Difference between revisions of "Category:137 Construction Inspection Guidance for Records to be Maintained"

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m (→‎137.2 Change Order: Per CM, clarified that email is not sufficient formal "written" permission for "change order" approval spec changes. "Written...approval" references removed.)
m (→‎137.6 Close Out Procedure for External CM SharePoint Quality Management Documents: change clarifies the time of move between external and internal couments in eProjects record center.)
 
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This article establishes policy for retaining project documentation.  
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|<center>'''Form'''</center>
 
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|[http://www.modot.mo.gov/business/materials/New%20Product%20Evaluation%20Form.pdf New Product Evaluation Form]
 
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|[[media:137 Force Account Worksheet (one day).xls|Force Account Worksheet (one day)]]
 
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|[[media:137 Force Account Worksheet (multiple days).xls|Force Account Worksheet (multiple days)]]
 
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|[[media:137 Force Account Worksheet example.xls|Force Account Worksheet example]]
 
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|<center>'''Figures'''</center>
 
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|[[media:137.1 sample order.doc|Sample orders (Form C-259)]]
 
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|[[media:137.2 Chief Engineer.jpg|Chief Engineer Change Order Report]]
 
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|[[media:137.2 Chief Engineer, FHWA.jpg|Chief Engineer and FHWA Change Order Report]]
 
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|[[media:137.2 District.jpg|District Change Order Report]]
 
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|[[media:137.2 District, FHWA.jpg|District and FHWA Change Order Report]]
 
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|[[media:137.2 Division.jpg|Division Change Order Report]]
 
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|[[media:137.2 Division, FHWA.jpg|Division and FHWA Change Order Report]]
 
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|[[media:137.2 Resident Engineer, FHWA.jpg|Resident Engineer Change Order Report]]
 
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|[[media:137.2 Resident Engineer, FHWA.jpg|Resident Engineer and FHWA Change Order Report]]
 
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|<center>'''Additional Information'''</center>
 
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|[http://financialpp.gh.modot.local/index.php/Category:Accounts_Payable Accounts Payable]
 
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AASHTOWARE Project (AWP) is the official and primary repository for documentation relating to construction contracts.
  
This article establishes the policy for maintaining various construction inspection records. Additional guidance for the archive process is available at [[137.10 Contract Information Archives|137.10 Contract Information Archives]].
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Supporting documentation is to be retained electronically in eProjects as indicated by this article, except those documents designated by other policy as requiring a paper or original copy. An example of such policy is that relating to notarized documents.  
  
==137.1 Order Record==
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Documents provided by the contractor should be submitted in electronic format. Internal documents may be prepared and saved directly to electronic format or may be scanned to electronic format.  
  
Order records will continue to be written and distributed under this policy.
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When direct access to AWP is not possible at the project site, project data will be handwritten in a bound journal or approved form, or saved using an approved electronic means, and entered into AWP as soon as practical. The bound journal may be specific to a contract or may be for general use. A bound journal specific to a contract is to be retained when the contract work is complete, along with any other required paper documents. Approved forms, if used, may be discarded after correct entry into AWP has been confirmed.  
  
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.
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==137.1 Location==
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The official location for electronic contract document storage is eProjects. This location will be used by both district and headquarters personnel.  
  
'''[http://epg.modot.mo.gov/forms/CO/Order%20Record.dot 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.  [[media:137.1 sample order.doc|An example order record]] is available.  
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Instead of using folders and subfolders, projects are stored within eProjects using document sets, which are assigned to each project.  Projects let in combination will be tied together by the Contract ID. Construction and Materials staff will store all documents in the Primary Project document set. This primary project is identified in AASHTOWARE as the first project listed for the contract in the “State Project Number” field, which corresponds to the first project listed on the cover of the contract.
  
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.
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==137.2 Security==
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Internal access to project documents in eProjects is not restricted. Any authorized user can contribute to and view the project document set.  
  
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.
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==137.3 Naming Convention==
 
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Files should be appropriately named so that all users can identify the document without opening it. Names should also be uniform to facilitate locating documents. All users are encouraged to practice care in how they name files.
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.
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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:
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|[[image:137.3 poor.jpg|left|200px|thumb|<center>'''Poor Naming'''</center>]]||[[image:137.3 good 2021.jpg|left|455px|thumb|<center>'''Good Naming'''</center>]]
 
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: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 recinded when the issue is resolved.  The recinding order record will include the reason for the rescission.
 
 
 
==137.2 Change Order==
 
 
 
A change order is a supplement to the contract. It is prepared to provide authority to pay for revisions in quantities and to authorize changes in scope of work, design concept or specifications. Change orders must have approval before the work is done. Exceptions are routine or minor changes, or emergency revisions for which telephone approval has been granted. In rare cases it may be necessary to proceed with emergency measures without prior approval. In such cases telephone approval should be sought as soon as practicable. Indicate in the diary or letter of transmittal the name of the individual who provided that verbal approval. Change orders providing for additional payment should be processed in sufficient time to allow payment on the next estimate following the period in which the work was performed.
 
