimum of cost and inconvenience.

All employees are expected to accept assigned responsibility and to make decisions within the authority delegated to them. Every decision should, however, be based on fact and data. It may be necessary to consult a variety of sources to determine facts and gather data before a decision is made.

The Resident Engineer is responsible to see that project office personnel are adequately trained in a timely manner to perform assigned work. The Resident Engineer is also responsible to ensure that sufficient training is provided that inspection personnel may be prepared to advance as positions are available.

The Resident Engineer serves as team leader of the project office work group and is expected to encourage employee involvement in continually improving the quality of work or processes within the project office.

105.9.1 Contractor Relations

A good department-contractor relationship can be maintained if these suggestions are considered:

a. Treat the contractor fairly and impartially.

b. Study the contractor's viewpoint. Be friendly but impersonal with the contractor. Do not put yourself under obligation to any contractor.

c. Do not discuss with outsiders the contractor's methods of handling work. Make any suggestions to the contractor only.

d. Be ready to advise the contractor if requested, but do not make snap decisions.

e. Issue orders only to the contractor or the contractor's authorized representative.

f. Write and retain copies of specific orders given.

g. Discuss the contractor's schedule with the contractor frequently. Coordinate staking and inspection with the contractor's schedule.

h. Do not be arbitrary. Do not become involved in pointless argument with the contractor or the contractor's personnel regarding matters related to the work.

i. Do not accept gratuities from the contractor. Do not be threatened or intimidated by the contractor. Notify your supervisor of any trouble.

105.9.2 Correspondence

All correspondence directed entirely within MoDOT should be on interdepartmental stationery. Letters directed outside MoDOT should be on regular letterhead stationery. The author's initials should appear on all copies. A letter of confirmation should always follow telephone calls originated by the district office.

Address all correspondence for the Central Office to the division engineer concerned. In the heading of all letters, show the division of the writer followed by the subject in a brief form. On all correspondence show distribution on the original and all copies. When correspondence from the district concerns matters that are not of a routine nature, send copies to all affected divisions or to the Chief Engineer.

All letters that are in report form should include a recommendation. If the letter concerns a controversy, discuss the issues on both sides. Establish reasons for any decision that may have been made. Sometimes difficulty on the project or a claim by a contractor is anticipated but has not yet fully developed. When this happens, give a detailed report while the information is fresh. State in the letter that additional information and a recommendation will be sent as the situation develops.

Report immediately all resignations, releases of monthly and hourly base employees and deaths in the manner prescribed by Human Resources. Report any unusual accomplishments by letter to Construction and Materials.

Notify the Assistant State Construction and Materials Engineer, by telephone or by e-mail, when the district construction and materials engineer will be absent from the district for more than one day to avoid a fruitless visit by main office personnel.

105.9.3 Daily Work Reports

The Daily Work Report (DWR) is a detailed and factual listing of work performed on the project, including certain specific information and general remarks, as necessary, to provide complete information on the day’s work. Refer to Daily Work Reports for additional daily work report guidelines.

The DWR shall be created each day, from the first construction activity on the jobsite until Work Complete. The DWR will indicate if the contractor or subcontractors are active in performing work on the project. All Daily Work Reports and Diary entries shall be kept in AASHTOWare. DWRs may be suspended for projects that will be idle for 2 weeks or more. This typically occurs during winter months when projects shut down or when work is complete but exceptions remain until the weather is more conducive for completing the exception. The project office will list in the last DWR entry the anticipated date of suspension and when work is expected to resume. The project office is discouraged from overusing the suspension allowance.

The Resident Engineer will maintain a daily Resident Engineer's diary (Diary Remarks) for each project, or combination of projects, let as a single contract, for those contracts which charge Working Days – either as overall contract time or with a Milestone. Each inspector responsible for a major operation must keep a separate daily record (DWR Remarks). The Resident Engineer's diary need not repeat the inspector's detailed entries but should provide brief daily comments indicating general oversight of the project, and greater detail and the Resident Engineer’s perspective of extraordinary events as may occur on, or related to, the project. The diary will indicate whether each day is chargeable. While the Resident Engineer may designate an individual to create the Resident Engineer’s diary entries under certain circumstances, it is preferred that the Resident Engineer make these diary entries a routine part of every day.

The DWR must contain a day-by-day record of all significant items relating to the project. Since it may become important evidence in settlement of claims, or establishment of responsibilities or liabilities, it is essential that notes be complete.

