Manual English Volume 1 of 3 (Rev.01)

Resident Engineering Procedures Manual
SAUDCONSULT
SAUDI CONSULTING SERVICES
Resident Engineering Procedures

Manual
Volume 1 of 3
The Manual
Version 01
Version Date: 01st Jan.2014
PROJECT
MANAGEMENT OFFICE - SUPERVISION
(PMO - SUPERVISION)
Author: Jehad AK. Bakeer, PMP, AVS

Project Management Professional,
Associate value Specialist
Project Management Office (PMO) Manager
RE Manual Navigating Procedure in the electronic copy:
RE Manual Navigating Procedure in the electronic copy:

1. Open the file. Cover Page (page 1) is the default page to display on your screen.
2. Click or scroll down to next page (Page 2) Table of Content.
3. All text in the Table of Content in Light Blue Color have dynamic link to:-
 The page of the Chapter or subject within the same document.
 The file of the subject outside the document (Separate files)
Using the hand tool (the curser will change shape to Hand when pointing on the
underlined text in Light Blue Color), click on the subject that you are concerned and it will
jump to the page of the subject within the manual or to the file of the subject in another file.
4. If you are at the end of any Chapter page of the Manual and you wish to go back to table
of contents of this document, click on the Back to the Table of Contents
Footer and it will lead you back to table of contents.
Every footer note Back to the Table of Contents marks the end of each Chapter & has a
dynamic link going back to Table of Content.
Other means of navigating within the manual is thru the bookmark. Click on each
bookmark and it will jump to the page of the subject. Bookmark tab located at the left hand
side of your screen to display the contents.
5. Texts in blue colors in the bookmarks are the cover page of each Chapter showing its
content. Titles in the cover page also have dynamic links to the page of the subject.

Typical Organization Chart
for
Site Supervision Projects
Supervision Consultant/
Resident Engineer Head Office Support
Technical & Contract Administration Administration
FUNCTIONS
Technical Office Construction/Field Administrative
/Office Discipline Engineers Discipline Engineers/ Inspectors Staff
TASKS · Contract Administration Inspection & Testing;- · Document Control:-

(NTP, Meetings, · QA/QC · Communications & Correspondence,
Submittals, RFI’s, · Testing of Materials · Secretarial Works
Variation Orders, NCN’s, · Factory, Mill & Batch Plant Inspection · IT
Reports... · Delivery of Permanent Materials &
· Review & approval of Equipment
Contractor’s Submittals · Photo's & Video Tapes
· QS. · Testing & Startup
· Punch List
· Site Safety
STAFF
Senior Doc.
SeniorArchitect Architect Site Architect/Site Arch. Senior Doc. Controller
Controller
Senior Site Architect Inspector Engineer/Site
Arch Inspector
Senior Structural Accountancy Project Accountant
Str. Eng. Site Str. Engineer/Site Str.
Engr.
Senior Site Structural Inspector Engineer/Str.
Engr. Inspector
Senior Electrical Administrator Admin. Officer
Elect. Eng.
Engr. Site Elec. Engineer/Site
Senior Site Electrical
Elect. Inspector Engineer/
Engr. Secretary Exec. Secretary
Senior Elect. Inspector
Mech. Eng.
Mechanical Engr.
Site Mech. Engineer/Site
Senior Site
Mech. Inspector Engineer/ IT Admin. IT Manager
Senior Civil Engr. Civil Eng. Mechanical Engr.
Mech. Inspector
Site Civil. Engineer/Site
Discipline Senior Site Civil Engr. Civil. Inspector Engineer/ Messenger/Driver
Senior Discipline
Engineers Eng. Civil Inspector
Site .... Engineer/Site ....

Other Discipline
Inspector Engineer/...
Senior Site Engineers
Inspector
Senior Land Surveyor Land Surveyor

PREFACE
Referring to the constant directions of Dr. Tariq Mohammed Al Shawaf “Chairman of
SAUDCONSULT Saudi Consulting Services” to continuously promote the office
performance to maintain a distinguished level of services & proceed with its services in
accordance with the best practices.
A PROJECT MANAGEMENT OFFICE (PMO) has been established. One of the tasks
assigned to PMO is to prepare a clear & detailed RESIDENT ENGINEERING
PROCEDURES MANUAL for Supervision services which can be updated to comply with
various Project requirements & comply with any development with international standard
specification & best practices.

TABLE OF CONTENTS
RE Manual Navigating Procedure in the electronic copy

Typical Organization Chart fir Site Supervision Projects
Preface
CHAPTER 1 ---------------------------------------------------------------------------------------------------------------------------------- 8
INTRODUCTION TO MANUAL---------------------------------------------------------------------------------------------------------- 8
1.1 THE INTRDUCTION ------------------------------------------------------------------------------------------------------ 1
1.2 Scope of the Procedures Manual ------------------------------------------------------------------------------------- 1
1.3 USE OF THE PROCEDURES MANUAL ---------------------------------------------------------------------------- 1
1.4 Flow charts ------------------------------------------------------------------------------------------------------------------ 2
1.5 REVISIONS TO THE PROCEDURES MANUAL Need for Revisions. -------------------------------------- 2
CHAPTER 2 ---------------------------------------------------------------------------------------------------------------------------------- 1
COMMUNICATIONS AND CORRESPONDENCE --------------------------------------------------------------------------------- 1
2.1 IMPORTANCE OF COMMUNICATIONS --------------------------------------------------------------------------------- 1
2.2 COMMUNICATIONS ON THE JOB SITE --------------------------------------------------------------------------------- 1
2.3 VISITORS TO THE JOB SITE ----------------------------------------------------------------------------------------------- 1
2.4 AVAILABILITY OF INFORMATION----------------------------------------------------------------------------------------- 2
2.5 MEETINGS AND REPORTS ------------------------------------------------------------------------------------------------ 2
2.6 PUBLIC RELATIONS ---------------------------------------------------------------------------------------------------------- 3
2.7 CORRESPONDENCE --------------------------------------------------------------------------------------------------------- 3
2.8 DISTRIBUTION OF CORRESPONDENCE ------------------------------------------------------------------------------ 4
CHAPTER 3 ---------------------------------------------------------------------------------------------------------------------------------- 1
CONTRACT ADMINISTRATION -------------------------------------------------------------------------------------------------------- 1
3.1 Introduction ----------------------------------------------------------------------------------------------------------------------- 1
3.2 Project Management Plan----------------------------------------------------------------------------------------------------- 1
3.3 Notice to Proceed (Project Owner to Contractor) ----------------------------------------------------------------------- 3
3.4 Pre-Construction Conference (Kick off Meeting) ------------------------------------------------------------------------ 4
3.5 Construction Mobilization List ------------------------------------------------------------------------------------------------ 5
3.6 Construction Schedule --------------------------------------------------------------------------------------------------------- 6
3.7 Submittals ------------------------------------------------------------------------------------------------------------------------- 8
3.8 Request for Information/Clarification Request ------------------------------------------------------------------------- 12
3.9 /Change order Request (COR)/ Request for Substitution. ---------------------------------------------------------- 15
3.9. 1 CHANGE ORDER REQUEST FOR PRIVATE SECTORS -------------------------------------------------- 15
3.9. 2 CHANGE ORDER REQUEST FOR PUBLIC/GOVERNMENT SECTORS------------------------------ 17

3.10 Site work Instructions (SWI) -------------------------------------------------------------------------------------------- 19
3.11 Proposed Change Order (PCO) --------------------------------------------------------------------------------------- 23
3.12 Contract Change Order (CCO) ---------------------------------------------------------------------------------------- 26
3.13 Construction Cost Estimating ------------------------------------------------------------------------------------------ 30
3.14 Differing Site Conditions ----------------------------------------------------------------------------------------------- 32
3.15 Progress Payment Certificate ---------------------------------------------------------------------------------------- 34
3.16 Extension of Time ------------------------------------------------------------------------------------------------------- 37
3.17 Liquidated Damages---------------------------------------------------------------------------------------------------- 39
3.18 Non-Compliance Notice (NCN) -------------------------------------------------------------------------------------- 41
3.19 Temporary Suspension of Work ------------------------------------------------------------------------------------- 44
3.20 Termination of Contract ------------------------------------------------------------------------------------------------ 45
3.21 PARTNERING ----------------------------------------------------------------------------------------------------------- 46
3.22 Meetings ------------------------------------------------------------------------------------------------------------------- 47
3.23 Letter Writing Guidelines ---------------------------------------------------------------------------------------------- 49
3.24 Contractor’s Daily & RE’s weekly Construction Report -------------------------------------------------------- 50
3.25 Monthly Report ----------------------------------------------------------------------------------------------------------- 52
3.26 Record Documentation Handling ------------------------------------------------------------------------------------ 54
3.27 Surveys -------------------------------------------------------------------------------------------------------------------- 60
CHAPTER 4 ---------------------------------------------------------------------------------------------------------------------------------- 1
INSPECTION AND TESTING ------------------------------------------------------------------------------------------------------------ 1
4.1 Introduction --------------------------------------------------------------------------------------------------------------------------- 1
4.2 Quality Control/Quality Assurance Program (QC/QA) --------------------------------------------------------------------- 2
4.3 Daily Construction Report--------------------------------------------------------------------------------------------------------- 4
4.4 Testing of Materials----------------------------------------------------------------------------------------------------------------- 5
4.5 Factory, Mill and Batch Plant Inspection -------------------------------------------------------------------------------------- 7
4.6 Delivery of Permanent Materials and Equipment --------------------------------------------------------------------------- 8
4.7 Photographs and Video --------------------------------------------------------------------------------------------------------- 10
4.8 Testing and Startup--------------------------------------------------------------------------------------------------------------- 12
4.9 Punch list ---------------------------------------------------------------------------------------------------------------------------- 17
4.10 Supervision Inspector Duties ------------------------------------------------------------------------------------------------- 20
4.11 Construction Site Safety ------------------------------------------------------------------------------------------------------- 22
CHAPTER 5 ---------------------------------------------------------------------------------------------------------------------------------- 1
SUBSTANTIAL & FINAL COMPLETION --------------------------------------------------------------------------------------------- 1
5.1 Introduction --------------------------------------------------------------------------------------------------------------------- 1
5.2 Substantial Completion ------------------------------------------------------------------------------------------------------ 2
5.3 Final Acceptance -------------------------------------------------------------------------------------------------------------- 4
5.4 Project Closeout Documentation ------------------------------------------------------------------------------------------ 5
CHAPTER 6 ---------------------------------------------------------------------------------------------------------------------------------- 1
POST CONSTRUCTION ACTIVITIES ------------------------------------------------------------------------------------------------- 1
6.1 Introduction --------------------------------------------------------------------------------------------------------------------------- 1
6.2 Final Progress Payment ----------------------------------------------------------------------------------------------------- 2
6.3 Record Documents (As-Built) ---------------------------------------------------------------------------------------------- 5
6.4 Warranties and Guarantees ------------------------------------------------------------------------------------------------ 7
6.5 Final Report -------------------------------------------------------------------------------------------------------------------- 8
6.6 Field Demobilization ---------------------------------------------------------------------------------------------------------- 9
Abbreviations --------------------------------------------------------------------------------------------------------------------------------- 1
Glossary---------------------------------------------------------------------------------------------------------------------------------------- 1

CHAPTER 1
INTRODUCTION TO MANUAL

CHAPTER 1 - INTRODUCTION TO MANUAL
1.1 THE INTRODUCTION

The Procedures Manual describes the supervision team members and their
responsibilities in construction projects. The duties, work responsibilities, and procedures
are laid out in detail. This Manual concentrates on the
processes used in Project management and inspection.
For purposes of this manual, the person in charge of the project site is called the
Resident Engineer; the Client or his representative is called the Project Owner.
The complete Manual comprises of three (3) Volumes:-

 Volume 1 of 3 THE MANUAL
 Volume 2 of 3 PROJECT WORK PROCEDURES
 Volume 3 of 3 STAFF & ORGANIZATION
Both Volumes 2 of 3 & 3 of 3 are considered as appendices to Volume 1 of 1
This Volume (1 of 3) is comprised of six (6) chapters:
♦ Chapter 1 Introduction to the Manual
♦ Chapter 2 Communications and Correspondence
♦ Chapter 3 Contract Administration Tasks
♦ Chapter 4 Inspection and Testing Procedures. Many of the tasks described in
Chapter 4 relate to tasks described in chapter 3.
♦ Chapter 5 Contract Completion
♦ Chapter 6 Post Construction Activities.
It is understood that no single project will use every procedure detailed in this manual.
The intent was to create a comprehensive resource that Site Supervision team can use
to ensure effective and consistent project management. Think of it as a master mechanic
with a full toolbox; he will only use the specific tools necessary for each job and some
jobs will require more tools.
1.2 Scope of the Procedures Manual

The information in the Procedures Manual has been compiled to provide a ready step by
step procedures outline, to aid in providing a consistent management effort and to assist
in training management & supervision personnel. The personnel are comprised of
engineers, supervisors, technicians, inspectors and clerical staff. The scope of the
Procedures Manual includes the management activities during the following phases of a
construction contract:
• Bidding and Award Phase

• Construction Phase
• Post Construction Phase
The glossary of terms for this manual can be found in Appendix A. The appendixes
include standard construction forms, a pre-construction checklist form, and
miscellaneous forms.
1.3 USE OF THE PROCEDURES MANUAL
The Procedures Manual applies to all construction projects regardless of size whether
designed in-house or by other design consultants.