 
 
There are four levels of change orders; non-major change orders that can be approved by the [[105.2 Control of Work#105.2.1 Responsibilities of the Resident Engineer|resident engineer]] (Change Order Level 1), non-major change orders that must have district approval (Change Order Level 2), major change orders that must have division approval (Change Order Level 3), and change orders that require Chief Engineer/ Chief Financial Officer approval (Change Order Level 4). Regardless of the level of change order, federal oversight contract change orders require approval by the Federal Highway Administration. Hard copies of ALL CHANGE ORDERS are still required to be submitted to [http://wwwi/intranet/cm/ Construction & Materials].
 
 
 
'''Non-major change orders (Change Order Level 1)''' approved by the resident engineer with FHWA approval if required are:
 
:1. Any no-cost change orders (used when the direct substitution of a particular line item with a contingent item does not generate an additional cost or cost reduction).
 
:2. Any change in a contract or contingency item less than $50,000.
 
:3. Any new contingency item less than $50,000.
 
 
 
:Examples of both a [[media:137.2 Resident Engineer.jpg|Resident Engineer Change Order Report]] and a [[media:137.2 Resident Engineer, FHWA.jpg|Resident Engineer and FHWA Change Order Report]] are available.
 
 
 
'''Non-major change orders (Change Order level 2)''' requiring approval by the district office with FHWA approval if required are:
 
:1. Final change orders for contract leveling course projects.
 
:2. Any change in a contract item or contingency item from $50,000 to $100,000.
 
:3. Any new contingency item from $50,000 to $100,000.
 
:4. Any final change order not meeting "major change order" criteria.
 
:5. When none of the "major change order" criteria apply.
 
 
 
: Examples of both a [[media:137.2 District.jpg|District Change Order Report]] and [[media:137.2 District, FHWA.jpg|District and FHWA Change Order Report]] are available.
 
 
 
'''All major change orders (Change Order Level 3)''' must be approved by the division office with FHWA approval, if required. If an FHWA area engineer has been involved with the district in reviewing the work included in the change order, this should be indicated on the change order cover letter to expedite the approval process. Major change orders are:
 
:1. Any change in a contract or contingency item greater than $100,000.
 
:2. Any new contingency item greater than $100,000.
 
:3. Any specification change.
 
:4. Any revision in a contract unit price.
 
:5. Any change in a major line item greater than 25% from the original contract amount for that line item (in dollars).
 
:6. Any change of the contract amount greater than 25% of the original contract bid amount (also in dollars).
 
:7. Any change in design concept.
 
:8. Any change order not approved by the contractor.
 
:9. Any change order for adjustments due to differing site conditions or significant changes in the character of the work.
 
:10. All value engineering change orders regardless of cost.
 
 
 
:Examples of both a [[media:137.2 Division.jpg|Division Change Order Report]] and [[media:137.2 Division, FHWA.jpg|Division and FHWA Change Order Report]] are available.
 
 
 
'''Chief Engineer/Chief Financial Officer change orders (Change Order Level 4)''' meeting any of the three following criteria must have the concurrent approval of the Chief Engineer and the Chief Financial Officer and FHWA approval, if required:
 
:1. Additions greater than 50% if the original contract amount was $500,000 or less.
 
:2. Additions greater than 25% if the original contract amount was greater then $500,000.
 
:3. Additions greater than $1,000,000.
 
 
 
:Examples of both a [[media:137.2 Chief Engineer.jpg|Chief Engineer Change Order Report]] and [[media:137.2 Chief Engineer, FHWA.jpg|Chief Engineer and FHWA Change Order Report]] are available.
 
 
 
Final change orders, except for contract leveling course projects, must be approved by the division office, with FHWA approval, if required. This change order is used to convert quantities to final status as determined at completion of the project. If no final change order is necessary due to all quantities being updated to final status by previous change order, a statement to that effect should be included in the final plans submittal letter.
 
 
 
Change orders are to be numbered consecutively per contract. Care must be taken when choosing the report form to use for printed change orders to insure the proper change order type is displayed.
 
 
 
Attached sheets are considered part of the change order and shall be numbered as such. Example, when two attachments are required, the change order shall be numbered sheet 1 of 3 and the attachments numbered sheet 2 of 3 and sheet 3 of 3. With the computer generated change order it may be necessary to renumber sheets if additional sheets are added.
 
 
 
The different levels of change orders are generated by the automated record keeping system based on the definitions of change orders provided in this paragraph and the preceding three paragraphs. If the contract is designated Federal Oversight, FHWA approval will be required.
 
 
 
Regardless of the approval level, the Resident Engineer will produce a total of two change orders.  The Resident Engineer will forward both change orders to the contractor for signature.  The contractor will keep one change order and return the other.
 
:
 
:'''Resident Engineer Approval''' – The Resident Engineer keeps one original change order and sends copies to the District and Division.
 
:
 
:'''District Approval''' – The Resident Engineer forwards one original copy to the District for approval.  The District makes one file copy and forwards one copy to the Division.  The original signed copy of the change order is returned to the Resident Engineer.
 
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:'''Division, Chief Engineer /Chief Financial Officer and FHWA Approvals''' – The Resident Engineer forwards one original copy to the District for approval.  The District keeps one copy and forwards the original to the Division.  The Division will obtain Chief Engineer, Chief Financial Officer and FHWA signatures if necessary.  When the appropriate approvals are made, the Division will make a copy for the file and return the original, signed copy to the Resident Engineer.
 