A partial list of items to be noted in the DWR, Diary and associated remarks are:

RE Diary	Inspector DWR Diary
(Note: All contract or project wide issues, and communication specifically with the RE, or issues involving an inspector who has no DWR entry for the day)	(Note: Operation specific issues, and communication with the authoring inspector)
Official visitors and inspections	Weather
Orders given the contractor	Orders given the contractor
Important discussions with the contractor or the contractor's representative	Important discussions with the contractor or the contractor's representative
Work or materials rejected and reasons for rejection	Work or materials rejected and reasons for rejection
Time of shutting down or resuming work, and explanations	Time of shutting down or resuming work, and explanations
Progress of staking and of surveys made.	Work done by contractor's forces during the day
Unusual conditions, if any, such as high water, bridge failures, slides, etc.	General purpose of the work
Account of all contractor equipment and personnel that is being utilized on work that has the potential for being in dispute or work that might warrant additional payment. Documenting equipment and personnel is also necessary when there is a delay in work for which MoDOT might be responsible.	Account of all contractor equipment and personnel that is being utilized on work that has the potential for being in dispute or work that might warrant additional payment. Documenting equipment and personnel is also necessary when there is a delay in work for which MoDOT might be responsible.
Length and cause of any delay	Length and cause of any delay
Arrival or departure of major equipment	Arrival or departure of major equipment
Record of important correspondence not filed with project records (for example, emails, phone and in-person conversations)

Entries not made directly in AASHTOWare must be made in a bound field book, including all detail necessary to tie the entry to the date, project and specific work. Bound book entries must be signed by the person making them. In no case may diary information be kept in loose-leaf form. If an error is made in any entry, it may not be erased or deleted. It must be corrected by drawing a line through the entry and entering correct information elsewhere, or by using the appropriate AASHTOWare procedure for correcting an error. Proper notes to clarify the correction must be entered and signed by the person making the correction unless the reason for correction is obvious without explanation; for example, misspelled words or incorrect dates. The AASHTOWare system automatically records the user for all transactions.

At completion of the project, all bound books specific to the project must be filed in the district office as a part of the permanent record.

105.9.4 Documentation Records

Prior to construction management systems (SiteManager, AASHTOWare Project), the Documentation Record (Form C-258) was used to document pertinent information regarding payment of such items as temporary traffic control, temporary pavement marking, undergrading, cut compaction, ditch checks, Class 3 excavation, cold milling, etc. Historically, the intent of the Documentation Record was to provide a reviewer or auditor specific details on payment of items that could not otherwise be physically verified in the field after project completion.

Numerous processes are now in place to document payment details (date, location, measurements, calculations, adjustments, etc.) of all pay items and contract adjustments. Most required documentation is entered into AASHTOWare Project, but documentation that is more suited for spreadsheet calculations, such as asphalt cement index price adjustment, manual fuel adjustments, retroreflectivity payment adjustments, pay factors, etc., is stored in eProjects. The Documentation Record (Form C-258) is no longer required for any specific type of documentation, but it remains available for unique circumstances.

Here are some examples where the Documentation Record may be useful:

1. To formally document detailed information and/or calculations that require presentation to the contractor for review and concurrence.

2. To display how liquidated damages were determined if it is not easily explainable on the estimate, as might be the case if the RE waives the Contract Admin portion of liquidated damages.

3. To present retroreflectivity data, calculations and results following an evaluation using the hand-held reflectometer. This might be necessary if the project is too short to call in the third-party retro-evaluation.

AWP_CO_Documentation_Records provides additional documentation guidance.

Quick Reference Guides and calculation spreadsheets are available for assistance in documentation.

105.9.5 Environmental Issues

Environmental issues must be addressed at the preconstruction conference. Topics of discussion should include: Corps of Engineer’s (COE) Section 404 Permits, Missouri Department of Natural Resources (DNR), National Pollution Discharge Elimination System (NPDES) Permit, erosion control, asbestos abatement, well or lagoon closures, tree clearing(Indiana bats), temporary work pads, stream crossings, areas of avoidance, mitigation commitments, borrow sites or slurry discharges from diamond grinding operations.

105.9.6 Field Checks

The District Construction and Materials Engineer is to be represented on all plan field checks and assists in final details of plan preparation by suggesting details for construction where problems have been encountered in the past. A few items that need special attention are classification of excavation material, shrinkage or swell factors, placement and adequacy of entrances, proper location and size of drainage structures, drainage control, traffic handling provisions and designation of linear grading sections. The field check is the best time to determine adequacy of design with respect to such features and should be carefully and thoroughly conducted.