Project Management Office (PMO) Manager Resident Engineering Procedures Manual Chapter 1 –Page-1
CHAPTER 1 - INTRODUCTION TO MANUAL
1.4 Flow charts

The procedures in Chapters 2, 3, 4, 5 and 6 may be shown graphically in flow charts.
They occur immediately after each written procedure showing duties and responsibilities.
Flow charts specific to the each section will be inserted into the manual. For example, the
submittal flow chart for processing submittals.
1.5 REVISIONS TO THE PROCEDURES MANUAL Need for

Revisions.
To be an effective Project management tool, the Procedures Manual needs to be a living

document adapting to changes and revisions to requirements, organization, participants,
and to Saud Consult Project Owners, and PMO policy changes.
Frequency of Revisions
Portions of the Procedures Manual should be updated at least once each year. More
frequent updating may be required if the construction policies of the Saud Consult Project
Owners and PMO change significantly or if there is a noticeable change in the office
philosophy or approach.
Responsibility for Revisions
The distribution of the manual is the responsibility of PMO Manager. The PMO Manager
or designee will periodically update the Procedures Manual; the most current version will
be available through the PMO Internet. When pages or sections in the manual are
revised, the dates in the footer at the bottom of the page will be revised so that the latest
version can be readily identified.
Comments and suggestions to improve the manual and questions regarding the use of
the manual shall be referred to the PMO Manager.
Post-construction activities under the responsibility of the Construction Site Project

Management team consist of:
 Wrapping up the final Contract details

 Reviewing the Project documentation to ensure that the Project Owner receives
everything required by the Contract
 Writing the final report Warranty work and inspection
1.6Staff & Organization (Volume 3 of 3)
This Document constitutes the last Volume no. 3 of 3 of the Resident Engineering
Procedures Manual. This document describes the supervision team members and their
responsibilities in Supervision construction projects. The Document will be managed by the
PROJECT MANAGEMENT OFFICE (PMO). Defining staff roles & responsibilities, KPIs
(Key Performance Indicators) & staff evaluation and job descriptions are laid out in detail
Back to the Table of Contents

CHAPTER 2
COMMUNICATIONS AND CORRESPONDENCE

CHAPTER 2 - COMMUNICATIONS AND
CORRESPONDENCE
2.1 IMPORTANCE OF COMMUNICATIONS
An important element of a successful project is communication. During the construction

and post construction phase, the Resident Engineer serves as the center of
communications. The Resident Engineer is the coordinator and facilitator between the
primary parties involved in the Contract. The RESIDENT ENGINEER (RE) is the direct
link between the Project Owner, the Construction Supervision team, and the Contractor.
The CONTRACTOR is the link to the subcontractors, Venders and suppliers. The
PROJECT OWNER (PO) is the link to other Architects/Engineers (A/E).
The Resident Engineer is responsible for the construction supervisor team. The Resident
Engineer should always be involved in all construction activities before contact is made
with the Contractor.
There are times when a Contractor will ask the Resident Engineer to communicate
directly with a subcontractor; however, the RE should not do so without having the
Contractor present. The same is true with the relation between the RE, PROJECT
OWNER, and the designer. In case the design is made by other (A/E), the PROJECT
OWNER is responsible for the total design and should always be included in any
communication with the designer.
The RE should make the lines of communication very clear to all project participants from
the start of construction. It is much better to start a contract with a firm understanding
than to try to correct a difficult situation later in the project caused by a lax relationship
between participants. By defining and enforcing the channels of communication and
correspondence, the Resident Engineer will stay on top of the project and reduce the
possibilities for later misunderstandings, problems, and claims.
2.2 COMMUNICATIONS ON THE JOB SITE
The Contractor’s project manager, superintendent, and supervisory staff are on the job to
build the project and should not be interrupted unnecessarily. Conversations with these
people should be short and job related. Conversations on contractual issues should be
with the supervisor, not the individual workers. The Resident Engineer is the buffer
between other team participants and the Contractor to enforce these common sense
rules.
The RE needs to be organized and equipped to quickly respond to job site problems or
questions. This can be achieved by following these communication guidelines and
adhering to the procedures outlined in this manual.
2.3 VISITORS TO THE JOB SITE
Visitors should never be allowed on the job site unless the Resident Engineer or
designee accompanies them. Visitors are anyone not working for the Contractor or a
direct member of the Project team. The Resident Engineer should maintain a site visitor’s
log. It is beneficial to have the PROJECT OWNER visit the job site with the Resident
Engineer so either party can immediately address questions. This maintains the proper
relationship with the Contractor and ensures that proper safety measures are followed.
Site Staff performing duties within the job site are not considered visitors. However, it is
CORRESPONDENCE
important that this staff is familiar with safety or hazards that may be present on the
construction site and coordinate their activities with the RE and contractor to minimize
convicts. Normally, the Resident Engineer will accompany visitors to diminish
controversy over what is said or done. The Resident Engineer’s site staff is more
cognizant not only of the contractual relationships but also with whom to talk and safety
concerns. The job site may change daily and only the personnel continually involved are
aware of these changes.
2.4 AVAILABILITY OF INFORMATION

The Resident Engineer is an unbiased facilitator charged with the task of administering a
contract. No partiality should be shown to either the Contractor or the PROJECT
OWNER. One extremely important aspect of this is to always share relevant information.
Whenever possible, there should be an open exchange of information with the Contractor
and other participants in the project. It is much easier to share information than to try to
remember a lot of information considered confidential that does not need to be. There
will, of course, be a very small amount of information that should not immediately be
shared such as:
 RE estimates of changes prior to receipt of the Contractor’s proposal.

 Changes under development. Sharing information on changes not yet finalized
may adversely affect the contractor’s work; he may change or postpone work
unnecessarily. The RE must exercise prudence in this area based on the number
of changes, level of certainty they will become Site Work instructions (SWI), and
degree of completion. If enough information is available and the Contractor is
pursuing affected activities, the RE should work with the Contractor to determine
best actions needed to minimize the impacts.
 Different opinions about controversial issues and claims. Once the official position
is determined, a united front can be presented.
The Resident Engineer must differentiate between the important and unimportant facts
and forward only the relevant information to each participant. He should provide only
facts, not opinions, rumors, or secondhand information.
2.5 MEETINGS AND REPORTS
Meetings and reports are useful tools in the communication process. Weekly construction
progress meetings and reports may be necessary on a large project; however, on smaller
projects monthly reports and meetings may suffice. There may even be slow periods on
large projects when weekly meetings are not necessary. Other types of meetings can be
scheduled as necessary:
 Problem/issue solving meetings
 Pre-submittal meetings
 Submittal review meetings
 Schedule review meetings
 Negotiations
To minimize the scope and duration of meetings, the Resident Engineer should review
and possibly answer minor questions of the Contractor or other participants prior to
meetings. If there is a particularly controversial issue, an effort should be made before
the meeting to resolve many of the components. This will increase the likelihood of
resolving the entire issue during the meeting.
CORRESPONDENCE
A sample agenda for a meeting might include the following:
 Safety, housekeeping and environmental

 QA/QC concerns
 Engineering Submittals Status and Concerns
 Schedule and work progress
 Procurement Status for long Items
 Variation Order/ Pending CCO’s / Status of CCO approvals
 Status of responses to RFIs
 Status of Progress Payment Certificates (PC)
 Other matters
A report listing the status of Contract related items (RFIs, IRs, Submittals, etc.) should
be available at each weekly status meeting. These reports are easily created for
projects using the Project Log created by the RE. Complete meeting minutes will be
taken. The minutes should be typed and distributed to all affected parties.
An issue numbering system should be established. Each item should be given a number
that includes the number of the meeting (e.g., 5-8 would mean the eighth item at the fifth
meeting). References to old business items can be easily tracked since they will carry
their original item number. Items should be left on the agenda as old business until they
are resolved. Many times the minutes of the previous meeting can be used as a base for
the agenda.
Regardless of the meetings and reports, the interaction between the RE and the
PROJECT OWNER and between the RE and the Contractor must be consistent and
relevant.
2.6 PUBLIC RELATIONS

At times, the Resident Engineer may have to perform public relations (PR) duties.
However, information requests relating to purposes of the project benefit to the public,
impacts to the public and similar issues should not be referred to the Public. Contract
related issues should be handled by the construction supervision staff. If a member of
the media calls or appears on the job site without an appointment, the media
representative should be firmly, but courteously, directed or escorted to the RE. He
knows how to best answer questions and relate to media representatives.
Occasionally, interested parties or dignitaries may require the involvement of the

Resident Engineer’s staff in a site visit or the Resident Engineer’s staff may encounter
the public outside of the project area. In those situations the staff should succinctly
respond to questions directed to them. Avoid using technical jargon as it may lead to
misinterpretations. More detailed responses should be left to the RE.
2.7 CORRESPONDENCE
During the construction and post construction phases, the Resident Engineer is the
communication hub. All correspondence to or from the Contractor has to go through
the Resident Engineer who will either respond directly or distribute it to the appropriate
party for action. Correspondence between other members of the project team (e.g. The
CORRESPONDENCE
PROJECT OWNER & Contractor) should be copied to the Resident Engineer for his
information and possible action.
The Contractor should not be interrupted by persons looking for miscellaneous

information or material such as schedule updates, submittal numbers, subcontract
license numbers, status of change requests, or concrete deliveries. The Resident
Engineer is the collector and distributor of all information from the Contractor. The same
is true for information needed by the Contractor. The source of all information is the
Resident Engineer. Anyone other than the Resident Engineer approached by the
Contractor should refer the Contractor to the RE. Unless this practice is strictly adhered
to, the responsibility and authority of the Resident Engineer can be undermined. If the
Contractor finds it possible to obtain answers that are more favorable by going around
the Resident Engineer, then the terms of the Contract are diluted making it more difficult
to enforce.
One of the essential components of a successful Project is the timely processing of

correspondence. Additional costs, delay claims, litigation, and improper construction
can result from a late response. The Resident Engineer should review incoming
correspondence the day it is received to determine its destination. All responses to
correspondence from the Contractor to the Resident Engineer shall be delivered as soon
as possible, but no later than the time frame specified in the contract. If no response time
is specified, a response should be provided within one week from the receipt of the
correspondence. If a definitive response cannot be provided, respond to the Contractor
explaining the reason for a delayed resolution and the date the appropriate response is
anticipated.
2.8 DISTRIBUTION OF CORRESPONDENCE

Although it is easiest to distribute all project correspondence to every member of the
project team, this is not necessarily best. This simply invites team members to waste
time on irrelevant matters or perform redundant functions. Instead, the Resident
Engineer and his Executive Secretary (normally used only on some larger jobs) are the
only two who should see all the project correspondence. It is the Resident Engineer’s
responsibility to see that everyone on the project team receives only information relevant
to his needs.
In preparing correspondence to the Contractor or Client, the RE shall ensure or see to it
that his correspondence is clearly understandable, concise, and direct to the point with all
the necessary references and or supporting documents and can convey the message
factually without doubts.
For large scale projects, official correspondence can be distributed thru local
networks/server by the secretary or document control after such letter has been scanned
after dissemination of correspondence for information or action has been made by the
RE. This procedure simplified the work of secretary and minimizes paper consumption.

CHAPTER 3
CONTRACT ADMINISTRATION

CHAPTER 3 - CONTRACT ADMINISTRATION
3.1 Introduction
PMO mission is to provide support on contract administration, management, and

inspection services for all construction supervision projects. By assisting RE’s in
administering construction contracts in a fair, consistent, and organized manner, MPO
will not only achieve its mission and purpose but also assist RE in minimize claims and
change orders from contractors. By performing its support in a consistent manner, MPO
will build trust and maintain a positive relationship with the Project Owners & the
Contracting Community.
3.2 Project Management Plan
PURPOSE
The Project Management Plan (The PMP) is a project-specific plan. The Project
Management Plan describes the scope of work, why it is being constructed, the cost, and
scheduled time for constructing the project. It also details how the Resident Engineer &
project supervision team will administer and control the project. The Plan will contain the
RE’s description of each of his team member’s tasks.
WHEN TO IMPLEMENT
While preparing such a plan is not usually necessary on small jobs, it is extremely
valuable on large, complicated, or long duration projects. The Project Owner will find it
useful since they will know what level of services to expect and the associated
Supervision cost.
The Plan is finalized when the contract is awarded to the successful responsible low
bidder. The Plan is implemented just after the Preconstruction Conference (reference
Section 3.4).
RESPONSIBILITY
The Plan is prepared by, or under the supervision of, the Resident Engineer.
PROCEDURE
The Plan describes the project and provides the following information in a logical
sequence that closely approximates the construction schedule. It should be written (in
draft form) as soon as the assigned RE has had time to review the project. In preparing
the plan, the RE will get a better understanding of the project and the necessary work to
properly manage it.
SECTION I
“PROJECT DESCRIPTION, CONTRACTUAL INFORMATION &
ORGANIZATIONS”
1. Purpose: Describe the Project Owner need for the project (history and background),
project location, relationship of the project to its surroundings, and project construction
cost.