 
 
Regardless of the approval level, the original signed change order will be retained in the Resident Engineer’s file for 5 years after final settlement as required by [[#137.9.10 Retention of Records|Section 137.9.10, Paragraph C]].
 
 
 
===137.2.1 Description and Reason for Change===
 
 
 
See [http://lnapp2/CO/SITEMGR.NSF/62c20a7f7e7eb67b862563d3005a97e5/2e22270b7d5488d18625673100775480?OpenDocument SiteManager Section 801.4]. Give a statement describing the change and the reasons for it. Be brief, yet accurate and complete, in descriptions and reasons. Check controlling specifications carefully to be sure they definitely establish MoDOT’s responsibility for payment. If the change order includes a contingent item for which the method of payment is not established by specification, a detail of all work covered by that item and the section of the specifications covering construction of that item must be shown. Attached sheets are used to list reasons for the change order. Use actual reasons such as grade changes, incorrect shrinkage factor, deletions, erosion, etc., rather than general statements that merely state that quantities vary. Use of the term "within normal tolerance" must be tempered with good judgment.
 
 
 
If the change order is intended to cover final quantities for a bridge, the words "final quantities", the bridge stationing, and the bridge numbers should be placed at the head of this paragraph. This type of change order should be submitted as soon as practical after completion of the structure.
 
 
 
===137.2.2 Estimate of Cost of Work Involved===
 
 
 
This section of the change order is self-explanatory. List items in the same order as they appear in the contract. No combination of items will be permitted. List bridge items separately under the bridge station together with the number of the bridge involved.
 
 
 
See SiteManager Sections 801.2.5 and 402.4.
 
 
 
If a contingent item is identical to a Computer Stored Bid Item, it should be identified by the contract item number from the computer list. If a force account settlement is involved, the contingent item should be identified by contract item number 109.4000. If work is done on a force account basis, the unit price should be shown as 1.00 and the units to be constructed would be the estimated cost. Final costs will normally require an adjustment to be made in the units overrun or underrun. This procedure will allow final costs to be accurately handled by the computer.
 
 
 
===137.2.3 Settlement for Cost===
 
 
 
When contract unit prices govern all changes, no statement is necessary. Agreed unit prices, prices established by Standard Specifications, or force account settlements should be listed in this section along with the basis on which the price was established. If agreed prices are used that cannot be substantiated by the current unit bid price booklet, substantiating data shall be attached to show how the price was determined. The Force Account Worksheet, [[media:137 Force Account Worksheet (one day).xls|(one day)]] or [[media:137 Force Account Worksheet (multiple days).xls|(multiple days)]], may be used to prepare this estimate. Attach the summary of force account costs to any change order that corrects a previously approved force account item to final status.
 
 
 
All contingent items must include a specification containing the basic details used in the Standard Specifications. These are description, materials, construction requirements, method of measurement and basis of payment. References to the Standard Specifications may be used when applicable.
 
 
 
A miscellaneous payment should be shown as an overrun in Section 2 of the change order. This overrun should then be shown in the box on the lower left of the change order in the same manner as any other contract overrun. The amount of a deduction should be shown as an underrun in Section 2 of the change order and carried over into the box on the lower left of the change order in the same manner as any other contract underrun. Items such as payment for leftover materials or deductions for liquidated damages do not require change order approval.
 
 
 
If the change order includes a contingent item for which the method of payment is not established by specification, it must be signed by the contractor. The contractor's signature should not be requested until it has been definitely established that the contractor is entitled to payment for the contingent item involved. The contractor's signature should be requested on all final change orders. The contractor should be requested to sign all other change orders. The contractor's refusal to sign the change order should be documented and this documentation included with the change order if it must be submitted for approval. Change orders must be submitted as soon as practicable if they involve contingent items or changes in design features so that approval or rejection will be made before plans to perform the work materialize. Change orders covering overruns or underruns should be submitted promptly since they affect the contractor's monthly payment estimate.
 
 
 
==137.3 Force Account==
 
 
 
When it is impossible to reach agreement on a fair price for necessary extra work having no unit bid prices, the work must be done on a force account basis. This means that the contractor will be reimbursed for the actual cost of labor, insurance and tax, equipment and materials. In addition, the contractor will receive specified percentages of these costs to cover supervision, overhead and profit. Contract provisions for this method of settlement are set out in [http://www.modot.mo.gov/business/standards_and_specs/Sec0109.pdf Sec 109.5].  Per the specification, the contractor will receive an amount equal to five percent of the actual cost of subcontracted work.  Actual cost is defined as including the subcontractor’s work, overhead and profit.
 
 
 
Before work is done on a force account basis, a change order must be approved to provide funds and authority for the work. The change order must be supported by the best available estimate of cost. The estimate should be carefully prepared to prevent large variations of actual cost from the estimate. See [[:category: 137 Construction Inspection Guidance for Records to be Maintained#137.2.2 Estimate of Cost of Work Involved|the last paragraph of 137.2.2 Estimate of Cost of Work Involved]] for instruction in preparing the change order.
 
 
 
Daily records must be kept during progress of the work. This avoids later misunderstanding about the cost. Keep these records on either the [[media:137 Force Account Worksheet (one day).xls|one day version]] or the [[media:137 Force Account Worksheet (multiple days).xls|multiple days version]] of the Force Account Worksheet.  An [[media:137 Force Account Worksheet example.xls|example of the force account worksheet]] is available.
 