The design representative has the responsibility to prepare a memorandum noting changes on which agreement was reached. The District Construction and Materials Engineer must carefully check this memorandum and if necessary point out omissions or corrections. The memorandum should be checked against letting plans when the project is advertised to assure that agreed changes were incorporated in the design.

All Special Provisions should be reviewed carefully to avoid a misunderstanding during construction. Be sure the intent of each Special Provision is understood and that it is clearly written so others will know what is expected. As soon as plans and proposals have been issued for review by the districts, study them carefully. The district project development engineer should be informed of any corrections or modifications that are necessary for proper administration of the contract.

105.9.7 Field Notes

Field notes are the written record of pertinent information, measurements and observations on the project. Keep them according to uniform practice. As a minimum, meet the following general requirements.

a. Neatness. Use an ink pen or a sharp pencil of at least 3-H hardness. Avoid crowding. Keep the book as clean as possible.

b. Legibility. Use standard symbols and abbreviations to keep notes compact. Use plain lettering to avoid confusion.

c. Clarity. Plan work ahead so that data can be clearly indicated. Do not make ambiguous statements. Line up descriptions and make sketches for clarity. Record data consistently. Assume that the person who will use your notes has no familiarity with the work.

d. Completeness. Show all pertinent measurements and observations. Use a degree of accuracy consistent with the operation. If you are in doubt about the need for data, record it. Review data before leaving the field.

All Entries Must Include:

1. Date

2. Weather conditions

3. Names of all persons in the party

4. Signature of person making entry

e. Permanence. All entries must be made directly into AASHTOWARE Project (AWP) or bound field books. At completion of the project, books must be filed in the district office as part of the permanent record.

f. Honesty. Record exactly what is done when it is done. Do not depend on memory at a later time. Never erase. If an entry is incorrect, draw a line through it and insert correct information immediately above. When it is necessary to add data to notes previously prepared, the added item must be dated and signed. Always enter notes directly into the record.

g. Self-Checking. Notes should be kept so that work can be checked without returning to the field. Use positive controls. If notes are properly kept, any person familiar with the project should be able to verify accuracy of the work from information contained in notes.

h. Pride. Strive to turn in notes of which you can be proud. Field records create an impression on others concerning your ability and integrity.

The title page must be completed as the book or project is started. The book must have an adequate index and cross-references so the contents can be easily determined.

Information relative to a single item may be recorded in several field books. Since such data is frequently needed during the active life of the project as well as for the permanent record, it is necessary to have a means of ready reference. It is necessary, therefore, to prepare a master index of all field data in a separate field book, if it is anticipated that the project will require more than six field books other than diaries.

The master index is to be prepared by listing all items in the same sequence as in the contract. Several items may be listed on a page depending on the number of entries anticipated for each item. For ease in locating recorded data other than pay items, such as alignment notes, bench levels, cross sections, slope stakes, structure stakes and similar items, they should be included in the master index.

The master index should be brought up-to-date at least monthly. Otherwise, the recording will become unduly time consuming and the effectiveness of the index will be reduced. The master index, completed in detail, shall be submitted with the final plans. Each individual field book shall also be indexed.

105.9.8 Field Purchase Order

Refer to General Services Procurement Manual for further information guidelines.

105.9.9 Inter-Departmental Relations

Harmonious working relations among all MoDOT employees are most important. Understanding the functions and problems of other divisions as well as how they fit into the overall organization will improve teamwork within the department. Each employee has a responsibility to promote good relations with fellow employees. An employee is expected to carry out instructions of that employee's supervisor. The conduct of each supervisor should be so that it earns the full support and cooperation of those employees for whom the supervisor is responsible. Each employee must know their responsibility and must have authority to handle it.

A major factor in the promotion of good working relations is to keep your supervisor fully informed about all pertinent events that happen on work for which you are responsible. This principle applies equally at all levels of authority.

The Resident Engineer's staff, in turn, must be briefed on plans and schedules for the work immediately ahead so they are familiar with the work and able to assist in the administration of the work.

105.9.10 Invoices and Commercial Bills

Refer to Accounts Payable in the Financial Policies and Procedures Manual on how to submit invoices for payment.

105.9.11 Order Record

Order records will continue to be written and distributed under this policy.

Order records shall be documented in AASHTOWARE Project (AWP) by indicating the existence of the order record using the order record remark in the DWR or Diary. The order record should also be saved to the contract information archive folder. Hand written order records should be scanned and saved.

Order Record (C-259). Do not use order records as a form of general correspondence. They are intended to advise the contractor of specification violations, unsafe conditions and other issues as described here. Order records may be used for contract enforcement if the contractor refuses to comply with specific procedures required by the contract. Examples are traffic handling, use of specified equipment or maintaining an authorized representative on the project. Order records informing the contractor of defective material or of construction items that are not acceptable must be issued as soon as practicable to spare the contractor needless expense if removal is required. An example order record is available.