Associate value Specialist Resident Engineering Procedures Manual Chapter 3 –Page-1
2. Scope of Work: Outline (list) all major construction work items in the contract.
3. Contract Amount: List the successful bid amount, and schedule of values (BOQ).
Also, list the liquidated damages associated with milestones and contract completion.
4. Contract Time: Describe the time frame of the project from beginning to completion in
terms of working days or calendar days.
5. Construction Schedule: Outline (list) project work items that have specific completion
milestones. The list should include deadlines for assessing liquidated damages after the
beginning of work, the amount of liquidated damages per day, and the expected
completion dates. It is strongly recommended that the RE prepare a detailed
schedule for the Project. This does not have to reflect the Contractor’s plan
nor is it resource loaded. This is simply an excellent tool for the RE to
“learn” the project. Access to Microsoft Project or Primavera Project
Planner (P6) is available for this purpose in the Enterprise Project
Management Office (PMO) web site. For small projects, a Master Schedule
& be developed on Excel.
6. Resource Allocation: Create a project organization chart that outlines the duties and
responsibilities of each project team: the Design Consultant, Contractor, significant
subcontractors and suppliers, Project Owner, and the Resident Engineer’s team. The
plan should further detail the responsibilities of the RE’s team by assigning specific tasks
to individuals; the individuals are listed by job title, not by name.
SECTION II
PROJECT MANAGEMENT
1. Meetings: A table listing all types of meetings that are expected with their frequency and
required participants.
2. Document control/management: Describe how documents (letters, submittals, RFIs, IRs,
etc.) will be handled. This portion of the Plan is meant to complement the procedures
detailed in Section 3.26. Information will include:
 Protocols in using electronic communication such as email and the Internet
 How the contractor will receive mail
 Determining received and issued dates
 Special requirements not included in Section 3.26
3. Project monitoring: This is a brief description of how the RE plans to monitor the progress
of the project. This section should describe concerns unique to the project and how the
RE will manage them such as:
 Special inspection requirements
 Anticipated off-site visits
 Expected difficulties or major interference with existing processes
 Stringent testing requirements
SECTION III
APPENDICES
This section contains more details to back up information presented in the main body of
the Plan. This may include such items as:
 Organizational chart for all employees involved in the project (mainly Supervision
Consultant, Contractor & Project Owner)
 Spreadsheet showing supervision team manpower and budget requirements

 Submittals list
 List of construction activities from the RE’s construction schedule.
3.3 Notice to Proceed (Project Owner to Contractor)
DESCRIPTION
The Site Hand over Date is considered the STARTING DATE OF THE
CONTRACT between the Project Owner & the Contractor. Contractor’s signature on
the Site Hand Over form is a confirmation on Contract Start Date
For Detailed work Procedures & Forms – Click the following Link:-
Contractor's NTP & Site handover
Back to the Table of Content

3.4 Pre-Construction Conference (Kick off Meeting)
DESCRIPTION
The Pre-Construction Conference (Kick off meeting) is a formal meeting that requires the
attendance of all of the principal participants in the project. This meeting is not intended
to address detailed technical or construction issues, but to introduce the major
participants and essential personnel and to discuss the following:
 Proper protocol, responsibilities and authority

 Define the channels of communications and correspondence
 Review regulatory and permitting requirements
 Review project specific safety issues
 Discuss access, traffic, and temporary construction facilities
 Discuss items of work, contractual sequence and timing of the construction, and
contract schedule
 Discuss critical areas of concern expected during construction
 Review and clarify contractual procedures and issues including RFIs, IRs,
submittals, progress payments, etc.
 Define remaining requirements to be fulfilled prior to commencing work
 Answer non-technical questions raised by the Contractor
WHEN TO IMPLEMENT
The Pre-Construction Conference (kick-off Meeting) is normally scheduled shortly after

the award of the Contract to Contractor. The Conference maybe required by Contract to
take place prior to the beginning of work.
RESPONSIBILITY
The Resident Engineer has primary responsibility for the Preconstruction Conference.
The Resident Engineer notifies the participants involved of the date, time, and location of
the conference and distributes the agenda. The location of the conference should be
held at a convenient location (preferably near the project site) with adequate space for
the number of participants. The number of participants will vary with the size, complexity,
and cost of each project.
Prior to the Pre-Construction Conference, the Resident Engineer should review and
become thoroughly familiar with the content of the “front- end” specifications that deal
with contract administration. Each contract differs in scope of work and special
provisions, so each pre-construction conference varies.
PROCEDURE
1. The Resident Engineer establishes the location, date and time of the Pre-
Construction conference with the endorsement of the PROJECT OWNER.
2. The Resident Engineer prepares the conference agenda (Sample preconstruction /

Kick Off Meeting-agenda) with a list of the attendees and submits it to the PROJECT
OWNER for review, comment, and concurrence. The list of attendees should include
the following (where applicable):
 Project Owner &/or Representative(s)

 Construction Supervision Management Team invited by the Resident Engineer
 Design team representatives (Consultant)
 Contractor
 Subcontractors invited by Contractor
 Outside agencies involved in the Project, if may
3. The Resident Engineer sends a cover letter and agenda to all invited attendees at
least two weeks prior to the tentative conference date.
4. Resident Engineer may record the proceedings on audio or videotape. Attendees are
asked to note their presence on a sign-in sheet.
5. The RE or designee will record the minutes of the meeting and will prepare accurate
written records of the matters discussed during the Pre-Construction meeting
(meeting minutes Sample pre-construction minutes.) These are issued to all
participants shortly after the meeting. Inform participants, via letter of transmittal, that
the Pre-Construction Conference minutes are to be considered final unless
corrections are received by the Resident Engineer no later than Two (02) days after
the Pre-Construction Conference.
3.5 Construction Mobilization List
DESCRIPTION
Mobilization is the first onsite activity for the Contractor.

The following is a list of tasks that should be completed to ensure adequate mobilization.
Note that some of these may not be necessary depending on the type or size of the
project. The job specifications may list some unique items the contractor must perform to
successfully mobilize.
1) Contractor’s Project Manager on site fulltime.

2) Bonds and copies of active insurance certificates.
3) Plant and construction equipment for activities for the first month on site.
4) Field office setup with utilities.
5) Fire protection established.
6) Construction yard setup with storage and maintenance facilities with utilities
setup.
7) Safety Plan submitted and required notices posted.
8) Quality Control Plan submitted.
9) Permits required.
10) Preliminary/Master Construction Schedule.
11) Temporary construction fencing

3.6 Construction Schedule

DESCRIPTION
The Construction Schedule is a graphic, database presentation of the planned sequence

of work activities showing the relationships and interdependencies between the elements
that make up a construction project. During the course of construction, the updated, as-
built schedule provides a record of completed activities.
The Construction Schedule is made up of the essential elements that are necessary to
represent a practical plan to complete the work within the Contract time. It is also utilized
to analyze the impact of changes to the work and to prepare a plan for mitigating such
impacts.
A complete construction schedule contains five main elements:
1. A logical sequence depicting a plan on how a project will be constructed

2. A forecast of the time required to perform each task or activity shown in the plan
3. The relationships between the activities which comprise the schedule.
4. The cost and resources associated with each activity (resource loading-manpower &
equipment)
5. The measure of the planned performance compared to the actual performance
during the course of the project.
PURPOSE
The Construction Schedule is a tool used by the Contractor, Resident Engineer, Design
Consultant, and the project Owner to monitor the construction process and the resources
each needs to apply to ensure the project is completed on time. The Contractor benefits
from having a rational method to manage time and resources during the project.
The primary purpose of the construction schedule is to help all parties deal constructively
with the time-related problems and changes that will arise during the life of the project.
RESPONSIBILITY
If a schedule is required, the Contractor must submit it within the time specified. The
Contractor may be prevented from beginning work without at least an approved
preliminary schedule; refer to the project specifications in the Project Owner/Contractor
Contract for exact requirements. The Resident Engineer should use the schedule to
determine if adequate progress is made. The RE is responsible for reviewing the
submitted schedules in the time specified by the contract documents.
WHEN TO IMPLEMENT
The Contractor initiates all schedule submittals in accordance with the requirements of
the Contract. Should the Contractor fail to submit schedules as required, the
consequences for the Project Owner can be significant. The Resident Engineer must
document requests for the Contractor to comply with the scheduling requirements of the
Contract.

1. Initial Schedule: Many large contracts require the Contractor to submit a schedule
depicting the first four months of activity on the project for review. This initial schedule
must be submitted after the start date specified in the Contractor’s Notice to Proceed and
prior to commencing any non-mobilization work activity. The purpose of this interim
submittal is to provide all parties with a schedule to manage the project, and provide
payment for completed work, while the Contractor develops the baseline schedule.
2. Baseline Schedule: Most contracts require the baseline schedule to be the first one
submitted. This is a submission of a complete project schedule that, if one was required,
incorporates the initial schedule. The complete project schedule submitted and accepted
by the Resident Engineer is called the baseline schedule
3. Weekly and/or monthly Schedule update submittals: Weekly submittals of two,
three or four-week “look ahead” schedules are used by the Resident Engineer to
coordinate and monitor the progress of the project. Monthly schedule submittals are
reviewed by the Resident Engineer for the accuracy of as-built dates and as-built
resources [where applicable] and to verify Progress Payment Estimates. Some contracts
require a submittal of a new schedule whenever schedule changes are made or schedule
impacts occur (this schedule is called Revised Schedule which requires the Project
Owner’s approval & becomes the New base Line Schedule foe future updates)
4. Recovery Schedules: The Resident Engineer may require the Contractor to provide a
schedule update showing the Contractor’s plan for recovery in instances where the
Contractor is significantly behind schedule. [Review Contract documents for each project
to determine applicability of recovery schedules]
PROCEDURE
1. Basic requirements: The Contractor may be required by the Contract specifications to

submit schedules using the Critical Path Method (CPM). The schedule is a computerized
precedence network and should represent in detail all planned submittals, procurement
and onsite construction activities. The schedule if required by contract to be prepared on
computer software that is compatible with the Project Owner computers and/or software.
Two basic formats are required depending on the size and complexity of the project:
a) Small projects - network diagram without resource loading [bar or Gantt chart
may be acceptable]
b) Large and/or complex projects - precedence diagram network with cost and
resource loading.
2. Review of Submittals:
a) Baseline Schedule Submittals - The Contractor is responsible for means

and methods. The Resident Engineer dictates neither of these unless
specifically noted in the Contract documents. The primary purpose of review is
to assure compliance with Contract constraints for completion. The Contract
should be reviewed for language defining the Contract Time in working days,
calendar days, or specific completion date.
The baseline schedule must provide sufficient detail to allow all parties to
manage the project effectively.
The primary purpose of the review of resource and cost loaded schedules is to
determine that the totals equate to the Contract Price and that all other
resources are included (manpower & equipment that are necessary to complete
the project.
b) Contractor Periodic updates [weekly and/or monthly] Schedule

submittals. The purpose of the review [joint review between RE and the
Contractor] is to accurately record progress of the project and ensures the
progress depicted in the update is consistent with other project documentation.
This includes Daily construction Reports [DCRs] and Progress Payment
Requests [PRs]. The schedule updates should be consistent with the Project
Owner’s and time extensions awarded via Contract Change Orders [CCOs].
Also, note the difference between avoidable delays, unavoidable delays, and
days not counted as working days due to weather conditions. The Contract
should be reviewed for language defining the Contract time in working days,
calendar days, or specific completion date.
c) Current Updates - are utilized for the analysis of time impacts to the project.
Unless rigorous and consistent, these updates will either provide no useful
information or lead to erroneous conclusions. Ideally, disputes over time
extensions are resolved expediently during the course of the project. However,
the baseline, updates and final as-built schedules are routinely used in dispute
resolution. A concise, continuous record of project events provides negotiators,
mediators and judges a basis from which to determine time-related damages.
3.7 Submittals
DESCRIPTION
Submittals are prepared by the Contractor to indicate the intended methods, materials, and
equipment that will be used to fulfill the requirements of the Contract documents.
Submittals help ensure that the Contractor will provide the quality of materials and
workmanship as specified in the Contract documents. The submission of materials or other
supplemental information relevant to the project is accomplished via the submittal process.
The Resident Engineer receives, distributes, reviews, and tracks all submittals throughout
the course of the construction project. Submittals typically include such things as: product
data, shop drawings, test procedures, test results, method statements, disk copies of CAD
generated drawings, samples, requests for substitutions, descriptive data, certificates,
methods, schedules, marked drawings and specifications, manufacturer’s installation, and
other instructions and miscellaneous work related items. Submittals also include all other
information that is reasonably required, in the opinion of the Engineer, to demonstrate fully
that the materials and equipment furnished and the methods of work comply with the
provisions and intent of the Contract documents.
WHEN TO IMPLEMENT
Before construction begins, the Resident Engineer, Project Owner, and Contractor meet to
review the role and responsibility of each participant in the submittals process and to
prepare a submittals management plan. The Contractor initiates the submittal process with
the transmittal of a submittal package to the Resident Engineer for review and approval.
The Contractor may initiate a submittals package review prior to transmitting a submittal to
the Resident Engineer. The intent of this “pre-review” is to minimize or eliminate errors and
convicts. In summary, the Contractor (or subcontractor) assembles the submittal package
and checks the submittal for accuracy, completeness, and correctness, and coordinates
the number sequencing of submittals to avoid delay of work. The Contractor is also
responsible for the distribution of returned submittals to the appropriate subcontractors
and suppliers.
RESPONSIBILITY
The Resident Engineer is responsible for receiving, distributing, reviewing, evaluating, grading,
and returning all submittals to the Contractor in a timely manner. The Resident Engineer is also
responsible for creating and maintaining a submittal log database. The review and evaluation
process includes comments from the Consulting Engineer(s). An established grading system is
used in scoring evaluations of each submittal. Once reviewed and graded, the submittals are
returned to the Resident Engineer where are they collated, logged, signed, and returned to the
Contractor. The requirements of the
Contract specifications & Design Drawing are the guideline used to evaluate each submittal.
PROCEDURE
1. For many contracts, the Contractor must transmit a master list of submittals for
the entire project with the anticipated transmittal dates. The RE and PROJECT
OWNER will normally assist the Contractor in preparing a comprehensive list.
The list shall be consecutively numbered. This list is part of the comprehensive
submittal management plan developed by the Contractor and is normally due
within 30 days of the Notice to Proceed date.
2. The Contractor submits a list of submittals. This initial list includes those
submittals requiring review within the first 60 days of the project.
3. The Contractor, with the assistance of the Resident Engineer, develops a
comprehensive submittal management plan for all required submittals. The
submittal management plan shall be developed within 30 days of the start date
specified in the Notice to Proceed.
4. The RE will assign a lead reviewer for each submittal.
5. The Resident Engineer creates and maintains a common log of submittals for the
project. The Contractor numbers the submittals and each item on the submittal if
the submittal contains multiple items.
6. The Contractor provides the submittals that are required by contract for approval
and for information only.
7. The review of the submittals should be within the specified amount of time.
8. The RE reviews the comments returned by his Engineers, incorporating the
comments and the appropriate grade into a submittal review response that is
sent to the Contractor.
9. The Contractor provides a re-submittal for grades C (Approved as noted -
Resubmit is required) or D (Rejected/Disapproved).
A representative of the Resident Engineer verifies compliance with submittals
given grades A (Approved) and B (Approved as noted-resubmittal is not
required).
Some submittals may be returned to contractor with grade E (No action) or for
incomplete information with grade F (returned for Incompletion of Information)
10. The RE should ensure that field personnel are kept informed on submittal status.
11. The inspectors and the Resident Engineer uses only the accepted submittals to
ensure that the project is constructed as specified and submitted by the
Contractor.
The flowchart at the end of this section shows a typical submittal process used for
projects.
Notes:
Installation of items or equipment specified within the Contract without an approved
submittal is done at the Contractor’s risk. The RE
· May issue a non-compliance notification (NCN) if this occurs. This is the RE’s
decision based on how critical the activity is and to what extent the installation
does not comply with or varies from the specifications or Design Drawing.
· Technical Submittals Work Procedures can be found at the following Link
Technical Submittals Work Procedures
Back to the Table of Content