 
 
===137.3.1 Daily Force Account Record, Labor Account===
 
 
 
Use the [[media:137 Force Account Worksheet (one day).xls|one day]] or the [[media:137 Force Account Worksheet (multiple days) Jan 2010.xls|multiple days]] version of the Daily Force Account Record, Labor Account, as follows:
 
 
 
:In the upper right corner, place the number of the change order that originally authorized the force account work. This will serve to identity all associated reports. If the work is temporary erosion control authorized by order record, use the order record number and initials, O.R.
 
 
 
:Number the report consecutively for each day's work until the operation is completed. Write “Final” after the report number on the last daily report.
 
 
 
:Route, county, and project should be placed in the appropriate spaces.
 
 
 
:Give a fairly detailed description in the space provided for Description of Work. Include the location of the work to be done. Place this data on Report No. 1. It need not be repeated on subsequent daily reports.
 
 
 
::(a) The people employed on the work must be listed daily. This makes it necessary for the contractor to furnish the required information for each employee expected to be used on the work. Separate lines are provided for regular and overtime hours. The hours shown for each employee should be the actual hours worked each day. Separate columns are provided for the rate per hour and the fringe benefit rates per hour. The rates shown should be verified by a copy of the contractor's payroll, if available, or from the contractor's statement required by [http://www.modot.mo.gov/business/standards_and_specs/Sec0109.pdf Sec 109.5.7].
 
 
 
::(b) Lead workers, as described under Sec. 109.5.1, must be paid no less than the prevailing hourly wage for the classification they are working in. If a lead worker is salaried, the contractor must provide documentation of the amount actually paid and the hours actually worked. This documentation is required by Sec 109.5.7. Salaried superintendents are not covered by the prevailing wage provisions and should not be included in the labor account. Their expenses are covered by the 20 percent overhead and profit as provided in Sec 109.5.2.
 
 
 
:If actual wage rates and fringe benefits cannot be determined in advance, it will be satisfactory to use rates shown in the contract for each classification. If rates from the contract are used, it will be necessary to obtain the actual rates paid by the contractor and make revised sheets before preparing either the [[media:137 Force Account Worksheet (one day).xls|one day version]] or the [[media:137 Force Account Worksheet (multiple days) Jan 2010.xls|multiple days version]] of the Summary of Costs for the force account work. The contractor’s representatives should sign any revised sheets.
 
 
 
:Total the labor account at the end of each day. Add the previous day's total to get a running total to date.
 
 
 
:Check the appropriate spaces at the bottom of the page to indicate whether there were any materials or equipment charges that day. If the answer in both cases is no, the "Equipment and Materials Account" will not be required for that date.
 
 
 
:On the lower left of the form is space for the signature of the resident engineer, or of the employee designated in writing to sign the daily forms.
 
 
 
:The employee designated in writing by the contractor shall sign immediately below MoDOT's representative. Insert the name of the contractor below the space for this signature.
 
 
 
:Give the contractor the original and retain two copies.
 
 
 
===137.3.2 Daily Force Account Record, Equipment and Materials Account===
 
 
 
Complete this portion of either the [[media:137 Force Account Worksheet (one day).xls|one day version]] or the [[media:137 Force Account Worksheet (multiple days).xls|multiple days version]] of the Worksheet, if either materials or equipment charges were assessed for the day. Place the same information in the upper right corner as was placed on the Labor Account portion of the Worksheet. The report number is to be consecutive for the Equipment and Materials Form. It need not agree with the number on the Labor Account Form.
 
 
 
The headings for the various spaces under Materials Account are self-explanatory.
 
 
 
Each equipment unit must be listed separately. The contractor must supply information on all equipment to be used on a force account basis. The information must be in sufficient detail to allow accurate determination of the allowable rental rent according to [http://www.modot.mo.gov/business/standards_and_specs/Sec0109.pdf Sec 109.5.4].
 
 
 
'''Rental rates on file with the Commission''' are the rates contained in [http://www.equipmentwatch.com/Navigation.do?product=home&entID=63ACCE1EE8E840C4E040020A1405125E ''Rental Rate Blue Book'' for construction equipment]. For contractor-owned equipment, apply the Model Year and Region adjustments, then divide the monthly rate by 176 hours to obtain the FHWA approved hourly rate.  The listed estimated operating cost per hour is also applied for the time the machine is in use.
 
 
 
In all other cases, the resident engineer should negotiate rental rates with the contractor, subject to approval by the district.  Sec. 109.5.4 states, "In no case shall the rental rates exceed those of established distributors or equipment rental agencies.” Proposed rates for contractor owned equipment may not exceed the rate determined by the above paragraph or the rate charged locally by equipment rental companies, whichever is lower. If special cases indicate that higher rates may be justified, send the proposed rates to [http://wwwi/intranet/cm/ Construction & Materials] with the district's recommendation and data to support the proposed rates for division review.
 
  
Contractor's proposed rates shall be submitted to the resident engineer in writing. The proposal shall state whether the rate includes fuel and lubricants. After district concurrence, the resident engineer shall grant approval in writing. The written proposal and approval make up the agreement. Send both letters to the district with either the [[media:137 Force Account Worksheet (one day).xls|one day version]] or [[media:137 Force Account Worksheet (multiple days).xls|multiple days version]]of the Daily Force Account Record, Summary of Costs after the work is done.
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Some document types will have a naming convention dictated by division policy to promote statewide uniformity.  
  
