Category:105 Control of Work
The many aspects of control of work, including the responsibilities of the resident engineer , preconstruction conferences, duties of inspectors and acceptance of small quantities, are presented in this article. Also discussed is how the district construction and materials engineer is directly responsible to the district engineer and expected to operate as the district engineer's representative.
- 1 105.1. Authority and Duties in Contract Administration (Sec 105.1)
- 2 105.2. Plans and Working Drawings (Sec 105.2)
- 3 105.3. Conformity with Contract Documents (Sec 105.3)
- 4 105.4 Coordination of Contract Documents (Sec 105.4)
- 5 105.5 Cooperation by Contractor (Sec 105.5)
- 6 105.6 Cooperation Between Contractors (Sec 105.6)
- 7 105.7 Cooperation With Utilities (Sec 105.7)
- 8 105.8 Construction Stakes, Lines and Grades (Sec 105.8)
- 9 105.9 Authority and Duties of Resident Engineer (Sec 105.9)
- 9.1 105.9.1 Contractor Relations
- 9.2 105.9.2 Correspondence
- 9.3 105.9.3 Daily Work Reports
- 9.4 105.9.4 Documentation Record
- 9.5 105.9.5 Environmental Issues
- 9.6 105.9.6 Field Checks
- 9.7 105.9.7 Field Notes
- 9.8 105.9.8 Field Purchase Order
- 9.9 105.9.9 Inter-Departmental Relations
- 9.10 105.9.10 Invoices and Commercial Bills
- 9.11 105.9.11 Order Record
- 9.12 105.9.12 Preconstruction Conference
- 9.13 105.9.13 Project Correspondence
- 9.14 105.9.14 Project Diaries
- 9.15 105.9.15 Project Records
- 9.16 105.9.16 Public Contacts
- 9.16.1 184.108.40.206 Involving the District Engineer
- 9.16.2 220.127.116.11 News Releases
- 9.16.3 18.104.22.168 Media Contacts
- 9.16.4 22.214.171.124 Recurring Reports
- 9.17 105.9.17 Subcontract Approval Request
- 9.18 105.9.18 Training
- 10 105.10 Inspection of Work (Sec 105.10)
- 11 105.11 Unauthorized and Defective Work (Sec 105.11)
- 12 105.12 Load Restrictions
- 13 105.13 Maintenance of the Work (Sec 105.13)
- 14 105.14 Failure to Maintain Roadway or Structure (Sec 105.14)
- 15 105.15 Acceptance (Sec 105.15)
- 16 105.16 Controversies and Claims for Adjustment (Sec 105.16)
- 17 105.17 Venue (Sec 105.17)
- 18 105.18 Arbitration (Sec 105.18)
- 19 105.19 Adjusting Water Service Leads
- 20 105.20 Agreement for Shifting State Highway Entrance
- 21 105.21 Duties of the District Construction and Materials Engineer
105.1. Authority and Duties in Contract Administration (Sec 105.1)
Refer to Sec 105.1 for a list of laws and regulations that establish the resident engineer’s authority over the contract and the circumstances where a suspension of the work may be required.
105.2. Plans and Working Drawings (Sec 105.2)
Refer to Sec 105.2 for the description and purpose of working drawings.
105.3. Conformity with Contract Documents (Sec 105.3)
Refer to Sec 105.3 for instructions regarding the requirements that work be in compliance with the specifications and the action to take when work is unacceptable.
105.4 Coordination of Contract Documents (Sec 105.4)
Refer to Sec 105.4 for a listing of the relative importance of the contract documents.
105.5 Cooperation by Contractor (Sec 105.5)
Refer to Sec 105.5 for instructions regarding the obligation of the contractor to have a set of contract documents on the job site and an agent with knowledge and authority over the project.
It is the responsibility of the resident engineer to encourage an atmosphere of cooperation with the contractor and other interested parties to help insure a quality job. However, as the department's representative, the resident engineer must insure that the work meets all contract requirements. It should not be expected to obtain more than what is specified, nor can any less than the contract requires be accepted.
Partnering is a management technique used to improve communications and establish an environment of cooperation between all parties. Using a systematic approach, a teamwork spirit is developed, mutual goals set, problem areas identified and a formal conflict resolution process established. Use of the partnering concept promotes good decision-making. It does not change any of the contract provisions.
Partnering should be implemented on a voluntary basis for projects selected by MoDOT based on cost, complexity, and contract time and on projects for which partnering is initiated by the contractor. Projects involving major structures, complex interchanges or critical completion dates are especially suited to partnering.
For projects where both MoDOT's and the contractor's personnel have not had previous partnering experience, a full partnering session with an outside consultant as facilitator is recommended. For projects where personnel have had substantial partnering experience, an abbreviated session with an experienced department facilitator is usually adequate. On projects where all personnel are thoroughly experienced in partnering, a brief session to draft and sign a new project-specific agreement and discuss problems should be satisfactory.
The initial partnering session should be held as soon as possible after the project is awarded. It is essential that all stakeholders be present. MoDOT upper management as well as project-level personnel, prime and subcontractor upper and project-level management, representatives of utilities and other public agencies should attend.