Note: Resident Engineering LEGEND:

This flowchart is a general representation of RE= Resident Engineer
Grades-
typical submittal process. There are various Procedures Manual - A (Approved) and
submittals that do require other steps or other - B (Approved as noted-
entities such as an Independent A/E to review & Submittals Section 3.7 resubmittal is not required).
approve Submittals. See specific contract sections - C (Approved as noted -
for detailed definition of required copies, SUBMITTALS Resubmit is required)
- D (Rejected/Disapproved).
allowed review time and routing requirements. E (No action)
FLOWCHART - F (returned for Incompletion of
Information)
Submittal
originator
prepares
Contractor submittal List & Resubmit to RE if received codes
Schedule (D, C or F)
required for 60
days
Submittal
originator
prepares
submittal
Address and
RE Receives Record Record Copy
distribute
Submittals submittal in Distribute (Original retained in
Copies to Tech.
data base /log Forward reviewed Site Tech. Office)
Office /
from disk Collect Reviewed Submittal Working Copy
Planning
Submittals provided review Submittals with codes
Documentation by contractor. comments to ( A, B)
Contractor
Resident
Engineer
Site RE routes to
Office Scheduler Scheduler
Project
Management &
Technical support RE Site
Routes to Supervision
technical Inspectors
Expert (Engineering
Disciplines)

Project Management Professional, Resident Engineering Procedures Manual Chapter 3 –Page-11
3.8 Request for Information/Clarification Request
DESCRIPTION
The Request for Information (RFI) process is a means available to the Contractor to
formally request information or clarification of the Contract documents. If the Contract
documents appear to provide insufficient detail, contain errors, or offer conflicting or
insufficient information, the Contractor may prepare a RFI to obtain additional
information, clarification, or direction.
RESPONSIBILITY
The Contractor initiates the RFI using a standard form provided by the Resident
Engineer. The Contractor may wish to communicate electronically or may be required to
communicate electronically by the Contract. The Contractor is responsible for assigning
the RFI sequence number. The Resident Engineer reviews the RFI to ensure it is valid,
clear and to determine if the response warrants a Contract Change Order (CCO). If a
change is required, the RE will assign a number to the RFI. If a design change is
required, the Project Owner and Design Consultant review the RFI and provide sufficient
clarification, details, or design modifications to the RE.
WHEN TO IMPLEMENT
At the start of construction, preferably at the Pre-Construction Conference, the Resident

Engineer and the Contractor should agree on the format and transmittal means for RFI’s.
The RFI process is not intended to be used by the Contractor to request substitutions.
PROCEDURE
1. Whenever possible, immediately answer Contractor’s field questions. When the

Contractor asks the Construction Inspector a question, the two parties should
immediately review the plans and specifications together to clearly understand the
question and determine if the plans provide a clear answer. If the plans and
specifications provide a clear answer, the Construction Inspector should note it in the
Daily Construction Report (DCR).
2. If the Contractor and Inspector cannot reach a resolution, they should seek the
assistance of the Resident Engineer.
If a resolution or answer to a question cannot be found by using steps1 and 2, the
Contractor must seek a resolution to the question by originating an RFI.
3. The Resident Engineer or a designee logs the RFI into the RFI log. As a minimum,
the following information should be captured:
 received date
 due date
 subject
 specification reference
 impacted schedule activities
 subcontractor or supplier
 potential time and cost impacts
 Affected drawings or Specifications

4. The Resident Engineer then determines if the RFI is requesting a Contract

interpretation or is a design question.
5. If the RFI requests clarification of a construction issue or interpretation of the

contract documents, the Resident Engineer notifies the Contractor of his
interpretation and response.
6. If the RFI involves a design issue, the Resident Engineer seeks input from the
PROJECT OWNER and/or Design Consultant.
7. The Resident Engineer should produce a weekly report of outstanding RFI’s for
discussion with the Project Owner and Contractor staff prior to weekly job meetings
will generate this list.
The next page is (RFI) Request for Information/Clarification Request FLOW CHART
RFI Procedures


Section 3.8
Conflict or
(RFI) REQUEST FOR INFORMATION/
question arises in CLARIFICATION REQUEST FLOWCHART
filed
Resolved NO
Contractor prepares
with RE ? official RFI
NO
RE mail room
Resolved with
receives and
Inspector?
distributes
End
Yes RFI is logged
End
Construction
issue ? Design issue ?
Yes Yes
RE Requests input
RE prepares response,
from PO &/or Design
notifies Contractor
Consultant
RE Collates and issues

response
End

3.9 Change order Request (COR)/ Request for Substitution.

3.9. 1 CHANGE ORDER REQUEST FOR PRIVATE SECTORS
DESCRIPTION
The Contractor may offer to substitute alternate materials or equipment from those specified
in the contract. The Contractor can request substitutions via a Change order Request (COR).
The Contractor should provide a brief description of the proposed substitution prior to
preparing a detailed submittal; this will enable all parties to estimate the feasibility before
much effort is expended. The Contractor must request the substitution in writing in ample
time to permit review without delaying the work. A request for substitution must be approved
by RE & Project Owner prior to implementation. Substitutions requested by anyone other
than the Contractor such as suppliers, subcontractors, or manufacturers must be submitted
through the Contractor.
WHEN TO IMPLEMENT
The Contractor determines when to begin this process based on the complexity and which
schedule activity or activities the substitution will affect. The Contractor must allow enough
time for the review and approval process to avoid construction delays. The submittal must
include sufficient data and information to allow the Resident Engineer to fully compare the
substitute with the item specified in the contract. The review times will vary based on the
complexity of the substitution.
PROCEDURE
1. Contractor transmits a summary of proposal to the RE by issuing COR

2. The Resident Engineer in collaboration with the Project Engineer reviews the request
for substitution within 7 working days. The role of the Resident Engineer is to evaluate
the cost impact, schedule impact, and workability of the requested substitution.
3. If acceptable the RE Requests Contractor to submit complete proposal. If not
acceptable RE issues letter denying proposal & the Contractor will proceed per the
contract.
4. RE & PROJECT OWNER review technical, schedule & cost issues.
5. The RE will negotiate cost & time issues with the Contractor (Final terms&
Conditions).
6. The RE will prepare Site work Instructions (SWI) as needed to implement the
substitution, modifying any affected specifications and drawings (This form must be
signed by PROJECT OWNER)
7. The RE will prepare a formal Contract Change Order for approved substitutions that
involve cost changes to the contract, must be signed by PO (Project Owner) &
Contractor.

Change order Request (COR) / Request for Substitution FLOW CHART
1 Resident Engineering Procedures Manual

Contractor transmits a summary of Section 3.9
proposal to the RE in writing
CHANGE ORDER REQUEST (COR)
2
/REQUEST FOR SUBSTITUTION
RE and PO Review FLOWCHART

RE = Resident Engineer
PO = Project Owner
RE issues letter denying

Proposal has NO proposal, contractor proceed per
merit ?
contract
Yes
RE requests Contractor
to submit complete
proposal
RE and PO review
technical, schedule and
cost issues
RE negotiates final
terms and conditions
RE issues SWI for cost,

credit
RE Prepares CCO (contract change

order) (signed by all parties)

3.9. 2 CHANGE ORDER REQUEST FOR PUBLIC/GOVERNMENT SECTORS
DESCRIPTION
Change Order Requests (COR’s) are requests submitted by the Contractor to make
modifications to Contract Documents (Drawings, specifications or Bills of Quantities)
POSSIBLE REASONS FOR CHANGE ORDERS
1) A request to modify the specified quantities listed in the Contract Bills of Quantities
(BOQ’s) to Increase or decrease quantities for items required to be executed as per
approved drawings
2) A request to delete Contract work items
3) Issue instructions to the Contractor to execute new items not mentioned in the
contract documents
TYPES OF CHANGE ORDER REQUESTS
1) Change order request to Contractor for additional quantities to work items with
specified quantities in the contract BOQ.
2) Change order request to Contractor to delete some Contract work items or reduction
in quantities
3) Change order request to Contractor for new additional work items not included in the
contract documents.
4) Change order request to Contractor for items with new or modified specifications as
compared to contract documents
PROCEDURE
The work procedures for Change Order Requests vary according to Contract conditions
or according to project owners (Clients) instructions. In some cases, Change Order
Requests May only be required for types no’s 3& 4 above ‘Additional new works that has
no similar items in the Contract or works with contractual specifications modified’.
For types nos. 1 & 2 above “Quantity additions, reductions, or partial deletion”, there
might be no need to submit Change Order Request (COR), a modified BOQ can be
submitted that includes quantities & values of work items as per contract & quantities &
values of work items required to be executed as per approved modified drawings.
Generally, the usual procedures for types of Change Order Requests (COR) are:-
1) The Contractor submits a Request for approval to issue Change order attaching all
documents supporting his request. This request is done when a need occurs to
modify Contract Documents (by additions/deletion of works or modification to
specifications in contractual works). This need can be initiated by Client, RE or
propose by Contractor.
2) The Re receives & study the request involving related specialty Engineers to
determine:-
 If the Contractor is eligible for the Change Order Request (if he is), will issue
an approval to issue a change Order
 If the Contractor is not eligible for the request or his request is denied,
disapproval will be issued to him.
3) In case of RE’s approval on the Contractor’s request, the Contractor submits a
Change Order as per the approved form attaching all required documents (this may
vary depending on the Project Owner). Examples of such documents are :_
 Copy of the approved drawings & specifications for the additional new works
 Copy of the Contractual BOQ items related to the change order
 Quantity calculation sheets for additions or reductions of quantities for
contractual quantities ( this is done for Change order Requests Types 1 & 2
mentioned above)
 Three quotations for cost materials or equipment from manufacturers,
suppliers or sub-contractors intended to execute the additional new works
mentioned in the change order.
 Detailed cost breakdown for each the new additional new items to include:-
material cost, labor cost, equipment cost & percent of overheads & profit
 Copy of previously approved Change Orders to insure that the total amount
does not exceed the approved limits (compulsory for Government projects to
insure that additional amounts do not exceed 10% of Contract Value - unless
His Royal Highness approves to exceed 10%)
 Copy of the time schedule for all items that will be affected by the Change
Order, along with a study for the additional time extension requested to
execute the works of the Change Order.
For Change Orders Types ( 3 & 4), the RE shall study & check the attached documents to
the Change Order. The RE shall negotiate prices & time extension to reduce the cost/time
if the prices exceed the prevailing prices & discuss the additional time extension to be
proportional with the size of works including its effect on the approved Time Schedule of
the project.
4) RE shall return the Change Order to the Contractor to modify the Change Order
Form & attached documents to comply with the agreement made related to
quantities takeoff (CR types 1 & 2) or prices & time extension for (types 3& 4).
Resubmittal is required by the Contractor with all document signed & stamped.
5) RE shall check the Contractor’s final resubmittal & recommend for approval to the
Client by signing & stamping all documents.
6) Upon Client’s approval , Re shall make an official notification to the Contractor to
commence change order works
Construction Variation Order Procedure