When this has been done, use of the various column headings is based on the agreement. The columns for No. Hours, Previous Hours, and Net Hours are self-explanatory. They are to be used regardless of rental basis.
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New file filenames should follow this pattern:   
 
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::{| style="margin: 1em auto 1em auto"
If equipment is to be used on an hourly rental basis, the Hour Rate multiplied by the Rate Adjustment Factor will be used. In all other cases, list the rental on either a weekly or monthly basis as agreed.
 
 
 
When equipment is rented from a recognized rental agency specifically for the force account work, the contractor will normally be allowed the actual rental paid. This must be established by paid invoices.
 
 
 
If contractor-owned equipment must be kept available full time at the site, or if it is specialized equipment for which there is no other use on the project, it may become necessary to allow rental on a full time basis. The unit should then be shown at 8 hours of rental for each day, Monday through Friday, at the hourly rate established as outlined in the [[:category:137 Construction Inspection Guidance for Records to be Maintained#137.3.2 Form C-FA2|Rental rates on file with the Commission]] paragraph, above, unless the resident engineer has authorized overtime use of the equipment. If the agreed rate is "bare" rate, the agreed operating cost per hour would be added to the "bare" rate only for actual operating hours.
 
 
 
If contractor-owned equipment is to be used on a part-time basis and will be used for other work on the project, it should be carried on the equipment account at actual hours used.
 
 
 
If equipment must be shipped to the project specifically for force account work, the shipping costs are reimbursable. Such costs should be carried in the equipment account by listing the unit involved and showing the shipping cost under amount. Write in the invoice number, noting it as shipping cost, under the rate headings.
 
 
 
For the time required to move the equipment to and from the site of the ex work and any authorized standby time, the rate will be 50% of the hourly rate after the actual operating costs have been deducted.
 
 
 
===137.3.3 Force Account Record, Summary of Costs===
 
 
 
The Summary of Costs, (either the [[media:137 Force Account Worksheet (one day).xls|one day version]] or the [[media:137 Force Account Worksheet (multiple days).xls|multiple days version]]), is prepared in quadruplicate when the force account work has been completed.
 
 
 
On the Summary place in the upper right corner the number of the original authorizing change order. Complete the description and location of work in considerable detail.
 
 
 
Give the original to the contractor. Retain the fourth copy in the resident engineer's file. Send the other two copies to the district office for checking.
 
 
 
One copy sent to the district office is to be accompanied by a copy of each daily report for checking. The daily reports, after checking, are to be filed with the district copy of
 
the Force Account Record Summary of Costs.
 
 
 
One checked copy of this Summary is to be sent to [http://wwwi/intranet/cm/ Construction & Materials] by the district.
 
 
 
==137.4 Field Purchase Order==
 
 
 
Refer to [http://wwwi/intranet/gs/documents/collated%20procurement%20field%20manual.doc General Services Procurement Manual] for further information guidelines.
 
 
 
==137.5 Invoices and Commercial Bills==
 
 
 
Refer to [http://financialpp.gh.modot.local/index.php/Category:Accounts_Payable Accounts Payable] in the [http://financialpp.gh.modot.local/index.php/Main_Page Financial Policies and Procedures Manual] on how to submit invoices for payment.
 
 
 
==137.6 Project Diaries==
 
 
 
Refer to Section 502.0 of the SiteManager Handbook for diary guidelines. All diaries with the exception of final pay quantities shall be kept in SiteManager. The final pay quantities may be maintained in a bound field book when reasonable access to SiteManager is not available near the project site so that routine entries through the day are not allowed. (Refer to [[:Category:239 Construction Inspection Guidelines for Final Plans#239.10 SiteManager Plans|239.10 SiteManager Plans]]). The resident engineer shall keep in SiteManager a daily diary for each project, or combination of projects, let as a single contract.
 
 
 
Each inspector responsible for a major operation must keep a separate daily diary in the same way required of the resident engineer. 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.
 
 
 
The diary 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 diary are:
 
::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 correspondance 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.
 
 
 
In no case may a diary be kept in loose-leaf form. If an error is made in the diary 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 diaries must be filed in the district office as a part of the permanent record.
 
 
 
==137.7 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 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 often 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 [http://www.modot.mo.gov/business/contractor_resources/biditemslisting.htm 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.
 
 
 
==137.8 Other 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 sections of the Engineering Policy Guide.
 
 
 
The various articles explain the preparation and use of forms to be used at the project level.
 
 
 
==137.9 Recurring Reports==
 
 
 
===137.9.1 Working Day Reports===
 
 
 
Refer to SiteManager Section 502.3 for guidelines on Working Day Reports.
 
 
 
===137.9.2 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 SiteManager to review this information.
 
 
 
===137.9.3 Payment Estimates===
 
 
 
Refer to SiteManager 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 [[media:105.3.9 Shifting State Highway Entrance pg1.jpg|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.
 
 
 
:[http://www.modot.mo.gov/business/contractor_resources/biditemslisting.htm 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 [http://www.modot.mo.gov/business/contractor_resources/biditemslisting.htm 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.
 