Follow-up meetings must be scheduled to maintain the momentum established at the initial meeting. These meetings must have an agenda and brief minutes with a list of attendees. Regular meetings may be weekly, monthly or at some other regular interval. If they are not scheduled, routine problems tend to go unresolved until they become major issues.
Regular meetings should be held on the project or in the resident engineer's office. MoDOT will pay for one half of all reasonable expenses. These expenses will be nonparticipating by FHWA. If meeting expenses are involved, the contractor should make initial payment and submit an invoice to the project office for payment on the project estimate. Meal expenses are exempt from participation. Copies of any invoices for meeting expenses should be kept with the agenda, minutes, and list of attendees in a project office partnering file for each project.
Acceptance of gifts as partnering items must follow MoDOT's guidelines for gratuities. Partnering logo decals, patches, or signs should be used with discretion so as not to be construed as advertising for the contractor. Signs displayed near meeting sites on the project are acceptable. Signs placed near the roadway in such a manner as to be displayed primarily for the general public are not. The purchase of special items for partnering projects shall be avoided regardless of the method of cost distribution.
A brief partnering summary must be prepared and submitted to the State Construction and Materials Engineer at the conclusion of each partnered project. This summary is critical to the future of partnering at MoDOT and should present an analysis of any advantages gained by the partnering process regarding safety, quality, conflict resolution, timely completion and total cost. A separate analysis by the contractor should be included. Emphasis should be placed on comparison of the partnered project to the outcome of similar projects that were not partnered.
105.6 Cooperation Between Contractors (Sec 105.6)
Refer to Sec 105.6 for instructions requiring cooperation between contractors when more than one contractor must work within overlapping designated project limits.
105.7 Cooperation With Utilities (Sec 105.7)
Refer to Sec 105.7 for instructions requiring cooperation with utilities on or near the job site.
105.8 Construction Stakes, Lines and Grades (Sec 105.8)
Refer to Sec 105.8 for instructions regarding staking.
It is the resident engineer's responsibility to stake the projects and to inform the contractor of the meaning of all stakes except when a bid item for this work is included in the contract. Sec 627 sets forth the requirements for contractor furnished surveying and staking. On projects with contractor furnished staking, it is the resident engineer’s responsibility to perform enough quality assurance checking to ensure that the project has been staked correctly. It is also the resident engineer's responsibility to know and to document that all materials meet controlling specifications, and that the finished project meets alignment, grade, quality, and quantity requirements of the contract. Authority to alter plans is limited to field changes. If changes in specifications or major alterations of plans appear necessary, the resident engineer must investigate the conditions and promptly submit a recommendation to the district engineer. As soon as projects have been staked, the resident engineer should notify property owners in writing that stakes are in place and that fences should be removed promptly.
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 daily. See SM Section 500 for additional guidelines.
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.
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
Refer to Section 501.0 of the SM Handbook for daily work report guidelines. The Daily Work Report (DWR) shall be created each day the contractors and/or subcontractors are active in performing work on the project. For the days they are not active, the DWR is not required, but a SM Diary record is required indicating that work was not performed on that particular day. All Daily Work Reports shall be kept in SM. Daily Work Reports may be maintained in a bound field book when reasonable access to SM is not available near the project site so that routine entries through the day are not allowed. (Refer to EPG 239.10 SiteManager Plans).
Each inspector responsible for a major operation must keep a separate DWR report in the same way required of the resident engineer.
Entries not made in SM must be made directly into a bound field book. Daily entries must be signed by the person making them.
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 a DWR is:
- a. Weather
- b. Orders given the contractor
- c. Important discussions with the contractor or the contractor's representative
- d. Official visitors and inspections
- e. Work or materials rejected and reasons for rejection
- f. Time of shutting down or resuming work, and explanations
- g. Work done by contractor's forces during the day
- h. General purpose of the work
- i. Account of any time spent by contractor's personnel or equipment on disputed items or work
- j. Length and cause of any delay
- k. Arrival or departure of major equipment
- l. Record of important correspondence not filed with project records (for example, emails, phone and in-person conversations)
- m. Unusual conditions, if any, such as high water, bridge failures, slides, etc.
- n. Progress of staking and of surveys made
- o. Number and trade of contractor personnel
In no case may a DWR be kept in loose-leaf form. If an error is made in the entry, it may not be erased. It must be corrected by drawing a line through the entry and entering correct information elsewhere. 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, etc.
At completion of the project, all DWRs must be filed in the district office as a part of the permanent record.
105.9.4 Documentation Record
See SM Handbook QRG SM/Estimate Based Documentation Records. The estimate includes detail to document pay quantities such as signs, underdrains, barricades, undergrading of small areas, cut compaction, bridge footings, test holes, crevice concrete, trial concrete batches, splicing timber pile (if permitted) and pedestal pile length and elevation.
Incentive payments for smooth pavement and deductions in payment for rough pavement is also to be documented by this means. Incentive payments or deductions in payment may be placed on the estimate under either Line 700 or Line 800. Include detailed remarks to explain the payment or deduction, including the equations used.