Number all order records consecutively in the upper right corner of the form. Address them to the general contractor. If an approved subcontractor is involved, "Attn.: Subcontractor" is to be added. In this case give the original to the contractor's representative on the job or send it to the contractor's home office. Prepare a copy for the subcontractor only if the subcontractor is involved.

In the preparation of an order record, it might be helpful to write the order first on a separate piece of paper and then rewrite to eliminate unnecessary words. Orders should be courteous but brief and to the point. State the location, description of work involved and the reason for the order without reference to a basis of payment or any other punitive actions. When orders cover defective work, a brief statement that the work is not acceptable and the reason it is unacceptable should be sufficient. Normally no mention should be made of method of payment, nor should the order give detailed instructions concerning either removal or replacement of any item.

Remember that others may become involved. Send the district office and the main office their respective copies on the day the order is issued. If possible, consult the district office before issuing written orders of major importance. Do not, however, delay beyond a critical point since delay may defeat the purpose for which the order record is intended.

Order records are used to suspend the work when a contractor or subcontractor has allowed liability insurance to lapse. To ensure uniform administration of this procedure, the exact wording should be used on the order record as given for:

a. Expired Insurance for Prime Contractor. "Your liability insurance has expired. Suspend all operations until it is again in order. Project inspection ceases on this date and will not resume until your insurance condition is satisfactory. (See Sec. 104.13, Mo. Std. Specs.)"

b. Expired Insurance for Subcontractor. "The liability insurance of your approved subcontractor,________________, has expired. Suspend the subcontractor's operations until the insurance is again in order. Project inspection of items of work involved in the subcontract ceases on this date and will not resume until your subcontractor's insurance condition is satisfactory. (See Sec. 104.13, Mo. Std. Specs.)"

Typically, an order record will be rescinded when the issue is resolved. The rescission will be written on the lower portion of the original order record and must include the reason for the rescission.

105.9.12 Preconstruction Conference

As soon as possible after the project has been awarded, the Resident Engineer shall send the contractor a letter that provides all of the basic information they need to prepare for the preconstruction conference. See EPG 101 Standard Forms, Construction and Materials for standard letters to use for state and federal projects. The preconstruction conference should be jointly planned with the contractor to discuss construction details, conflict resolution, proposed schedules, traffic control plan, safety, etc. For minor projects, the preconstruction conference shall be optional if the prime contractor and Resident Engineer agree. Before the meeting, the Resident Engineer and anticipated project staff should study the plans and special provisions and make a field inspection of the project to become well acquainted with requirements and existing conditions.

Among those who should be invited to the conference are:

a. District personnel from Materials, Design, Construction, Maintenance and Traffic.

b. Resident Engineer's project personnel.

c. The contractor and the contractor's project personnel, including subcontractors if known.

d. Representatives of involved utilities and railroads. Railroads and utility companies should be given at least two weeks advance notice in order for them to schedule their personnel to attend.

e. Municipal and/or county engineer if involved.

f. Law enforcement if involved.

g. Any other interested parties involved.

The Resident Engineer, or the Resident Engineer's assigned delegate, shall prepare the conference agenda (with input from the contractor) for leading the discussions and for making a written record of the conference. The written record is prepared in the form of a letter with concurrence by the prime contractor, with copies to all participants, the district, Construction &. Materials and the project file.

Among subjects to be discussed as they may apply to the project are:

1. Contractor's proposed operating schedule, utility relocation schedule, procedures for assessment of time, time schedule, completion date requirements, etc.

2. Environmental Issues

3. Work to be sublet.

4. A method of resolving conflict.

5. Legal relations and responsibilities, cooperation with utility owners, the public and other contractors, permits in connection with execution of the work, etc.

6. Job Special Provisions, applicable general special provisions, unusual conditions, problems anticipated and clarification of construction details.

7. Haul road requirements, location and scheduling of bypass construction, crossroad closure and access facilities, general responsibilities with regard to traffic and public convenience, signing and barricades, Transportation Management Plan (TMP), etc.

8. Employee and public safety, etc.

9. Delegation of authority by the contractor and engineer, lines of communication, equipment, personnel, etc. The contractor's plan of action, working hours and the numbers and type of equipment should be discussed.