3.10 Site work Instructions (SWI)
DESCRIPTION
A Site work Instructions (SWI) is a written directive to the Contractor from the Resident
The project specifications Engineer. The Contractor must comply with the requirements contained within the Site
and drawings released for work Instructions. Drawings prepared to support the Site work Instructions are part of the
bid are normally referred directive and are incorporated into the record set of drawings.
to as the bid set. Any
addenda (changes The Site work Instructions allows the Resident Engineer to order or delete work, clarify
released prior to the bid contract requirements or documents, and to add work, Site work Instructions that impact
due date) are cost or the construction schedule are incorporated into Contract Change Orders (CCO).
incorporated into the bid
set and issued to the The Contractor to notify the Resident Engineer of cost and time impacts to the project
within a specified period.
successful Contractor;
this set is referred to as WHEN TO IMPLEMENT
the conformed set. During
construction, changes to Site work Instructions are issued under several different circumstances Examples are:
plans and specifications  An unexpected condition encountered in the field
via field instructions,  A response to an RFI
requests for information,  Design change by PROJECT OWNER or Designer who then issues
clarification notices, etc. Proposed change Order (PCO)
are added to the  Material change, PCO issued
conformed set; this  Resolution of a Contractor’s claim resulting in cost or time impact
process, along with as-
builting activities, creates
RESPONSIBILITY
the record set.
The Resident Engineer researches the issue and provides a complete description of the
directive with instructions, adjustment of contract time, and the type of compensation for
the work. The Resident Engineer may request assistance from the PROJECT OWNER in
determining the final solution. The Resident Engineer is responsible for issuing,
numbering, and tracking Site Work Field Instructions. The Resident Engineer follows the
steps outlined below to issue proposed change Order (PCO) and Site work Instructions
(SWI)
PROCEDURE
1. A proposed change Order (PCO) should be created once an issue is identified. Using a
(PCO) to track cost estimates, related documents, pertinent discussions, and related
activities will assist the RE in producing a complete and thorough SWI and expedite the
CCO process.
2. The Resident Engineer researches the issue and formulates a solution based on the
plans, specifications, and existing field conditions. The solution is discussed with the
Project Engineer.
3. If it is desired that the Contractor perform the work, the Resident Engineer prepares a
(SWI) or (PCO) outlining the steps of the solution clearly and accurately while referring to
the plans and Specifications. The Resident Engineer also prepares any supplemental
sketches, drawings, or diagrams necessary to clearly depict the work. Any prepared
drawings must be reviewed by the RE for accuracy, completeness, and constructability;
any affected contract drawing shall be marked up and issued along with these drawings.
This information is transmitted to the Contractor as a (SWI) or (PCO). The RE will also
need to classify this change into one of the following categories:
Design Improvements
During the course of construction, the Contractor, PROJECT OWNER or RE may identify
products or designs that create improved operational characteristics. An example would
be a change that reduces constructions or maintenance costs.
Design Oversight
This would include any change necessary to correct conflicts, errors, and omissions in
contract documents.
Most contract drawing and specifications are so complex that they contain a number of
design oversights. A design oversight might occur if a PROJECT OWNER employee
gives the designer incorrect information; insufficient time is available to research all
details associated with a large job, improper calculations or drafting error. Some level of
design oversight is normal on all jobs because the expense associated with producing a
perfect set of drawings and specifications exceeds the change orders associated with the
errors. Similarly, the time associated with researching all sources of error becomes
unacceptable at some point because the project bid date is delayed. Design oversight
often occurs because of communication difficulties between the Project Team.
Contractors will usually
initiate a COR by Differing or Unforeseen Site Conditions
proposing the basic idea
to the RE, either in writing The Contractor may encounter conditions unknown at the time of Construction. A
or verbally. The RE Common example is “unsuitable material” (such as poor soil conditions) encountered
should get enough while excavations. Other examples include buried utilities encountered while excavating
information to perform a for a new building, new utility, or new pipeline.
cursory evaluation with
the PO. If the PO and RE
conclude that the idea The construction industry designates differing site conditions into two types: Type I is a
may be worth pursuing, "subsurface or latent physical conditions at the site differing materially from those
the RE will ask the indicated in the contract. Type II is “an unknown physical condition at the site, of an
Contractor for a full unusual nature, differing materially from those ordinarily encountered and generally
proposal describing the
changed materials and
recognized as inherent in work of the character provided for in the contract.
procedures, total cost Cost Incentive Change Proposal (Value Engineering)
savings, and affected
portions of the project. No Contractors are always encouraged to utilize their construction expertise to improve
additional days will be contract performance and thereby create an overall reduction in the total cost of the
granted, but impacts to contract. An example is the need to specify the method or sequence of construction to
any scheduled activities minimize the impact on an operating sewer treatment plant. If the Contractor is able to
or contract milestones
must be described. If the
identify a method or sequence of construction which still permits the plant to operate, but
proposal is accepted, a also reduces the cost of construction, the Project Owner and the Contractor may share in
SWI will be issued. the saving.
Normally, the Project
Owner and the Contractor
share evenly in the
savings;

Claims and Disputes
Claims and disputes are common in construction. Contractor claims for extra
compensation often arise from disputes. Typical claims are delay claims and loss of
productivity claims. Disputes arise when a difference of opinion occurs as to
interpretation of the contract documents. Disputes generally result because there is more
than one way to interpret a drawing or the written word. Such disputes tend to be difficult
to resolve and often require the intervention of mediators or litigation.
Other
This category is reserved for items that do not fit into one of the other categories and
should be used on a very limited basis.
4. The RE may prepare an estimate for the change. This will help ensure timely
negotiations.
· The Resident Engineer decides how the Contractor’s compensation will be

determined. Methods of compensation are lump sum proposal (cost or credit), unit
cost, or no cost. If there is sufficient time to negotiate the
Cost, the Contractor will be asked to submit a cost proposal. If the cost proposal is
accepted or agreement reached through negotiations, the work will be done on a
unit price or lump sum basis. A lump sum cost proposal based on fixed unit prices
may also be reached by mutual agreement.
· The Contractor is required to keep detailed records of all labor, equipment, and
material costs involved in performing the extra work outlined in the SWI.
5. All Site work Instructions with a cost or time impact are compiled into Contract Change
Orders (CCO). The Resident Engineer will prepare a clearly written justification with
supporting documentation while all of the information is still fresh. Writing the justification
much later usually results in time lost gathering information and documentation. In order
to expedite CCO compilation, the following documents should be filed with the SWI :
· PROJECT OWNER’s directive (PCO) when change is initiated by the PROJECT
OWNER
· proposed change Order (PCO) when change is initiated by others (RE)
· Contractor’s request for change
· Justification
· Cost estimate
· Invoices and other cost related documents.
Note: Do not include working days in a SWI or CCO unless the change impacts the
critical path of the project. If days are added, the associated overhead costs shall
be included in the negotiated cost of the SWI. In some instances, the Contractor will
reserve his right to request an extension once he has determined the impact.
The flowchart at the end of this section outlines a typical SWI process.

Resident Engineering
Procedures Manual
Construction or design
issue identified by RE, Section 3.10
PO, Designer or
Contractor SITE WORK
INSTRUCTION
RE researches to
(SWI)
determine solution.
Usually requiring input FLOWCHART
from many sources
PO = Project Owner
RE prepares SWI or a
COR . Includes COR = Change Order
description, drawing, etc.
Request
RE issues COR via OR RE issues SWI to Contractor to

letter to Contractor Contractor Complies
Contractor prepares an Contractor prepares an

estimate & submits to estimate & submits to
RE RE
Proposal NO
Negotiates with NO
Proposal
acceptable ? Contractor acceptable
Yes
Yes
RE prepares SWI for

CCO (ref. 3.13) & issue
CCO

3.11 Proposed Change Order (PCO)
DESCRIPTION
The purpose of the PCO is to formally identify and track proposed modifications to the
Contract plans and specifications that are generated by the Project Owner or Designer.
The Proposed Change Order (PCO) is an internal document prepared by the Design
Consultant or Project Owner and forwarded to the Resident Engineer. The (PCO) may be
issued for a variety of reasons, including resolution of conflicts discovered during
construction, changes to elevations for installed equipment, resolution to minor design
omissions, etc. PCOs are NOT used to make major design or scope changes to the
project. PCO requests occur after the award of the Contract.
The Contract documents should be thoroughly reviewed prior to issuance of a PCO. The
PCO should clearly define the changes and should include properly marked contract
drawings and specification sections to ensure that all changes are addressed clearly and
completely. The PCO gives a detailed description of the changes proposed to enable the
project to function as intended.
WHEN TO IMPLEMENT
The Project Owner, RE or Contractor may issue a PCO when a change to the Contract
documents is necessary. Many times the Design Consultant will prepare the PCO but it
must come through the Project Owner. The PCO provides the Resident Engineer with
precise and complete documentation that can be readily justified and evaluated to
determine if a Site work Instruction (SWI) is necessary.
RESPONSIBILITY
The Resident Engineer reviews the specific information on the PCO to ensure that the
changes to the Contract are clearly defined and complete. He then uses the information
on the marked drawings and specifications to prepare and issue a Site work Instruction
(SWI) (reference section 3.11) to the Contractor.
PROCEDURE
1. Following the award of a Contract, the Project Owner, Design Consultant, or RE may
find that certain modifications need to be made to the plans or specifications. This
often occurs during the review of submittals or an RFI. When a change is identified,
the Project Owner or Design Consultant initiates the modification process by
completing a PCO and forwarding it to the Resident Engineer.
2. The Contractor is requested to provide a preliminary estimate of the cost of the PCO.
3. The Resident Engineer logs the PCO & determines the effect of the PCO on the
construction schedule. If the Contractor’s estimate is substantial, the RE shall inform
the Project Owner of the impacts prior to issuing a SWI.

Note: All changes, including Change in scope, which includes changes in size,
process, or function of the project or project elements, always, require Project Owner
approval prior to directing the Contractor to proceed with the change.
4. The Resident Engineer issues a Site work Instruction (reference Section 3.11) to the
Contractor that includes all modified contract documents. The Resident Engineer
consults with the Project Owner to make one of the following choices:
 Proceed with the modifications in accordance with the negotiated changes in

cost and duration with the Contractor.
 Reject the Contractor’s offer and make no modifications.
PCO records should be logged in the respective project database for tracking purposes.
A copy of the PCO should be placed in the file along with the Site work Instruction.
A flowchart at the end of this section outlines the PCO process


Section 3.11
PROPOSED CHANGE ORDER (PCO)

Contract Award
FLOWCHART
PO = Project Owner
Potential need for

modification(s) to the
plans/ specs.is identified
by Owner Design Resident Engineer issues
Consultant or RE change order request for
to Contractor
Owner and /or A/E

prepares PCO complete Resident Engineer and
with cost/time estimate Contractor negotiate the
and justification cost and time impact
Resident Engineer logs Project Engineer reviews

PCO in database/log negotiated cost and time
impact
Is cost and time

impact acceptable
to Owner
Yes NO
Resident Engineer issues

SWI for Contractor to No modification(s) is made
proceed with work
End

3.12 Contract Change Order (CCO)
DESCRIPTION
A Contract Change Order (CCO) is the sole means by which a contract can be officially
modified after the contract is executed. It is a written agreement signed by the Contractor
and approved by the Project Owner to revise, add, or delete conditions established by
the contract.
Changes may be considered as either “scope changes” or “technical changes.” A scope

change is a modification, addition, or deletion to the approved design that changes the
function or capacity of the original project. A scope change always requires approval by
the Project Owner prior to directing the Contractor to proceed. Technical changes are
changes resulting from errors, omissions, substitutions, or unforeseen field conditions
and are necessary to satisfy the original intent of the approved contract documents. Both
types of changes consist of additions, deductions, or changes for the work performed
and/or materials furnished. These changes are divided into five specific classifications
and are described in (Chapter 3.11 Site work Instruction). The change should be placed
into one of these classifications by the time it is placed into a contract change order.
A change to Contract work - presented as part of a CCO - must be approved by the

Project Owner before the Contractor can be compensated for the change.
RESPONSIBILITY
The Resident Engineer, aided by the Site Engineering Support group, is responsible for
assembling the CCO package.
WHEN TO IMPLEMENT
The Contractor initiates a CCO that has been created by a:
1. Proposed Change Order (PCO) from the Project Owner.

2. Request for Information (RFI) from the Contractor
3. Answers to Request for Information from the RE
4. Field encountered condition
5. Resolution of an issue.
PROCEDURE
As soon as a change is identified, it should be tracked and documented until it is

resolved. Related documents and events should be identified and maintained as they will
be needed in the Back-up book described below. A change order package consists of:
1. Original change order. The original change order briery describes each change item
and denotes its value amount and any applicable time extension allowances are also
indicated.
The change order is signed by the Contractor, Resident Engineer, & Project Owner upon
approval.

2. Justification summary. The justification summary offers descriptions - in layman’s

terms - of all change order items. This summary should be written such that a reader with
no knowledge of the situation can understand what was done and why it was necessary.
Some tips:
· Avoid the phrase “in order to.”

· Do not overuse the phrases “it was discovered” or “it was determined.”
· Avoid assigning blame. Convey what the change was and why it was needed, not
who is at fault
· Avoid the use of acronyms, abbreviations, and highly technical terms without
associated explanations.
3. Back-up book. The back-up book provides a complete history of the item(s)
presented in the change order. It includes all correspondence and related
documentation for each change item. Typical items:
 Drawings and appropriate plan sheets

 Associated specification sections
 Photos
 Correspondence
 Schedule analysis if applicable (when the critical path or controlling item is
logically prevented from proceeding as planned)
 justification for why this change is necessary at this time
 Site work instruction
 Contractor’s proposed price
 Supporting documents with final quantity and cost calculations.
A “change item summary sheet” is prepared for each change item. It includes a
description of the change, its justification, and lists all included documentation in reverse
chronological order.
A CCO Item checklist for each change item is also completed, and signed by the
Resident Engineer.
Once the CCO package is completed and signed by the Resident Engineer, the package
is reviewed by the Project Owner also sign the CCO.
After approval, Project Owner’s Accounting Services will authorize payment and the CCO
is added to the progress pay estimate. Payment can occur in one payment or over many
payments depending on the extent of completion for the items included in the CCO. A
separate pay estimate may be issued to pay the Contractor for the change order work
only. This is usually done when the CCO is very large or the project is near completion.
NOTES:
· If the change order involves a comprehensive settlement, the following

language should be included :
“It is mutually agreed that this change order resolves all
Contractor, subcontractor and supplier claims including direct,
indirect, overhead and home office costs related to any of the above
items. The Contractor agrees to indemnify the Project Owner
should any claim be filed by any subcontractor or supplier related

to the items covered by this settlement.”