The documentation record is also used to document substitutions permitted by the Standard Specifications. This documentation is necessary to insure proper inspection and a record of the material actually incorporated in the project. The procedure to follow in such cases is as follows:
- a. The contractor must propose the use of the permissible substitute at no change in cost to MoDOT.
- b. Approval of the contractor's request to make the substitution must be confirmed by documentation.
- c. Contract items should not be changed but the final plans must show that the substitution was made. This should be accomplished by use of remarks on the 2A sheet.
- In the preparation of this type of record, the record should state the basis for approval substantially as follows:
- "Substitution permitted by Sec. ____________ of Standard Specifications"
- "Substitution permitted by Special Provision"
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 SiteManager 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 such 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
105.9.11 Order Record
Order records will continue to be written and distributed under this policy.
Order records shall be documented in SiteManager 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 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. When orders cover defective work, a brief statement that the work is not acceptable and the reason 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 insure 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 rescinding order record will 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 as shown in figures Preconstruction letter 1, page 1, Preconstruction letter 1, page 2, Preconstruction letter 1, page 3 and Preconstruction letter 1, page 4, or Preconstruction letter 2, page 1, Preconstruction letter 2, page 2 and Preconstruction letter 2, page 3, as applicable. 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 is responsible for preparing 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, traffic control plan, 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.
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
Refer to Section 502.0 of the SM Handbook for diary guidelines. The resident engineer shall keep in SM a daily diary for each project, or combination of projects, let as a single contract.
The resident engineer's diary need not repeat the inspector's detailed entries but may contain only general information about operations that the inspector has covered.
Entries not made in SiteManager must be made directly into a bound field book in ink. Daily entries must be signed by the person making them.
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.
126.96.36.199 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.
188.8.131.52 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.
184.108.40.206 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.
220.127.116.11 Recurring Reports
18.104.22.168.1 Working Day Reports
Refer to SM Section 502.3 for guidelines on Working Day Reports.
22.214.171.124.2 Federal Oversight
All interstate bridges and all major bridges on the national highway system will be reviewed by the FHWA. Major bridges are defined as those structures estimated to cost more than $10,000,000 or having span lengths greater than 200 ft. or a total length greater than 1000 ft. The Federal Highway Administration has access to SM to review this information.
126.96.36.199.3 Payment Estimates
Refer to SM Section 700 for guidelines for estimates.
Payment estimates must be supported by documentary evidence that work items allowed have actually been done. Evidence may be in the form of scale tickets, diary entries, material receipts, etc. The payment estimate is intended to provide payment to the contractor for all work performed during the estimate period. In no case should payment for work be delayed beyond the estimate period following the period in which the work was performed.
Earthwork quantities may, for example, be supported by load count entries in the inspector's diary. Another way is by diary entries giving limiting stations of completed balances.
Weight or volume tickets are a sound basis for allowing payment on items measured in this manner.
Check all items against inspection records to be sure they are properly approved.
Under stockpile materials should appear those items for which a payment may be made in accordance with the general requirements. Non-perishable items to be incorporated in the finished product may, in general, be included on the estimate for stockpile materials provided satisfactory inspection reports, certifications or mill test reports and required invoices are in the project file. When the item first appears on the estimate, the resident engineer must have on file a copy of an invoice to substantiate the unit prices allowed. Receipted bills for all materials allowed on the estimate must be furnished to the resident engineer within the time established by specifications, or the item must be eliminated from future estimates. Missouri state sales tax may be included in material allowances if shown on invoices or receipted bills. Each receipted bill must be marked or stamped paid with date of payment shown, as well as the name of the firm and signature of the person who received payment. All invoices and receipted bills obtained to substantiate material allowances during progress of the project are to be filed in the district as part of the permanent project record. On the date that payment is made for stockpiled material, the Resident Engineer’s Diary should include reference to that payment, the location(s) of the stockpiled material, whether a lease agreement was neccesary and the file location of any required lease agreement(s).
Some aggregates are accepted for "quality only" at the point of production. Total acceptance is not made at the time of production because additional processing and/or screening are required before incorporation into the final product. If gradation tests, which are run for information purposes only, indicated it is reasonably possible to produce an acceptable finished product, this material may be included in the stockpile material payment.
If test reports or visual inspection on the above material or other material that might be produced and accepted indicate that it will be unsatisfactory at a later date due to gradation, excess P.I., segregation, contamination, etc., these materials should not be included on the stockpile materials payment.
The price per unit for material produced by the contractor or by a producer other than an established commercial producer should reflect the actual cost of production. The units shown under material estimate should be the same unit of measure used in the bid item where possible, such as pound for steel, linear foot for piles, etc. Where this is not possible, a convenient unit such as ton for aggregate should be used. Quantities in excess of contract requirements should not be allowed. Hauling costs should not normally be included in the unit cost of any material unless it has been hauled to a site where it can immediately be incorporated in the finished product or work. If hauling cost is allowed, it must be considered with relation to the value of the material in case it is necessary for the state to take it over. Stockpiling costs are not to be included as part of the unit cost.
Items that are to be accepted by project personnel must be inspected and found satisfactory prior to being included on a stockpile materials payment. Quantities for materials included on a stockpile materials payment should never exceed approved quantities.