10. The need for follow up meetings.

11. The need for law enforcement in work zones.\

12. Review the process to request any DBE Termination, Substitution or Addition (see DBE Substitution Form).

It is customary to discuss those items affecting utilities as the first order of business. The utility representatives may then be excused if they do not wish to remain for the detailed discussion of contract work.

The preconstruction conference, if properly conducted, can be a big help in getting the project properly started. Participants should come prepared to make worthwhile contributions to the conference and to improvement of general relations. As moderator, the Resident Engineer should try to keep within the scheduled agenda once the conference has begun. Any digression should be discouraged as tactfully as possible.

105.9.13 Project Correspondence

Instructions in EPG 105.9.2 Correspondence for handling of district correspondence will generally apply to project correspondence. The Resident Engineer should maintain a filing system for correspondence that provides ready accessibility to letters received and the response to those letters.

105.9.14 Project Diaries

The Resident Engineer shall keep in AASHTOWARE Construction & Materials a daily diary for each contract that tracks Available Time (Working Days) as a completion date or milestone.

The Resident Engineer's diary may be created on any contract and contain only general information about operations, conversations, instructions, justifications for decisions, etc. This method of documenting pertinent information is strongly encouraged.

105.9.15 Project Records

The Resident Engineer will require documents to support acceptance of materials and work items for both quality and quantity. Basis of acceptance for quality, method of measurement and basis of payment are established by specifications.

Documentary evidence on which to base payment must be in accord with MoDOT policies. The types of records required for the various items are covered in the appropriate articles of the Engineering Policy Guide.

The various articles explain the preparation and use of forms to be used at the project level.

105.9.16 Public Contacts

Employees should use courtesy and consideration in all contacts with the public. All of MoDOT is judged by the actions of its employees. Although an employee may not obligate the department to any course of action or any expense without due authorization, always be as tactful and helpful as conditions permit. There are many ways to communicate with the public: newspapers, radio, television, service clubs, chambers of commerce, city and county officials, and direct contact with individuals.

In dealing with residents along the highway, the Resident Engineer must try to maintain friendly relations. Requests will often be made on which the Resident Engineer does not have authority to act. When this happens, every effort must be made not to offend those making such requests. Individuals should not be referred to the Resident Engineer's supervisor but should be told that the matter will be taken up with the Resident Engineer's supervisor. After this has been done, the Resident Engineer should personally take the answer back to the interested persons.

105.9.16.1 Involving the District Engineer

If, after thorough discussion of the matter, the person still insists on seeing the District Engineer, give the name, address and telephone number of the District Engineer and suggest that an appointment be made before visiting the district office to avoid a fruitless trip. The Resident Engineer should then inform the District Engineer of the name of the person requesting the meeting. Give the District Engineer a full report of conditions about which the person will want to meet and also the status of the request.

105.9.16.2 News Releases

If conditions develop into public controversy or misunderstanding, full information about the matter should be given to public affairs so that early news releases can inform the public of the facts.

105.9.16.3 Media Contacts

In contacts with newspapers, radio or television, the Resident Engineer should furnish information only on matters in which the Resident Engineer is personally responsible and well informed. Questions concerning policy or programs should be referred to the District Engineer or public affairs manager for consideration. In some areas, the District Engineer may require that all news releases originate with the district office to ensure proper distribution to all interested media.

105.9.16.4 Recurring Reports

105.9.16.4.1 Federal Oversight

Refer to EPG 123.1.1 FHWA Oversight - National Highway System to identify the interstate bridges and bridges on the National Highway System that will require FHWA review and approval of project work. The Federal Highway Administration has access to AWP to review this information.

105.9.16.4.2 Payment Estimates and Stockpile Materials

Refer to EPG 109.7 Partial Payments, AWP CO Estimate and AWP CO Construction Stockpiles for guidelines for estimates and stockpile materials.

105.9.16.4.3 Fleet Equipment Reports

Refer to General Services Fleet for guidance on how to maintain fleet equipment records.

105.9.17 Subcontract Approval Request

When a contractor desires to sublet a portion of the work, the request will be prepared on Request to Subcontract Work (Form C-220), provided by MoDOT, and submitted to the Resident Engineer. Additional information regarding subcontracting and processing this request is provided in EPG 108.1 Subletting of Contract (for Sec 108.1).

105.9.18 Training

Training programs will periodically be prepared by Construction & Materials for presentation in the districts. Use these programs to train personnel expected to work in the type of inspection covered during the season ahead. No training program can be more than a springboard for individual development because of time limitations. Training is a continuing process that is the responsibility of the Resident Engineer. Urge all Resident Engineers and their principal assistants to be training conscious so they will help their inspection forces to learn new skills and improve old skills.