 
 
===137.9.4 Employees Time Reports===
 
 
 
Refer to [http://financialpp.gh.modot.local/index.php/Time_Reporting Time Reporting] in the [http://financialpp.gh.modot.local/index.php/Main_Page Financial Policies and Procedures Manual]
 
on how to submit time reports.
 
 
 
===137.9.5 Fleet Equipment Reports===
 
 
 
Refer to [http://wwwi/intranet/gs/fleet/ General Services Fleet] for guidance on how to maintain fleet equipment records.
 
 
 
===137.9.6 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/ 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.
 
 
 
===137.9.7 Subcontract Approval Request===
 
 
 
When a contractor desires to sublet a portion of the work, the request will be prepared on [http://www.modot.org/business/materials/Request%20to%20Subcontract%20Work%20(C-220).pdf 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 [http://www.modot.mo.gov/business/standards_and_specs/Sec0108.pdf 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 [http://wwwi/intranet/cm/ 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.
 
 
 
===137.9.8 SiteManager===
 
 
 
The SiteManager system is designed to provide the resident engineer with a means to record project pay quantities and reports on a daily basis and to generate recurrent reports. It shall be used on all projects.
 
 
 
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 SiteManager Diary record is required indicating that work was not performed on that particular day. 
 
 
 
The SiteManager record must be complete and include all information pertinent to the contract.
 
 
 
For details on entering information into the computer SiteManager system, refer to the User's Manual for SiteManager.
 
 
 
===137.9.9 Documentation Record - Form C-258===
 
 
 
See SiteManager Section 501.1 and 502.1. This form is to be used 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. Distribution of the form is indicated on the bottom. Copies for others may be indicated by writing or typing the appropriate legend, such as contractor. When preparing the form, a mark should be placed in the box indicating each office receiving a copy. A separate mark should then be used on each copy to indicate routing of the copy. Documentation records should be numbered sequentially for a contract, even when there are multiple projects in the contract.
 
 
 
Incentive payments for smooth pavement and deductions in payment for rough pavement is also to be documented by a Documentation Record issued by the resident engineer. Incentive payments or deductions in payment may be placed on the estimate under either Line 700 or Line 800 anytime after the documentation record has been issued and has been received by the Division of Construction and Materials.
 
 
 
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"
 
 
 
Typical substitutions permitted by Standard Specifications are:
 
 
 
====<center>''Table 137.9.9 Typical Substitutions Permitted by the Specs''</center>====
 
{| border="1" class="wikitable" style="margin: 1em auto 1em auto"
 
|+
 
!style="background:#BEBEBE"|Contract Item!! style="background:#BEBEBE"|Permissible Substitute !! style="background:#BEBEBE"|Sec!! style="background:#BEBEBE"|Remarks
 
|-
 
!colspan="4"|BASE
 
|-
 
|Plant Mix Bit.Base ||Type IB or IC Asphaltic Concrete|| [http://www.modot.mo.gov/business/standards_and_specs/Sec0301.pdf Sec 301.3.6]||align="center"| -
 
|-
 
|Plant Mix Bit.Base||Commercial Mixture||[http://www.modot.mo.gov/business/standards_and_specs/Sec0301.pdf Sec 301.3.7.1]|| Temp. Const.
 
|-
 
!colspan="4"|PAVEMENT
 
|-
 
|Plant Mix Bit. Pavement||Commercial Mixture|| [http://www.modot.mo.gov/business/standards_and_specs/Sec0401.pdf Sec 401.3.8.1]||Temp. Const.
 
|-
 
|Road Mix Bit.Pavement ||Change Liq. Asph. One Grade||[http://www.modot.mo.gov/business/standards_and_specs/Sec0405.pdf Sec 405.2]|| align="center"| -
 
|-
 
|Road Mix Bit.Pavement|| Commercial Mixture||[http://www.modot.mo.gov/business/standards_and_specs/Sec0405.pdf Secs 405.2.1 and 405.5.5]|| align="center"| -
 
|-
 
!colspan="4"|LIQUID ASPHALT
 
 
|-
 
|-
|Prime Coat ||Change Liq. Asph. One Grade|| [http://www.modot.mo.gov/business/standards_and_specs/Sec0408.pdf Sec 408]|| align="center"| -
+
|Contract Number < underscore or dash > ||150220_F01
 
|-
 
|-
|Seal Coat ||Change Liq. Asph. One Grade ||[http://www.modot.mo.gov/business/standards_and_specs/Sec0409.pdf Sec 409.2]|| align="center"| -
+
|width="350"|File Type & Number < underscore >||"Change_Order_001", "Estimate_0024", or other applicable term.
 
|-
 
|-
!colspan="4"|PIPE
+
|Project Number < underscore > ||Not required if there is only one project on the contract, or the file applies to the whole contract.
 
|-
 
|-
|Corrugated MetalPipe (60 in. or larger)||Structural Plate Pipe|| align="center"| - || align="center"| -
+
|Additional Detail|| Any other information necessary to make filename unique.
 