Before an allowance will be approved for payment on material stockpiled or stored on private property, or for aggregates stored on property operated as a commercial business, a lease agreement from the contractor or subcontractor showing compliance with the following points must be submitted to the district office for approval.
- 1. A complete land description covered in the lease form and the haul distance from the lease area to the project.
- 2. The following statement included in the lease agreement:
- "It is understood and agreed by the parties hereto that the land herein involved is to be used as a materials storage site and that the prime contractor, whether or not the lessee herein, may obtain payment from the Missouri Highway and Transportation Commission for material stored thereon".
- "It is further understood and agreed by the parties hereto that the prime contractor or contractor having a written agreement with the Missouri Highway and Transportation Commission for the construction of highway work involving this lease and the materials stored thereon, whether or not the lessee, and the employees of the Missouri Highway and Transportation Commission shall have the right of access to the property covered by this lease at all times during its existence and that in the event of default on the part of the lessee or the prime contractor, if other than lessee, the Missouri Highway and Transportation Commission may enter upon the property and remove said materials to the extent to which advance payments were made thereon".
- An area leased on property operated as a commercial business must be posted so as to divorce the site for stockpiling of highway materials from the commercial operation.
- If either party to the lease agreement is incorporated, it is essential that an Acknowledgment by Corporation be attached for each corporation involved since an individual cannot legally bind a corporation without duly enacted authorization by the corporation's Board of Directors. A suitable form for this purpose is shown in Agreement for Shifting State Highway Entrance, page 1. Other forms may be used by some corporations and are acceptable if they fulfill the intent of the form illustrated. Leases involving corporations should not be accepted without the Acknowledgment.
- Signatures by individuals must be notarized, or be witnessed by at least two disinterested persons. The address of witnesses should be shown.
- When material is stored on property owned by a railroad and is accessible by a public roadway, it is not necessary to obtain a lease agreement to permit this material to be placed on the estimate as a stockpile material.
- If hauling charges are to be included as part of the cost of materials allowed for payment, invoices for hauling charges must be provided by the contractor in the same manner as invoices for the material. An exception to this requirement is allowance for the cost of the rail freight. For rail freight the contractor should supply a copy of the first freight bill to substantiate the freight rate. In lieu of submitting receipted freight bills, the contractor may then sign a statement on each material invoice indicating that freight charges have been paid. If the contractor prefers, a letter may be submitted listing several invoices and indicating freight charges that have been paid. Whichever procedure is adopted, the resident engineer must be assured that freight charges have been indicated as paid for all materials invoices submitted to verify quantities.
- The engineer may also include in any payment estimate an amount not to exceed 90 percent of the invoice value of any inspected and accepted fabricated structural steel items, structural precast concrete items, permanent highway signs, and structural aluminum sign trusses. These items must be finally incorporated in the completed work and be in conformity with the plans and specifications for the contract. These items may be stored elsewhere in an acceptable manner provided approved shop drawings have been furnished covering these items and also provided the value of these items is not less than $25,000 for each storage location for each project.
- The engineer may also include in any payment estimate, on contracts containing 100 tons or more of structural steel, an amount not to exceed 100 percent of the receipted mill invoice value of structural carbon steel or structural low alloy steel, or both, which is to form a part of the completed work and which has been produced and delivered by the steel mill to the fabricator.
- While the nature and quality of material is the contractor’s responsibility until incorporated into the project, material presented for stockpile materials payment must be inspected prior to being approved for payment. The nature of that inspection is at the discretion of the engineer and may include sampling and testing to determine whether the material has a reasonable potential of compliance, once incorporated into the project. This sampling and testing may occur wherever the material is offered for stockpile materials payment, including stockpiles in quarries and at other off-project sites. Material that is a component of a mix may be compared to the associated mix design or to any other specification criteria that may apply.
- Provide equitable payment. If work remains to be done (for example, patching the tie holes in concrete) allowance for the appropriate pay item should be reduced. The reduction should be the amount estimated as the cost of completing the work. Make allowance in full for all completed items.
- Items to be paid for by Planning in connection with weight station complexes are to be included on the regular Engineer's Payment Estimate. At conclusion of this work, a certification is to be submitted with the estimate stating that the scales and material used met specification requirements.
- Internally, all estimate reports are electronic in SiteManager. For estimates submitted to contractors, follow the instructions as detailed in the User's Manual for SiteManager.
- Bid items not covered in the Bid Item List Manual will be indicated in the description block by the term "Miscellaneous" and supplemental number. The resident engineer may insert an abbreviated description using the SiteManager System and underlining the new description in red on the printout.
- Engineer's Payment Estimates should be submitted for liquidated damages even when no pay items are listed. Such estimates indicate a negative amount due the contractor; accordingly, no payment can be made and no further action is taken.
188.8.131.52.4 Employees Time Reports
184.108.40.206.5 Fleet Equipment Reports
Refer to General Services Fleet for guidance on how to maintain fleet equipment records.