Manual
Section 3.12
CONTRACT CHANGE ORDER (CCO)
FLOWCHART
Change identified via : Cost/Credit RE staff
COR,RFI,PCO,Field agreed incorporates
encountered condition into CCO
RE reviews CCO
package
Legend
OK
CCO = Contract Change Order
RE= Resident Engineer
SWI = Site work Instruction Yes
PCO = Proposed Change Order
Owner = Customer Owner reviews CCO
RE= Resident Engineer package
RFI = Request for information
COR = Change Order Request
OK
Yes
Owner approves
CCO package
Approved
?
Yes
CCO amount
Contractor paid as
included in progress
work is performed
payment

3.13 Construction Cost Estimating
DESCRIPTION
The cost estimate is a tool used by the Resident Engineer to determine costs associated
with changes to a contract. It may be used to review the impact of a proposed change
order or determine if it is necessary to request a cost proposal from the Contractor. If a
request for a cost proposal has already been issued, it is used as the basis for
comparison and negotiations when the Contractor’s proposal is received.
If the change is a new item ( a NON-BOQ Item) that does not include a unit price
determined in the Contract’s BOQ, The cost estimate should lists material, labor, and
equipment; it also includes subcontract work necessary for completion, addition or
deletion of work, culminating in a total value for labor, materials, and equipment. When
the intended change has a Unit Price in the Contract’s BOQ, the same will be used for
estimation.
WHEN TO IMPLEMENT
A Change Order Request (section 3.11) from a Contractor, which in turn may initiate a
Contract Change Order (section 3.12) or a Site Work Instruction (section 3.10), normally
precedes the need for an in-house cost estimate. A feasibility study may also initiate the
need for a cost estimate. The Resident Engineer determines if a cost estimate is
required.
RESPONSIBILITY
The Cost Estimator may be a member of the construction project team or, on smaller
jobs, the Resident Engineer. The request for a cost estimate is initiated by the RE and
assigned to the Cost Estimator. The Cost Estimator reviews the Contract documents
relating to the proposed change and prepares an independent estimate. The Cost
Estimator compares the Contractor’s cost proposal against his estimate to ensure that
both are accurate and complete. The estimator may modify his estimate if the
Contractor’s estimate reveals overlooked items. If enough of a difference still exists, the
Resident Engineer may request that the Contractor adjust his cost proposal based on the
Cost Estimator’s review. This usually occurs when the scope of the change is not clearly
presented by the Contractor or some cost items appear inflated. The Cost Estimator may
also be asked to assist in negotiating disputes with the Contractor under the direction of
the Resident Engineer to bring change orders to a mutually agreed conclusion. Usually
the negotiations result in corrections to both the estimator’s and Contractor’s estimates.
The Cost Estimator has the responsibility of keeping abreast of the job-site conditions
and the work as it progresses.

PROCEDURE
1) Receive a request for estimate.
2) Review to determine what further information is required.

3) Sources for information are as follows:
· Change Order Request ( COR )
· Site work Instructions ( SWI’S )
· Drawings
· Submittals
· Originator of request
· Review with inspector
· Job-site visit
· Discussion with Contractor
4) Formulate a take-off list as follows:

· For Non –BOQ items (Items that do not have Unit Prices in Contract BOQ):-
 List all affected items and quantities associated with the proposal.
 Price all affected material.
 List all anticipated labor associated with the proposal.
 List equipment needed to accomplish the work and its estimated value.
 List the subcontractor’s work and the estimated value.
 List all other applicable values.
 Tabulate all information into a “Cost” or “Credit” estimate.
 Apply markups per the specifications
5) Make two copies of the estimate, one for the Resident Engineer and one for the
working file.
6) Review cost estimate with the Resident Engineer or requesting party.

· Note items of difference between Resident Engineer’s cost estimate and the
Contractor’s cost proposal.
· Note reasons for the differences and any possible solutions.
7) Contact the Contractor’s representative and try to resolve any differences prior
to generating a letter in response to the Contractor’s proposal.
8) Negotiate with Contractor’s representative to bring proposals to a mutually

agreed conclusion.
9) Notify Resident Engineer of mutually agreed value amount of negotiation or if

you’re at an impasse with Contractor.
10) Keep a correspondence/negotiation summary of all discussions or meetings with

Contractor.
11) Forward agreed cost to Resident Engineer for review with Project Owner.


3.14 Differing Site Conditions
DESCRIPTION
A “Differing Site Condition” is a situation that differs materially from what is indicated in
the Contract documents. The Contract documents define many of the site conditions that
are expected during construction. The purpose of this process is to provide a procedure
for handling unexpected site conditions.
The construction industry designates differing site conditions into two types: Type I is “a
subsurface or latent physical condition at the site differing materially from those indicated
in the contract.”
Type II is “an unknown physical condition at the site, of an unusual nature, differing
materially from those ordinarily encountered and generally recognized as inherent in
work of the character provided for in the contract."
RESPONSIBILITY
The Contractor has the responsibility of promptly notifying the Resident Engineer upon
discovery of the differing condition. This is usually done verbally by the Contractor or
inspector; a written notice should follow. Notice should be received before such
conditions are disturbed. Differing site conditions consist of:
 Type I (Subsurface or hidden conditions at the site differing materially from those
indicated in the Contract documents) examples:
❖ 5,000 cubic meters of stone where only 500 meters were anticipated
according to the contract documents.
 Type II (Unknown physical conditions at the work site of an unusual nature, differing
materially from those ordinarily encountered and generally recognized as inherent in
work of the character required in the Contract) examples:
❖ Extensive sand pockets when mainly clay was expected
❖ Electrical duct bank not shown on the plans
❖ Piping or utility not shown
❖ Soil contaminated with petroleum products or other hazardous materials
WHEN TO IMPLEMENT
The Resident Engineer shall promptly investigate the conditions reported by the
Contractor to determine if the conditions materially differ and could cause a change in the
Contractor’s costs or schedule.
PROCEDURE
1. The Resident Engineer is notified of the condition.
2. The Resident Engineer investigates the condition and determines whether

additional explorations or tests are necessary

3. If the conditions are materially different, or involve hazardous waste, and will
affect the Contract cost or duration, the Resident Engineer will need to create a
Contract Change Order-CCO (section 3.13).
4. The differing conditions will be handled as a CCO with the work accomplished
by, unit prices, or lump sum whichever is most appropriate.
5. The Site supervision team determines the necessary steps the Contractor must
take to remedy the situation. The RE may need to issue a SWI to address the
situation. A SWI is issued if it is determined that the required work affects the
costs or schedule. A RFI is used if the steps are minor or the Contractor can
continue as planned. A letter is sent to explain a position that is contrary to the
Contractor’s position. That is, if it is felt that the condition is not a “differing site
condition” and the Contractor is expected to deal with it based on the plans and
specifications.
A lot of documentation should be gathered during the investigation of the issue. This will
aid in deciding the type of differing site condition, if it really is a differing site condition,
and in negotiating a resolution with the Contractor. Types of documentation necessary
include:
■ Sufficient photos to show the extent and type of condition.

■ Inspector’s daily reports detailing the condition.
■ Test reports (e.g. soil type, hazardous waste identification).

3.15 Progress Payment Certificate
DESCRIPTION
A Progress Payment Estimate (PPE) is the sole means by which the Contractor receives
payment for work performed under contracts. One PPC is issued for each period as
specified by the Contract (usually a month). Information contained in the PPC includes:
1) The BOQ value of each work activity or BOQ Item and estimated value of work
performed to-date
2) Project Owner-approved Contract Change Orders
3) The amount withheld from the payment to the Contractor (e.g., retention,
performance bond)
4) The total amount due the Contractor
5) Information about Contract time.
The purpose of the PPC is to provide a well-documented and consistent method for
calculating the amount due the Contractor each pay period. On lump sum contracts,
the Contractor is usually required to submit a schedule of values after the Notice to
Proceed (section 3.4) is received. This may be received in the form of a cost loaded
schedule. For unit price contracts, the submitted BOQ Proposal provides the values to
include in the PPC.
RESPONSIBILITY
The Resident Engineer is responsible for review & Approval of PPC Submittal by
Contractor.
WHEN TO IMPLEMENT
The Contractor initiates the progress payment process by submitting a payment request
to the Resident Engineer.
PROCEDURE
1. Utilizing the project’s cost-loaded schedule, unit prices, or specific baseline, the
Contractor prepares a payment request for work done during the previous period.
2. The Resident Engineer and the Contractor meet prior to the preparation of the PPC to
review the amount of completed work. This simplifies the review process and may need
to occur weekly on complex projects. The review by the Resident Engineer includes
verifying that all items (such as CCO) tied to payment have been received from the
Contractor.
3. Upon approving the Contractor’s payment request, the Resident Engineer forwards the
payment request to the Project Owner for finalization:
 The Resident Engineer obtains signatures from:

 The Resident Engineer
 The Project Owner
 Other client approvals as required

 The contractor’s signature is optional but should be obtained when feasible.
A flowchart is included showing the typical Progress Payment process.
Contractor's Payment


Section 3.15
PROGRESS PAYMENT CERTIFICATE (PPC)

FLOWCHART
Contractor submits
payment request (on a
monthly basis per
contractor requirements)
RE and Contractor
reconcile payment RE review
Disagree request
amount
If no errors
Contractor
Disagree reviews & sign
PPC Note : If Contractor is not available
or , after negotiation with RE, does
not agree with amount , the PPC can
Agree be processed without his signature.
RE reviews
Disagree and signs ppc
Agree
Owner
Disagree reviews &
Signs
Legend
Contractor is paid within

(time specified is Contract
(…..) working days
PPC = Progress Payment Certificate
RE= Resident Engineer

3.16 Extension of Time
DESCRIPTION
An extension of time is an increase in the Contract time that is allotted for completion of
the work. The table below lists examples of delays and how they are categorized.
Time extensions should state clearly whether they are in working days or calendar days.
Time extensions are normally executed in the form of a Contract Change Order (CCO).
However, extensions for weather days are at the discretion of the RE and do not require
a change order.
In any case, critical path activities must be affected for the event to be considered a
delay. Normally, contractors are compensated only for those delays caused by Project
Owner action; these are termed “compensable unavoidable delays.”
Extensions granted for reasons not in the control of either the Contractor or Project
Owner are not compensated, “non- compensable unavoidable delays.”
“Avoidable delays” are those caused by the Contractor and are not reasons for
extensions but are subject to Liquidated Damages (LD) (section 3.18).
If an avoidable and unavoidable delay is concurrent, the Contractor receives a time
extension but no compensation.
Avoidable, Unavoidable,
Unavoidable,
Event Liquidated No
Damages Compensation
Compensation
Additional work X
Weather impacts X
Strikes X
Material or equipment unavailability X
Discovery of cultural resources (e.g.

X
artifacts, fossils)
Improper coordination of
X
subcontractors
Rework X
Acts of God (Rain, earth quick) X
Fires, epidemics X
Differing site condition X

WHEN TO IMPLEMENT
Time extensions are granted when the Resident Engineer determines that some event
beyond the Contractor’s control prevents the Contractor from completing the work per the
Contract documents as originally scheduled. Examples are listed in the preceding table.
PROCEDURES
1. Duration and/or specific dates (milestones) for the work or portions of the work are
specified in each Contract.
2. The start of the Contract Notice to Proceed (NTP) (Section 3.4) defines the first day
counted toward Contract time. The completion date defines the last working day and
is the date by which the work must be completed in accordance with the contract.
There may be completion dates specified for specific work items as well as for the
completion of all Contract work. The completion date may be specified as either a
specific date or the start of Contract time plus a specific number of calendar days or
working days ( like Mobilization )
3. The Resident Engineer will determine the start of Contract time and the date for
Contract completion. It is critical that the Contractor acknowledges these dates and
prepares his schedule accordingly. This will facilitate agreement on actual milestone
dates throughout the duration of the Contract. This will help avoid disputes regarding
actual dates that trigger assessment of liquidated damages (Section 3.18).
4. The Contract duration or the start of Contract time may be changed or modified
during the course of the project by a Contract Change Order. Therefore, when a
Contract Change Order is issued both cost and time must be carefully considered
and addressed.
5. Weather days, or rain days, are any days that the Contractor cannot work due to
inclement weather and the critical path is impacted. Days that the Contractor uses to
dewater or repair the work after a rain event are also considered rain days. Weather
days may affect the required Contract completion date and the assessment of
Liquidated Damages associated with late completion.
6. If the work or portions of the work are not completed by the specified time plus all
extensions allowed for weather delays and by Contract Change Orders, the
Contractor will be assessed Liquidated Damages (Section 3.18).