|-
 
|-
|Non-Reinforced Concrete Pipe||Reinforced Concrete Pipe ||[http://www.modot.mo.gov/business/standards_and_specs/Sec0726.pdf Sec 726.1.6]|| align="center"| -
+
|Examples: ||181019-G05_J8P3088C_Storm_Water_Map_03112019
 
|-
 
|-
|Reinforced Concrete Pipe|| Higher Class Concrete Pipe ||[http://www.modot.mo.gov/business/standards_and_specs/Sec0726.pdf Sec 726.1.7]|| align="center"| -
+
| ||181214-180518-F02_Contractor_Pay_Estimate_006_09302018\
 
|-
 
|-
!colspan="4"|PIPE
+
| ||C02_J4I3124_C220_Pine_Valley
 
|-
 
|-
|Cast-in-Place Box Culvert||Precast Box Culvert||[http://www.modot.mo.gov/business/standards_and_specs/Sec0733.pdf Sec 733.1]|| align="center"| -
+
| ||190315-H03_Chg_Order_02_Supporting_Docs
 
|}
 
|}
  
===137.9.10 Retention of Records===
+
The use of underscores in lieu of dashes or spaces allows the search of a word in eProjectsAlways separate with underscores. Use of camel-back type saving does not allow for word separation in a search and is not recommended, for example: 110510-B05ChangeOrderNo1. This would be considered all one word when searching.
To the extent possible, data, documentation and correspondence related to active projects should be electronically retained at V:\Contract Information ArchiveElectronic document storage guidance is available at [[137.10 Contract Information Archives|137.10 Contract Information Archives]].
 
 
 
When a project has been completed, all data pertaining to the work shall be retained electronically at V:\Contract Information Archive for possible future reference. The information held in the archive storage area is considered the district's contract files.  The following is a list of specific district files that are a construction responsibility and are to be maintained as indicated (however, additional relevant files may be included at the district's discretion):
 
 
 
:a. All important correspondence, including important circular letters, is to be retained indefinitely. All other correspondence may be discarded after the retention period deemed necessary by its measure of importance. See Item c, below
 
 
 
:b. Records of final plans are now burned on CD's in lieu of microfilming. A complete set of final plans is to be retained until this procedure is completed in Construction & Materials. The final plans are to consist of title sheet, typical section, 2A, plan and profile, B sheets, bridge plans, special lay-outs such as drawings of intersections and widening. Refer to [[:Category:239 Construction Inspection Guidelines for Final Plans|239 Construction Inspection Guidelines for Final Plans]] for additional information.
 
  
:c. The project contract and construction correspondence file are to be retained for a period of five years after final settlement, or payment by the Federal Highway Administration, then only the important correspondence is to be retained. The final estimate is entered in SiteManager and is readily accessible as needed.
+
The districts and/or offices may also impose naming conventions to promote uniformity.
  
:d. All resident engineer workday reports are to be retained in SiteManager.
+
==137.4 File Types==
 +
It is encouraged that most documents be stored as pdf files when possible, however, it is not required.  eProjects uses versioning, protecting the integrity of the source document and allowing for collaboration.  Construction and Material documents that do require PDF are those that require signature. All Construction and Materials staff should have the ability to generate PDF files with the use of Adobe Pro or Bluebeam software.
  
:e. Any type of aggregate material that is to be paid for by the ton or cubic yard shall have a ticket written from the appropriate ticket book for documentation purposes. The aggregate books are to be retained for a period of '''five years''' after final settlement or payment by the Federal Highway Administration, and then discarded.
+
In some cases, the file type to be saved may be dictated by policy when specific needs apply.  
  
:f. Resident engineer and inspector diaries are to be retained for a period of '''twelve years'''.
+
==137.5 Archiving==
 +
As part of the district final plans process, the district should ensure that each contract’s files are complete and complies with division and district policies. Files of a temporary nature should not remain in the project document set before being sent to the division for final review.  
  
:g. Written construction field notebooks such as alignment, original and final cross-sections, are to be '''retained for five years''' after final settlement, or payment by the Federal Highway Administration. That '''data noted''' above that '''electronically stored''' will be '''maintained at Central Office'''.
+
Once the headquarters final plans reviewer has completed the project, the eProject document set will be marked as closed and be automatically moved to the Records Center.
  
:h. The equipment assigned to the Resident Engineers Office is to be kept in the Construction Directory until removed from inventory. The '''General Services Division''' keeps final records of equipment.
+
==137.6 Close Out Procedure for External CM SharePoint [[:Category:150 Quality Management|Quality Management]] Documents==
 +
If the project office has been diligent about ensuring that the contractor provided all of the required documents (test reports, checklists, material receiving reports, DIRs, etc.) prior to paying for the work each period, the project office can feel fairly confident that it has everything needed at closeout. The project office will still need to perform a general review of the collection of documents for completeness and get confirmation from the contractor that the record is complete.  
  
:i. Bills of lading for asphaltic cement, portland cement, fly ash, mineral filler, hydrated lime and ground granulated blast furnace slag used to complete the Plant Inspectors Daily Reports are to be retained for '''three years''' and may then be discarded.
+
If the project office has not verified that all documents were submitted before paying for work, and the project office does not have an organized method of verifying that the record is complete, the project office will need to schedule a post-construction audit with contractor staff and go through all documents to make sure the project office has everything it needs before the DCE issues final acceptance.  
  
The Controller's Office will inform the district when final settlement has been made with the Federal Highway Administration.
+
In either case, the project office might find that it is lacking in the number of tests that were required per the ITP. The project office should discuss that with the DCE and decide whether or not the missing tests or other documents warrant some sort of action, such as post-construction testing or some other verification from the contractor. The DCE may determine that the missing tests are insignificant and grant a waiver. Ensure to document any follow-up actions or waivers so that the project office has a record of that decision.  
  