220.127.116.11.6 Personnel Reports
The resident engineer is responsible for the MoDOT Accountability and Performance System (MAPS) for all employees under the resident engineer's supervision. The procedure and required forms may be found at http://wwwi/maps/. In addition, each resident engineer's supervisor should be kept currently informed about the qualifications of all personnel under the resident engineer's supervision. The district construction engineer will normally be responsible for the MAPS of the resident engineers and the staff in the district construction office.
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. The contractor is to fill out the back of the form using contract prices unless the agreement involves only a portion of the bid item. An example would be placement of culvert pipe furnished by the prime contractor.
The front of the form is to be completed by the contractor down to the section reserved for department approval. The form is then submitted to the resident engineer for processing. The form will be reviewed by the resident engineer, and the information will be entered in SiteManager. The form will be passed to district office staff for review. If approved by district office staff, the approval date will be posted in SiteManager. This approval will allow SiteManager data to be attributed to the designated subcontractor as that subcontractor proceeds with the work.
The resident engineer is to check the form completely. Item #, Units, Pay Item and Unit Price should be compared with the contract. The mathematics and extensions should also be checked.
Specialty items are not deducted from contract amount when figuring percentage sublet.
All data on the front must also be checked to verify the proper numbering and listing of subcontractors previously submitted for approval.
Any agreed prices must be carefully reviewed to be sure they truly represent the proportion of the item actually intended to be done by subcontract. If the agreed price cannot be supported as truly representing the work to be done, it should be adjusted and the percentages corrected. The contractor should be given the opportunity to correct and resubmit the request in such cases. If the contractor does not wish to do so, the resident engineer should note corrections in pencil on all copies.
If the total percent sublet to date should exceed 60% on any request, the resident engineer is to return the form to the contractor with a cover letter stating that approval is withheld because of failure to comply with Sec 108.1.1 relating to the amount of work which may be sublet. Copies of the letter should be sent to the district engineer and Construction & Materials.
If for any other reason the resident engineer cannot recommend approval of the request, all copies of the request should be sent to the district engineer with a cover letter explaining why approval cannot be recommended. Otherwise, after the form has been checked and found to be correct, the resident engineer should sign and date all copies in the space labeled Approval Recommended - RE and send all copies to the district engineer. It is suggested that a memo be made of pertinent data for possible use in checking later submittals received before approved copies are returned.
When a contractor proposes a subcontractor who has not been previously approved for state highway work, the contractor must submit evidence that the proposed subcontractor is financially qualified to handle the amount of work involved and is experienced and equipped for the type of work to be done.
Sometimes the contractor will rent equipment from other contractors to perform work on the project. To avoid the possibility of unauthorized subcontracting, the payroll should be checked to confirm that the contractor is paying the wages of operators and supervision. Checking may also be accomplished during routine labor interviews by determining who pays the operator's wages. The findings of such checking procedures should be noted in the project diary. In lieu of such checking, the resident engineer may accept a written statement over the contractor's signature that all operators and supervisors are carried on the contractor's payroll. These procedures are not necessary for equipment rented from recognized rental agencies that are not also in the highway construction business.
Occasionally it becomes necessary for the contractor to terminate a subcontract. The Commission recognizes cancellation of previously approved subcontracts when the contractor provides:
- a. A statement over the signatures of the contractor and the subcontractor that they have mutually agreed to cancel the subcontract, or
- b. A certified copy of the contractor's written notice to the subcontractor of cancellation for cause.
After a subcontract has been cancelled, the percentages of work sublet to date should be adjusted. The work involved in the canceled subcontract quite often is proposed to be sublet again. If condition (a) or (b) has been met, the proposal should then be handled as a normal request for approval of subcontract.
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.
105.10 Inspection of Work (Sec 105.10)
Refer to Sec 105.10 for information on scope of inspection, inspection of hidden defects and the authority of other inspecting agencies.
Competent inspection is one of the most important elements entering into any construction work.
All inspectors on construction projects have the duty and authority to enforce specifications. If differences in interpretation arise with the contractor, the matter shall be decided by the resident engineer or, if necessary, by the district office.
The inspector should be constantly alert to situations affecting the safety and convenience of the traveling public. Appropriate action should be taken immediately to correct any condition considered unsafe or unnecessarily inconvenient to the motorist or the general public.
Specified methods for any operation shall be rigidly enforced. Otherwise, the contractor generally determines methods. The inspector must always bear in mind that management of the work is the contractor's business. However, if methods are employed that the inspector believes will impair the quality of the finished job, the inspector shall advise the contractor accordingly and notify the resident engineer immediately. The inspector or the engineer shall in no way attempt to supervise work for the contractor.
The inspector is not authorized to revoke, alter, enlarge, relax, or release any requirements of plans or specifications nor to approve or accept any portion of the work or to issue any instruction contrary to plans or specifications. If conditions arise which seem to make it impractical to enforce specifications, the resident engineer should be contacted at once.
Keep a set of plans and a copy of the specifications available for reference.
Keep a diary in which matters of importance are entered daily.
Study plans and specifications of the job assigned to you. Be fully conversant with all details of the work to be done. If you do not fully understand anything on the plans, ask the resident engineer for clarification.
Never argue with the contractor or the contractor's representatives. Your authority comes from the right to enforce the contract, not from superior knowledge or vocabulary. Every effort consistent with obtaining quality work should be made to maintain a spirit of cooperation and communication with the contractor.