3.17 Liquidated Damages
DESCRIPTION
The liquidated damages clause in the Contract is an acknowledgement by the Project

Owner and the Contractor that the Project Owner will suffer from damages if the work or
interim portions of the work is not completed by the specified date(s). The liquidated
damage clause establishes the amount of money payable to the Project Owner as
damages if the Contractor does not meet the specified deadlines. Normally, liquidated
damages are assessed based upon calendar days. The money value set for the
liquidated damages may not be changed after the Contract is executed. The Contractor
does not receive consideration for weather delays while liquidated damages are
accruing.
WHEN TO IMPLEMENT
Liquidated damages are assessed when the work, or portions of the work, are not
completed in the time frame specified by the Contract plus any time extensions granted.
Individual work item completion dates or the Contract completion date as specified in the
Contract may change due to the allotment of weather days or other time extensions
granted by the Resident Engineer.
PROCEDURES
1. Duration and/or specific dates for the work or portions of the work are specified
in each Contract.
2. The start of the Contract Notice to Proceed (section 3.3) defines the first day
counted toward Contract time. The completion date defines the last working day
and is the date by which the work must be completed in accordance with the
contract. There may be completion dates specified for work items as well as for
the completion of all Contract work. The completion date may be specified as
either a specific date or the start of Contract time plus a specific number of
calendar days or working days.
3. The Resident Engineer will determine the start of Contract time based on
Contract completion date. It is critical that the Contractor acknowledges these
dates and prepares his schedule accordingly. This will facilitate agreement on
actual milestone dates throughout the duration of the Contract, and will help
avoid disputes regarding actual dates that trigger assessment of liquidated
damages.
4. The Contract duration or the start of Contract time may be changed or modified
during the course of the project by weather delays or by Contract Change Order.
Therefore, when a Contract Change Order is issued both cost and time must be
carefully considered and addressed.
5. Weather days are taken into account as specified in each contract. Weather
days may affect the required Contract completion date and the assessment of
liquidated damages associated with late completion.
6. If the work or portions of the work are not completed by the specified time, after
considering all extensions of time allowed for weather delays and allowed by
CCOs, the Contractor will be assessed liquidated damages.
7. Specific dates after which the Contractor is assessed liquidated damages are
usually outlined in the specifications section titled Contract Time. Other
specification sections may also address dates associated with the work
described in the Contract.
8. If liquidated damages are assessed, discussions and negotiations may be
required to resolve disputes such as delays and extra work and their impact on
project milestone completion.
9. Liquidated damages are normally assessed by creating a deductive pay item on
the Progress Payment Certificate.

3.18 Non-Compliance Notice (NCN)
DESCRIPTION
The non-compliance notice (NCN) is a method used by the Resident Engineer to inform
the Contractor that an activity or condition does not comply with requirements of Contract
plans and specifications. This action provides a formal method to record the steps taken
by the Resident Engineer to have the activity or condition corrected. It also allows the
Resident Engineer to track the remedial action taken by the Contractor. The Contractor is
required to correct all non-compliance work in a timely manner and should take proper
action to prevent recurrence of similar situations.
WHEN TO IMPLEMENT
The Resident Engineer will notify the Contractor of any non-compliance with the plans or
specifications as they become known.
PROCEDURE
1. The Supervision Inspector may notice or become aware of a potential

construction problem, activity, or condition that that does not comply with the
Contract documents.
2. The Supervision Inspector informs the Contractor of the deficiency verbally and
requests that it be corrected immediately. The Inspector records the notification
in the Daily Construction Report (DCR) to document that the issue was
addressed.
3. If the Contractor does not resolve or correct the potential problem within a
reasonable period of time or if the Contractor further deviates from the contract
or acceptable procedures, materials, workmanship or violates codes the
Resident Engineer will immediately issue a non-compliance notice.
The Resident Engineer enters the notice in the NCN file already established.
This notice will become an important document if the Contractor files a claim
since it establishes what the non-compliance was and when it occurred.
4. If the Contractor does not comply with the NCN, the Resident Engineer is
authorized by the contract to suspend all or part of the work pending
satisfactory corrective action. This is a serious step; the Resident
Engineer should consult with the Project Owner before issuance.
Time loss due to stop notices may be considered an avoidable delay.
5. The Resident Engineer may withhold partial payment for unacceptable work
and materials.
· The decision to issue a stop work order should also involve the Project
Owner.
6. When the Contractor has complied with the NCN, the appropriate NCN file is
closed.

The attached flowchart outlines the NCN process.
Non-Compliance Notice Procedure


Manual
Item of non- compliance Section 3.18
identified by RE, or
Supervision Inspector NON-COMPLIANCE NOTICE
Supervision Inspector
verbally informs
(NCN)
appropriate Contractor
staff FLOWCHART
Issue resolved in NO Official NCN issued

timely manner?
If warranted,
Issue resolved in NO
suspend work.
timely manner ? Consult RE and
Owner
yes
Yes
With hold
appropriate payment
Issue resolved
Negotiate NO in timely
manner ?
NCN item “closed” Yes

3.19 Temporary Suspension of Work
DESCRIPTION
The Resident Engineer has the authority to suspend work in part or in whole, for any
cause that the Resident Engineer deems unfavorable for the suitable prosecution of
work. The purpose of a work suspension is to force the Contractor to comply with a
directive, or to delay work due to unfavorable working conditions. A temporary
suspension of work is a very serious course of action and should never be
undertaken unilaterally by the Resident Engineer.
PROCESS
In accordance with the terms of the Contract, the Resident Engineer has the authority
to suspend all or part of the work for causes beyond the control of the Contractor or
due to the Contractor’s non-compliance with Contract requirements. Supervision
upper management should be involved with the Resident Engineer in this decision.
Examples of conditions beyond the control of the Contractor include:
 Unsuitable weather
 A malfunction of the existing facilities or equipment
 Hazardous conditions that cannot be rectified thereby creating unacceptable
level of risk to workers or equipment.
 Any condition that the Resident Engineer considers unfavorable for the
suitable prosecution of the work.
 Differing site condition
A failure on the part of the Contractor may include not remedying a noncompliance
situation, not carrying out instructions given by the Resident Engineer, not working
with approved submittals, not addressing safety violations, or not complying with
labor requirements.
A temporary suspension of work is ordered by the Resident Engineer by notifying the

Contractor in writing. The reasons for the suspensions, the expected duration of the
suspension and what the Contractor has to do to have the temporary suspension
withdrawn should be included in the letter. It is always important to discuss proposed
suspension of work with Supervision upper management and Project Owner prior to
initiating the order.
The Project Owner, working closely with the RE, should do everything within his or
her power to avert a suspension caused by any third party. The Resident Engineer
should make every effort to eliminate the need for a suspension due to the
Contractor’s actions.

3.20 Termination of Contract
DESCRIPTION
Termination of a construction Contract is outlined in the Contract Conditions These
sections defines the Project Owner’s rights to terminate a Contract as well as the
Contractor’s rights. This Condition section also defines the legal procedures that must be
followed for either party to terminate a Contract.
WHEN TO IMPLEMENT
The termination clause should only be used when extreme events

have occurred and only with the approval of Supervision top
management and Project Owner.

3.21 PARTNERING
DESCRIPTION
Partnering establishes a working relationship between the Contractor, Supervision

Consultant and the Project Owner through mutual commitments to communication, trust,
and teamwork. Partnering is beneficial to all parties because it can minimize disputes
and promotes a cooperative atmosphere that mitigates the potential of an adversarial
environment.
WHEN TO IMPLEMENT
Partnering begins as the project enters the construction phase and should continue
through the end of the project. Partnering requirements may be specified within the
Contract documents, be requested by the Contractor, or may be informal. Participants
that normally commit to a partnering relationship include the Project Owner, Contractor,
Subcontractors, and Design & Supervision Consultants.
RESPONSIBILITY
Partnering is the responsibility of all involved participants (Project Owner, Contractor,

Subcontractors, and Consultants).
PROCEDURE
INFORMAL PARTNERING SESSIONS
1. Informal partnering sessions are initiated by the Resident Engineer. Meetings
may be scheduled to facilitate certain construction activities or to preclude
problems between the Contractor and the Project Owner.
2. Informal partnering may include only the Resident Engineer and the Contractor,
or any number of participants who are involved with the construction process.
Whether or not partnering sessions are held, the principles of partnering should be
adhered to as much as possible. Some important principles of partnering are:
 Commitment to the project
 Open and honest communication between all players
 Convict resolution
 Win-win attitude
 Honesty
 Integrity
 Trust

3.22 Meetings
DESCRIPTION
Meetings are an important part of every job. The type and frequency of meetings will
depend on such things as project complexity, cost, duration, who is involved, etc. These
meetings should provide a means of communication and discussion of relevant issues
between the Contractors, RE, Project Owner, and Designer. Examples of the types of
meetings a project might require are:
 Contract status and coordination
 Resubmittal
 Testing and startup
 Negotiation
 Specific problems too complex to address at status meetings
WHEN TO IMPLEMENT
Contract coordination and testing meetings should occur at regular intervals. Contract
coordination meetings should commence at the beginning of construction. The testing
meetings should begin two to three weeks prior to the commencement of testing.
Other meetings, such as meetings to discuss issues, should occur as the specific issues
arise or on an as-needed basis.
The Contract specifications may also address the required frequency of project meetings.
RESPONSIBILITY
The RE is generally responsible for scheduling meetings. Meetings to discuss specific

issues may be scheduled by others but the RE or assigned representative should be
present. A RE’s project team member should lead the meetings and is responsible for
preparing the meeting minutes. These minutes should then be reproduced for each
meeting attendee to review.
PROCEDURE
The RE should coordinate with every potential attendee for each meeting to determine
which day and time is acceptable. The RE is also responsible for developing a
preliminary agenda for each meeting. The meetings that occur when issues arise will not
have a standard agenda to follow but items to discuss should be clearly listed. They
generally will address only one issue at a time.
The following outlines may be used to create agendas for the Contract coordination and
testing meetings. Each job will have its own distinct items that will need to be discussed.

Contract Coordination or Status Meeting:

I. Comments to previous meeting’s minutes
II. Administration Status
a. Submittals
b. Requests for Information (RFI)
c. Site work Instruction (SWI)
d. Contract Change Orders (CCO)
III.Project Schedule
a. Baseline schedule
b. Progress
c. Problems and potential problems
d. Two-week or Three-week schedule review
e. Status of deliveries
f. Delay issues
g. As-building
IV. Progress Payments
a. Status of pending
b. Withholds
V. Unforeseen Conditions
a. Notification
b. Bid Allowance
VI. Quality Assurance
a. Surveys
b. Testing
c. Non-Compliance
d. Quality Control Program
e. Inspection Request (IR)
VII. Safety
a. Safety Plan
b. Safety Issues
Meetings Procedure

3.23 Letter Writing Guidelines
DESCRIPTION
There are several reasons for generating a letter. They include issues raised by the RE
or the Contractor, correcting erroneous or ambiguous information in the Contract
Documents, and mitigation of unanticipated changes to the Contract.
Letters should include one subject, should be short, (one page is ideal, two at most), and
to the point. They must be unbiased and unemotional. Focus on the audience when
writing a letter. A letter may become a legal document in a court of law.
Use simple, straightforward language and avoid business clichés or jargon. A letter
should sound conversational. A good way to be objective is to write it as if the letter is to
yourself; how would you want to be written to? This can help build rapport with the
intended recipients.
WHEN TO IMPLEMENT
Letters are signed by the RE. The first letter is usually to notify the Contractor to proceed
with the work (reference section 3.4) Notice to Proceed. Letters initiated by the RE during
the course of the project are normally used to:
♦ Describe the RE’s position on an issue

♦ Detail a non-compliance notice (Section 3.19) Non-Compliance Notice
♦ Request cost proposals and information
♦ Organize meetings
♦ Bring a concern to the Contractor’s attention
Letters are also used to respond to the Contractor’s letters. The Contractor may write to
notify the RE of potential delays, extra cost issues, or to provide written documents
required by the Contract.
Contract Conditions may also list certain situations that require written notification to the
Contractor.
RESPONSIBILITY
Letters to the Contractor can be prepared by anyone on the project Supervision team.
The Resident Engineer should review and sign each letter before it is issued.
PROCEDURE
A reply to a Contractor’s inquiry should be answered in a timely manner unless otherwise

specified in the Contract. If a reply will take more days, the Contractor should be
informed and provided an estimated response time. A Contractor’s primary concern is
receiving timely answers. Delays can have a detrimental impact on the Contractor's
work, causing claims, extra costs, and possible antagonistic relations with the Project
Owner. This should be avoided. “Anticipate the unexpected,” and prepare your staff to
respond accordingly.

3.24 Contractor’s Daily & RE’s weekly Construction Report
DESCRIPTION
Contractor’s daily reports

The daily report describes the project activities for the day. Its main purpose is to inform
RE supervisors and management of the status and progress of the project. It should
include highlights in such a way that the reader will be able to understand what work and
events have occurred during the day.
RE’s weekly reports

The weekly report describes the project activities for the week. Its main purpose is to
inform project owner & RE inspectors of the status and progress of the project. It should
include highlights in such a way that the reader will be able to understand what work and
events have occurred during the week.
WHEN TO IMPLEMENT
The Contractor should prepare the daily report at the end of each workday & submit to
RE 08:00 A.M. the next morning.
The RE should prepare the Weekly report the end of each week & distribute to Project
Owner (if requested) & to his inspectors at 08:00 A.M. on the first day of the following
week
RESPONSIBILITY
It is the responsibility of the Contractor to prepare the Daily Report at the end of each
day.
It is the responsibility of the RE to prepare the Weekly Report at the end of each week.
PROCEDURES
Contractor’s Daily Construction Reports (DCR)

The Contractor prepares the daily report at the end of the day using notes, as reminders
of the past day’s activities. The report should be prepared in MS Word for computer filing
and archiving. The RE Inspector signs the report verifying its contents keeps the Original
Copy & sends a copy to Contractor. Typical items that may be included in the report are:
 Day, Date, weather conditions & temperature
 Activity Description & work in progress on site:-
Start of new activities (any trade)
Progress of activities (all trades)
Completed activities (any trade)
 Materials Delivery
 Visitors to site
 Accidents (if any)
 Available contractor’s Manpower list (Indirect, direct & subcontractors)
 Equipment list (Heavy, light & machineries)
Once completed, the report is printed, signed by contractor & Supervision
consultant, copied, and distributed. If there are any exceptions, additions, or
changes to the contractor’s report, they should finalized & agreed by Re &
contractor prior to RE /assignee signature. Original is kept in RE’s records &
copy to Contractor.
RE’s Weekly Construction Reports (WCR)
The RE prepares the Weekly report at the end of the week using notes, as reminders of
the past week’s activities. The report should be prepared in MS Word for computer filing
and archiving. The RE & his Inspector sign & RE send a copy to Project owner (if
required) & to his inspectors. Typical items that may be included in the report are:
 Contractor’s weekly totals of Manpower (supervisory, skilled, Unskilled & office

staff)
 Subcontractors weekly totals of Manpower (supervisory, skilled, Unskilled & office
staff)
 Major works
 Materials and supplies to project site
 Other activities
 Significant Events & other issues
Once completed, the report is printed, signed by Supervision consultant, copied, and
distributed to Project owner & RE inspectors.
Weekly reports can be an effective tool by using them in weekly meetings.
Original is kept in RE’s records.
Daily and Weekly Reporting Procedure