All electronic project files be retained until it is certain that no contractor claims will be filed or existing claims or resulting litigation have been finalized.
+
Once the project has closed in AASHTOWARE (CICM date populated by Division), the external SharePoint project documents will automatically transfer to the eProjects Record Center with the Content Type of all documents as “CM – Contractor QM”. This transfer happens immediately. eProjects documents are moved to the Records Center 90 days following the population of the CICM date in AASHTOWARE.
[[image:137.9.10.jpg|center|800px]]
 

Latest revision as of 14:49, 9 November 2022

This article establishes policy for retaining project documentation.

AASHTOWARE Project (AWP) is the official and primary repository for documentation relating to construction contracts.

Supporting documentation is to be retained electronically in eProjects as indicated by this article, except those documents designated by other policy as requiring a paper or original copy. An example of such policy is that relating to notarized documents.

Documents provided by the contractor should be submitted in electronic format. Internal documents may be prepared and saved directly to electronic format or may be scanned to electronic format.

When direct access to AWP is not possible at the project site, project data will be handwritten in a bound journal or approved form, or saved using an approved electronic means, and entered into AWP as soon as practical. The bound journal may be specific to a contract or may be for general use. A bound journal specific to a contract is to be retained when the contract work is complete, along with any other required paper documents. Approved forms, if used, may be discarded after correct entry into AWP has been confirmed.

137.1 Location

The official location for electronic contract document storage is eProjects. This location will be used by both district and headquarters personnel.

Instead of using folders and subfolders, projects are stored within eProjects using document sets, which are assigned to each project. Projects let in combination will be tied together by the Contract ID. Construction and Materials staff will store all documents in the Primary Project document set. This primary project is identified in AASHTOWARE as the first project listed for the contract in the “State Project Number” field, which corresponds to the first project listed on the cover of the contract.

137.2 Security

Internal access to project documents in eProjects is not restricted. Any authorized user can contribute to and view the project document set.

137.3 Naming Convention

Files should be appropriately named so that all users can identify the document without opening it. Names should also be uniform to facilitate locating documents. All users are encouraged to practice care in how they name files.

Poor Naming
Good Naming

Some document types will have a naming convention dictated by division policy to promote statewide uniformity.

New file filenames should follow this pattern:

Contract Number < underscore or dash > 150220_F01
File Type & Number < underscore > "Change_Order_001", "Estimate_0024", or other applicable term.
Project Number < underscore > Not required if there is only one project on the contract, or the file applies to the whole contract.
Additional Detail Any other information necessary to make filename unique.
Examples: 181019-G05_J8P3088C_Storm_Water_Map_03112019
181214-180518-F02_Contractor_Pay_Estimate_006_09302018\
C02_J4I3124_C220_Pine_Valley
190315-H03_Chg_Order_02_Supporting_Docs

The use of underscores in lieu of dashes or spaces allows the search of a word in eProjects. Always separate with underscores. Use of camel-back type saving does not allow for word separation in a search and is not recommended, for example: 110510-B05ChangeOrderNo1. This would be considered all one word when searching.

The districts and/or offices may also impose naming conventions to promote uniformity.

137.4 File Types

It is encouraged that most documents be stored as pdf files when possible, however, it is not required. eProjects uses versioning, protecting the integrity of the source document and allowing for collaboration. Construction and Material documents that do require PDF are those that require signature. All Construction and Materials staff should have the ability to generate PDF files with the use of Adobe Pro or Bluebeam software.

In some cases, the file type to be saved may be dictated by policy when specific needs apply.

137.5 Archiving

As part of the district final plans process, the district should ensure that each contract’s files are complete and complies with division and district policies. Files of a temporary nature should not remain in the project document set before being sent to the division for final review.

Once the headquarters final plans reviewer has completed the project, the eProject document set will be marked as closed and be automatically moved to the Records Center.

137.6 Close Out Procedure for External CM SharePoint Quality Management Documents

If the project office has been diligent about ensuring that the contractor provided all of the required documents (test reports, checklists, material receiving reports, DIRs, etc.) prior to paying for the work each period, the project office can feel fairly confident that it has everything needed at closeout. The project office will still need to perform a general review of the collection of documents for completeness and get confirmation from the contractor that the record is complete.

If the project office has not verified that all documents were submitted before paying for work, and the project office does not have an organized method of verifying that the record is complete, the project office will need to schedule a post-construction audit with contractor staff and go through all documents to make sure the project office has everything it needs before the DCE issues final acceptance.

In either case, the project office might find that it is lacking in the number of tests that were required per the ITP. The project office should discuss that with the DCE and decide whether or not the missing tests or other documents warrant some sort of action, such as post-construction testing or some other verification from the contractor. The DCE may determine that the missing tests are insignificant and grant a waiver. Ensure to document any follow-up actions or waivers so that the project office has a record of that decision.

Once the project has closed in AASHTOWARE (CICM date populated by Division), the external SharePoint project documents will automatically transfer to the eProjects Record Center with the Content Type of all documents as “CM – Contractor QM”. This transfer happens immediately. eProjects documents are moved to the Records Center 90 days following the population of the CICM date in AASHTOWARE.