Detailed instructions for inspection of the various phases of the work are contained in individual sections of the manual covering the major phases of highway construction.
Sec 105.11 provides the authority to require corrections of unauthorized or defective work. If the resident engineer or the responsible inspector sees deficiencies or defective work, notification should immediately be given to the contractor's representative on the project in writing. Notification is normally in the form of an order record. Do not direct how correction is to be accomplished. If the contractor fails to take corrective action or continues to operate in an unacceptable manner, the resident engineer should contact the district office for advice and assistance, but only after full action within the resident engineer's authority has been taken. Withhold payment from the contractor for any deficiencies or defective work until necessary corrective action has made the work acceptable. Subsequent construction that is directly affected by questionable construction should not be allowed to proceed until disposition of the previously unacceptable work is resolved.
Keep complete records, including diaries, memoranda, etc., detailing circumstances leading to and during the controversy. Records should include conversations with contractor's personnel, weather conditions, suggestions made by project personnel and contractor's reactions, and any action taken in an effort to correct or eliminate the problem when difficulty developed. It is advisable to keep cost records for future reference during corrective action, since this type of problem sometimes leads to claims.
Order records should be rescinded when the contractor has made satisfactory corrections. A general statement indicating corrective action taken is sufficient.
Use should not be permitted of materials for which proper inspection reports have not been received. In some cases verbal approval from district Construction and Materials is acceptable if noted in the diary. Instructions in various sections of the manual cover specific items.
Occasionally, materials previously inspected and approved will be deemed unacceptable when they reach the project. This is particularly true of items that initially have to be inspected while stocked in the supplier's yard. Examples are pipe, guardrail, handrail for bridges, aggregates, etc. When this occurs the resident engineer shall immediately notify district Construction and Materials.
District Construction and Materials shall promptly inspect the item on the project with the resident engineer to determine why the item is considered unacceptable.
This procedure lets district Construction and Materials confer immediately with the inspecting district and central office as needed. District Construction and Materials will tell them the reasons for rejection and arrange for any required corrective measures at point of origin as soon as possible.
105.12 Load Restrictions
Sec 105.12 sets forth load restrictions on active construction projects. When required by that specification, it will be necessary for the contractor to request an overweight permit from Motor Carrier Services (1-866-831-6277), and for the district to furnish that office with their recommendations. All overweight truck crossings will be by an agreement that must be approved by the Chief Engineer and the Commission. In no case will such overweight truck crossings be approved by issuance of the "Contract for Signs at Truck Crossing", by a Driveway Permit, or by a Special Permit. The request should be forwarded to the Construction and Materials Division with the following information:
- Gross weight (loaded) and
- Axle spacing of equipment that will be used for hauling.
In most cases, the agreement will require reconstruction of the roadway section to withstand the repeated overloads at the contractor’s expense.
In some situations the contractor may wish to move overweight/over dimension equipment across an existing MoDOT structure (i.e. a bridge) open to traffic. When this occurs, the contractor must inform the resident engineer who then forwards the request to the Bridge Division for review and analysis. This request must be provided to the Bridge Division three weeks prior to the scheduled bridge crossing. The request must include:
- Longitudinal and transverse dimension of the item to be moved
- Axle weights and
- The length and width of the vehicle’s tracks (if it has tracks).
The Bridge Division will review this material to determine if there are any structural issues associated with moving the vehicle across the structure. They will inform the resident engineer of their approval or denial of the contractor’s request. No "special permit" is necessary.
Hours of Operation
If operation is after daylight hours, lighting adequate to illuminate the area will have to be provided by the contractor.
The station number and the sight distance from both directions with a plan and profile sheet will be provided. A signal with red and amber lens controlled by a flagman will be required and provided by the applicant. State route traffic will have right-of-way at all times.
The length of time the crossing will be in effect.
In most cases, one or two years with renewable options are included in the agreement. On State routes with heavy traffic volumes, it may be more feasible to consider a grade separation or an adjustment of hours of operation to miss peak periods of traffic.
It is necessary to inform Motor Carrier Services (1-866-831-6277) when traffic is being placed in its final position on newly constructed roadways. It is the duty of the resident engineer to notify Motor Carrier Services whenever a new section of roadway under construction has traffic, traveling through the project, placed in its final position. Also, whenever any temporary restrictions are either implemented or removed in a construction project, Motor Carrier Services should be advised in order to provide the necessary routing guidelines to common carriers moving through these projects.
Vertical Clearance concerns are discussed in construction inspection guidance for Structures.
Stockpiling Material on Bridge Decks
The contractor shall not be allowed to store or stockpile any material on a bridge deck without the approval of the engineer. If for project operations it becomes necessary for the contractor to request to store or stockpile material, the contractor shall submit a written request to the engineer that is signed and sealed by a professional engineer from Missouri. This request shall include an evaluation with both dead and live load calculations to ensure that the material is safe to store. This information shall be forwarded for evaluation to the bridge office via the District Liaison Engineer for Bridge. The engineer may determine that storage of minor material quantities, such as light materials or small quantities that cannot effect the bridge loading, is acceptable on a case-by-case basis without the submittal of a signed and sealed written request. The Resident Engineer may request the assistance of the Bridge Division to review the contractor's proposal for minor material quantities.
105.13 Maintenance of the Work (Sec 105.13)
Refer to Sec 105.13 for information regarding the contractor’s responsibility to maintain the work until accepted for maintenance.
When contract items within the limits of a construction project are damaged prior to acceptance, the contractor is responsible for repair or replacement at the contractor's expense. Placing an item on a pay estimate does not constitute acceptance (refer to Sec 107.12). For example, if a guardrail end treatment is damaged by traffic before it has been accepted, the contractor must replace it without cost to the Commission. The only exceptions to this are when the damage is due to unforeseeable causes beyond the control of, and without fault or negligence on the part of the contractor such as the extreme and far reaching affects of a 500-year flood as occurred in 1993.
The contractor may also be directed to repair permanent facilities of the Commission damaged within the project limits. For example, if a run of guardrail is damaged by traffic on a pavement repair project, the Commission could direct the contractor to make the repair and recover the cost from the responsible third party even though guardrail was not a part of the contract. If the contractor documented that the cost could not be recovered after a good faith effort, the Commission would reimburse the contractor (refer to Sec 104.7.7).
The Commission would normally make repairs on portions of the project on which the contractor has not mobilized. For example, if the contract involved pavement repair on a portion of dual lane, divided roadway and the contractor was working on one side only, the Commission would make repairs on the other side until the contractor mobilized over to it. Once work begins, the contractor is responsible for repairs to the work in that area.
The Commission may make repairs within the project limits to damaged items that pose an immediate threat to the safety of the traveling public if the contractor cannot make them in a timely manner. If the damaged item was part of the contract work and had not been accepted, the cost of such repairs would be the contractor's responsibility.
105.14 Failure to Maintain Roadway or Structure (Sec 105.14)
Refer to Sec 105.14 for instructions regarding the action to take when the contractor fails to maintain the roadway or structure.
105.15 Acceptance (Sec 105.15)
Refer to Sec 105.15 for information regarding acceptance of the project.
A representative of the district office, normally with the resident engineer and the contractor’s representative, makes the semi-final inspection of completed portions of the project. As soon as all corrections noted on the semi-final inspection have been satisfactorily made, the resident engineer should make final inspection of the project.
The district engineer or district construction engineer makes the official partial or final acceptance of a project. District personnel should rely strongly on the recommendation of the resident engineer who has done practically all the engineering work leading to final acceptance. As the work progresses, the contractor should be informed of all department requirements to assist the resident engineer in bringing all items to an acceptable conclusion.
Inspection and acceptance as to completed work may be made when a project on new location is opened to all traffic for convenience of the Commission. This does not extend to those situations where opening part or all of a project to handle traffic while completing the remainder of the work is a contract requirement.
When one or more projects of a combination contract have been inspected and accepted for maintenance, the project office shall enter a key date in SiteManager showing the date the project was accepted. The key date type shall be "Project Accepted for Maintenance."
After a project has been completed and accepted for maintenance, the contractor is required to file the following information to obtain final reimbursement and remaining retainage (if any.) It should be explained to the contractor that prompt submission of these documents will expedite payment of the final estimate and release of retained percentage.
- a) Form C-242 - Contractor's affidavit regarding settlement of claims.
- b) Consent of the contractor's surety for release of final payment.
- c) Verification of DBE Participation - The contractor shall file a list showing the DBEs used and the work performed. The list shall show the actual amount paid to each DBE (required when contract contains DBE Special Provision).
Upon completion of work performed by parties other than the contractor, shown on the project finance sheet as Codes 3, 5, 6, or 7 when there is participation in the cost by the Federal Highway Administration, corrected quantities of such work should be submitted by letter from the district to Construction and Materials. If there is no change from original quantities, a statement to that effect should be made in the final completion letter.
The Federal Highway Administration will not make final acceptance of forest highway projects until the Regional Engineer for the Forest Service has furnished information that roadside cleanup, camp sites, and conditions resulting from clearing and burning operations are satisfactory. This is the reason for attempting to inspect the project jointly with the forest engineer approximately 30 days before the project is completed.
When final papers for a project are submitted to the main office, the letter of transmittal from the district office should include a recommendation covering assessment of any liquidated damages. The recommendation should cover both liquidated damages assessed for failure to complete the project within contract time and also a recommendation, if applicable, by resident engineer and district relating to DBE participation and the resulting liquidated damages, if any.
Railroad flashing light signals and railroad surface crossing improvement projects require a modification of the usual acceptance procedures. The district should make a semi-final inspection and final acceptance of each installation. Currently, the following types of railroad crossing improvements are under contract:
- 1. Install Flashing Light Signals (FLS)
- 2. Install Signals and Gates (SG)
- 3. Install Cantilevered Signals (CFL)
- 4. Add Gates to Existing Signals (AG)
- 5. Upgrade Circuitry (UC)
The type of work included in each agreement is usually given in the first paragraph of the agreement between the railroad and the Commission.
It is requested that when the Final Acceptance Report (Form C-239) is submitted for the "Type of Improvement", the code letters, as listed above, be used to indicate the type of work that has been performed on the project. In some cases, more than one of the five different types are set up. In such case, please indicate both of the code letters to indicate all work involved.
The following information should be completed and forwarded to Construction and Materials with Form C-239:
- 1. Flashing Light Signals
- a. Location of signal posts from edge of travel way and from centerline of tracks.
- b. Mounting height of signal face.
- c. Length of mast arm (if used).
- d. Location of signal face with respect to the traffic lane.
- e. Pictures of the signal installation from each approaching traffic lane with the cardinal direction shown.
- 2. Surface crossing Improvement
- a. Type
- b. Size-Length and Width
- c. Manufacturer of modular units.
- d. Pictures taken from one approaching traffic lane and one taken parallel to the centerline of tracks.
105.16 Controversies and Claims for Adjustment (Sec 105.16)
Refer to Sec 105.16 for information controversies and claims for adjustment.
105.17 Venue (Sec 105.17)
Sec 105.17 provides information on the venue of any legal proceedings that may be related to the contract.
105.18 Arbitration (Sec 105.18)
Sec 105.18 provides information regarding arbitration that may be related to the contract.
105.19 Adjusting Water Service Leads
On certain projects, it is necessary to adjust privately owned water valves, meters and service leads. Such adjustments are often the responsibility of the property owner.
Contracts normally include bid items for the various types of adjustments but also allow the property owners to make the adjustments themselves. If the contractor performs the adjustment for the property owner, he will be paid at unit bid prices and the property owner must reimburse the department for the cost.
As soon as all adjustments are made, the district should request Controller’s Division to submit invoices to the respective property owners involved. The district should provide Controller’s Division with a list of property owners making sure the list is accurate as to the responsible property owner and address. Show type of adjustment(s) for each property and the cost. The list should be provided as soon as all adjustments are complete and should not be held until the project is accepted. This will assist the department in its collection efforts since there is often a lengthy time lapse between adjustments and project acceptance.
105.20 Agreement for Shifting State Highway Entrance
Occasionally a property owner may request to shift a plan entrance on a project. If the entrance location is on limited access, it is necessary to handle the request in a specific manner in order to protect both the department's access rights and the property owner's legal access rights. No additions, deletions, or revisions should be made to entrances to condemned property or to controlled access right of way without written approval of the district engineer.
When a request is received, it should be reviewed in the district by design, right of way, maintenance and traffic, as well as the construction office. If found acceptable to all departments, a standard "Agreement for Shifting State Highway Entrance" should be filled out by the district and executed by the property owner(s), along with the appropriate acknowledgments. (Refer to Agreement for Shifting State Highway Entrance, page 1, page 2, page 3 and page 4, Acknowledgment by Commission, Acknowledgment by Individual and Acknowledgment by Corporation.) In certain instances it may be necessary to prepare a special agreement to cover the conditions encountered. This may be done at the district level or by the legal division.
The district should submit five copies each of the agreement and sketches showing the plan and proposed location of the entrance to the State Construction & Materials Engineer. If the situation is complex, submit a copy of the deed. A letter of transmittal should include why the change is being requested, how it affects the department, will the change result in additional costs, and a recommendation by the district.
Upon receipt by the State Construction & Materials Engineer, the respective divisions in the central office are asked to review the request and provide their comments. After review by the legal division, the agreement will be presented for the Chief Engineer's consideration and approval. The agreement, if approved, will be returned to the district for recording. This process is often time consuming; therefore, the district should initiate the processing as soon as the request is made in order to alleviate any delays to the project. No changes in plan construction should be made until the shift agreement is approved.
Contracts involving changes in access in keeping with the Commission's policy for approving documents (Delegation Of Authority For Approval And Execution Of Documents, effective July 10, 2001) advises that the Director, Chief Engineer, Chief Financial Officer, State Traffic Engineer or District Engineer can execute changes in access: however, deeds and/or other documents used to convey the property must be executed by the chair or vice-chair of the Commission.
105.21 Duties of the District Construction and Materials Engineer
The District Construction and Materials Engineer is directly responsible to the district engineer and is expected to operate as the district engineer's representative. All important decisions made by the District Construction and Materials Engineer must be with the full knowledge and consent of the district engineer. How this mandate is carried out is at the discretion of the district engineer.
When projects are advertised for letting, they are assigned to a resident engineer by letter so that project files contain a record of the assignment. This serves as the resident engineer's authority to incur engineering expenses. Copies of this letter are sent to Construction and Materials and to Community Relations. After the project has been awarded, the contractor is informed in writing of the name and address of the resident engineer to whom the work has been assigned. If, during the life of the project, it is necessary to reassign the work, the name of the new resident engineer is provided in writing to the contractor and copies of this letter sent to Construction and Materials.
The District Construction and Materials Engineer must direct work in a way that will keep engineer-contractor controversy and ill feelings to a minimum. This cannot be done by following a set of rules. If enough thought is given and constant effort is made to place authority and responsibility at the proper levels, a smooth-running organization will follow. When decisions can be made at the proper time and place, desired results should be realized.