3.25 Monthly Report

DESCRIPTION
The Monthly Report is an executive summary report that shows the major activities,
progress, problems, and solutions occurring during the prior month. The monthly report is
prepared to update management on the status of the project. The Monthly Report is a
summary report so it should be concise.
The Monthly Report should include the following;
1. Project Description
1.1 Project General Description
1.2 Project Overview
2. Executive Summary
2.1 Executive Brief
2.2 Areas of Concern
2.3 Consultant Recommendations on Areas of Concern/Major Issues
3. Program and Progress
1.1 Program Key Milestones
1.2 Progress Achieved During Month of ……
1.3 Activities Planned for Next Month
1.4 Master Schedule and Updates
1.5 Updated Mobilization Schedule
1.6 Design development & Document/Engineering Submittals
1.7 Construction
4. Cost Report
4.1 Contract Budget & Financial Report
4.2 Payment Summary
4.3 Claims Summary
4.4 Variation Log
4.5 Cash flow Projection
4.6 Project Controls Report
5. QA/QC
5.1 Documentation
5.2 Quality Meetings
5.3 Materials
5.4 Assessment of Contractor
5.5 Action Tracking Registration
6. Safety (HSE)
6.1 Introduction
6.2 Safety Indicator
6.3 Contractor Safety Highlights
6.4 Contractor Safety Lowlights
6.5 Safety Observation Assessment per Activity Category
6.6 Contractor Safety Training Updates
6.7 Contractor Next Month Safety Training Plan
6.8 HSE Plan for the Next Month

Appendices:
A. Project Organizational Structure & Responsibility Matrix
B. Procurement Strategy Outline
C. Organization Charts
D. Logs:
· Submittal Log
· RFI Log (Requests For Information)
· NCN Log (Noncompliance Notices)
· Letters
· Corr. Rec’d
· Corr. Sent
E. Minutes of Meetings – Month …………Year………
· Coordination & Progress Meetings
· Design Meetings
· QA/QC Meetings
· HSE Meetings
WHEN TO IMPLEMENT
This Report is generated and posted to the Project Owner & The project’s web page
monthly.
RESPONSIBILITY
The RE is the overall in-charge or responsible for the monthly report but he should be
assisted by an Office Engineer or Planner to collect all inputs from various disciplines in
the correct format and organize the report in chronological order. The RE is directly
responsible in the preparation of Executive Summary.
PROCEDURE
The RE prepares the Monthly Report from a template stored on the common drive. It is
his responsibility to ensure that this report is formatted and proofread. This information is
also used by a Saud Consult webmaster to update the Enterprise project management
office (EMPO) project Intranet site. After updating, an electronic copy of the Monthly
Report is placed on the appropriate folder on the common drive.
For Monthly Reporting Procedure & Monthly Status Report Template, Tab on the
following hyperlinks:-
MONTHLY REPORTING WORK PROCEDURE

3.26 Record Documentation Handling
RECORD DOCUMENTATION
Construction Project Management is a multi-faceted business. During the course of a

construction project, the Resident Engineer generates and receives several types of
contract documents. A well-organized record documentation system should be in place
to assist the Resident Engineer in effectively managing the progress of construction.
ELECTRONIC & NON-ELECTRONIC DOCUMENTS
The Resident Engineer processes electronic and non-electronic documents. Non-

electronic documents are typically received from the Contractor. When non-electronic
documents are received, they are processed through the mailroom.
THE FILING SYSTEM
Each contract has a working and an archive file. Individual folders for each type of
contract document are included in each contract.
For example: Requests for Information and Field Instructions each has an individual
folder under Contract file.
The working file

Is the portion of the filing system that is stored in the submittals’ work area.
A “working file” document is well deserving of its name because it is routed to several
project team members before it ends up in the filing shelves. Hence, it is the one used in
most day-to-day research.
The archive file

Is the legal file. It contains the originals received from the Contractor or other
participants of the project team. It generally goes untouched, except to restore a missing
document to the working file. It serves as a backup set of files when the working set does
not contain needed documents. The archive files are located in a room in the center of
the RE office. After the project is completed, all the records contained in the archive and
working files are boxed and sent to Project Owner Archives for storage.
Anyone needing to use a specific document for an extended period should first check the
working file.
All documents in these files are coded according to the numbering system included at the
end of this manual. For example, minutes generated by the RE following a progress
meeting with the contractor would be coded 3.3.3. This number should be written in the
top right corner of the document. All files are ordered according to this numbering
system.

LEGAL COPY
It is a contractual requirement for the both the Resident Engineer and Contractor to
deliver the legal copy of any correspondence. A wet signature signed on the original
version of any document defines a legal copy. For instance, if the RE uses the Project
Log to generate letters electronically and subsequently e-mails the letter to the
Contractor, that document is not considered binding until the RE signs the document.
The hard copy with the original signature is the legal copy.
THE PROJECT LOG
In large scale or long duration projects (sometimes required by contract), a sophisticated

Project Log could be designed and created using Visual Basic and MS Access or Project
Contract Management (PCM) programming. These are project management database
that gives each Resident Engineer & his team, Project Owner and Contractor the ability
to monitor the project by tracking the status of project documents, such as:
PCOs RE Letters
Requests for Information Contractor Letters
Instruction Request Project Owner letters
Change Orders Non-Compliance Notices
Submittals ETC…
Since the examples of documents listed above are created electronically, (including
submittals) they can be accessed via network or Internet
PROCEDURES
1) RE generated documents
a) The individual responsible for generating a document will place the original
document in the mailroom for processing. There are two boxes, one for
mail to the contractor & Project Owner the other for internal (RE office)
distribution.
b) Clerical staff will remove items from these boxes at least twice each day
for processing.
c) Included at the end of this manual is a distribution table indicating the
number of copies, where to send the original, and where to route the
copies.
2) Incoming documents from Contractors or Project Owner
a) Upon receiving the document, the clerical staff stamps the original
documents with the distribution table & forward the same to RE for his
action &/or distribution to RE Staff.
b) The clerical staff distributes the documents according to the RE marking in
the distribution table after making the required no. of copies.
3) Other Documents
Examples and possible actions follow:

i. Product literature. Someone performing research on a particular product or

line of products often receives this type of information due to an inquiry. It may
be related to a field instruction, submittal, a product used in the field or simply
general information. In any case, the original should go RE who will forward the
original directly to the addressee for action.
ii. Memo. The original should go directly to the addressee. The addressee will
determine what action, if any is necessary. Some memos are read and thrown
away, some are kept in personal files, and some may go to a specific project
related file.
NOTE: Copies of some documents will need to be placed in more than one place.
Examples are:
i. RE letters. Any RE letter that results in a change should be placed in the file
generated to compensate the Contractor. This will include letters containing a
proposed change Order (PCO) from the contractor if the proposal is accepted
(as is or changed through negotiations) and Request for Information (RFIs) that
result in a change.
ii. Daily Construction Report. Inspector Daily Construction Report may
contain information pertaining to a change, if the RE deems the information
pertinent to negotiations or assists in explaining the history a copy should be
placed in the appropriate file.
iii. PCOs that generated a Site Work instruction. If a PCO response results
in change in cost or time, the RE will generate an SWI to compensate the
Contractor. A copy of the PCO will need to be copied to the appropriate SWI file.
iv. Contractor letters containing a cost proposal. These will by default end
up in the letter file. A copy should be placed in the appropriate PCO file for this
change. The RE should note this on the routing stamp; clerical staff will make
the copies and place in the appropriate file.
4) Making copies
There are several copiers in the office that can be used. However, the color copier
should only be used for pages with colored markups or print; do not use it for any
pages that are only black and white. Types of documents that would typically be
copied on the color copier are:
 Specification sections with color markups (usually red or green). These are
normally found in PCOs, SWIs, and IRs.
 Drawings with color markups (usually red or green). These are normally found
in PCOs and IRs.
 Color originals (photos, catalog cut sheets, product literature, etc.)
 Submittals containing color on any original portion.
5) Procedures for handling routing copies (working and archive):
a. The copy for routing is stamped and delivered to the RE responsible for
determining routing and “copies to” locations.
b. After initialing the routing copy, it is placed in the common out box for clerical to
process..

c. When clerical receives the routing copy, copies shall be made and distributed as
indicated in the “copies to” list. The clerk shall indicate that each copy has been
made by checking the appropriate box. CC copies shall be made, distributed,
and the original document routed to the appropriate Archive file.
A rubber stamp should be available to personnel as required for use on these documents. It is the RE’s
responsibility to stamp the document and fill in as necessary. Below is a copy of the stamp.

MASTER LIST OF FILES
(Proposed List)
1.0 Master List of Files

2.0Bidding and Award Phase
2.1 Bid Set Drawings and Specifications/ Addenda
2.2 Bidder Inquiries (Questions & Answers)
2.3 Owner/Contractor Contract
3.0 Communications and Correspondence
3.1 Incoming Correspondence
Certain incoming documents need to be filed in both the Incoming
Correspondence file AND a secondary file. Make copies of the following incoming
documents, and cross-file The copy in the indicated secondary file:
 As specified by RE’s when indicated in route stamp
3.1.1 Letters From Contractor (File By Date)
3.1.2 Letters From Project Owner (File By Date)
3.1.3 Letters/Memos From Others
3.2 Outgoing Correspondence
3.2.1 Letters To Contractor (File By Letter #)

3.2.2 Letters To Project Owner (File By Letter #)
3.2.3 Correspondence/Memos To Others
3.3 Meetings (File By Date)

3.3.1 Preconstruction Meetings
3.3.1 Progress Meetings
3.3.2 QA/QC Meetings
3.3.3 HSE Meetings
4.0 Contract Administration
4.1 Schedules
4.2 Submittals
4.3 Request For Information- RFI ( File by Number)
4.4 Field Instructions- FI (File by number)
4.5 Proposed Change Orders- PCOs ( File by Number)
4.6 Change Orders- CCO (file By Own Number)
4.7 Pay Request/Progress Payment (file By Own Number)
4.8 Weekly Statement of Working Days (File By Own Number)
4.9 Non-Compliance Notice- NCN (File By Own Number)
5.0 Inspection and Testing
5.1 Quality Control
5.2 Contractor’s Daily Reports (File By Month)
5.3 RE’s Weekly Reports (File By Date)
5.4 Material Received Receipts
5.5 Surveys
5.6 Photos
5.7 Test Results ( Project Owner performed tests)
5.7.1 Compaction Test Results
5.7.2 Concrete Test Results

6.0 Completion and Acceptance

6.1 Acceptance
6.2 Punch lists
6.3 Completion correspondence (by work item/subnet)
7.0 Post Construction

7.1 Warrantees
7.2 Activation
8.0 Health and Safety
8.1 Safety
9.0 Claims and Litigation
9.1 Claims & Extras
9.2 Legal Documents

3.27 Surveys
DESCRIPTION
Prior to construction, surveyors may be used to locate the limits of the work for the
contractor. This includes centerlines of trenches and corners and offsets of structures.
Slope stakes, finished base location and necessary line, elevation and location lines for
roadway construction can also be provided. Contract documents will state who is
responsible for conducting these surveys. For most projects, the responsibility falls on
the contractor. Though it is ultimately the contractor’s responsibility to initiate the survey
regardless of who performs the task, the RE should review the contract documents and
discuss the requirements and procedures prior to the start of construction.
During construction, RE survey staff verifies that the contractor’s work is located as
indicated in the plans or approved submittals. This information is used to verify and
improve the information shown on the Master Set of Drawings and to verify contractor’s
as-built when submitted for review. Benchmarks are to be located that survey staff uses
to locate work (line and grade).
RESPONSIBILITY
The contractor normally initiates the surveys (line and grade reference points) prior to
beginning work or a particular portion of the work.
During construction, the RE determines elements of the work that need to be surveyed. If
the information gathered by the surveyors indicates that the work is not located properly
the RE is notified immediately. The RE will work with the contractor to determine what
action is needed to correct the condition. The survey information is also transmitted to
Project Owner Documentation to assist in verifying the accuracy of submitted as-built.
PROCEDURES
Contractor Survey staff provide finish grade elevations and alignments for various
facilities during the normal progression of the work. Invert elevations are provided for
pipeline work. Both the contractor and the RE use this information to verify the facility is
constructed in the proper location. It is also used to verify contractor’s as-built and update
existing drawings. The RE may request that the survey staff provide more detailed
information or reference points not normally obtained.

CHAPTER 4
INSPECTION AND TESTING

CHAPTER 4 - INSPECTION AND TESTING
4.1 Introduction
DESCRIPTION
The inspection and testing site Supervision staff are the eyes and ears of the Resident Engineer.
They report project-related matters to the Resident Engineer. Frequent meetings are held with the
RE to discuss work assignments, normal and abnormal activities, and any problems. The
inspection and testing Supervision staff need to have a good working knowledge of the plans and
specifications. The RE is available to assist them in making judgment calls and contract
interpretations, but the field personnel are the ones who have the first opportunity to respond to
questions raised by the Contractor. They should know construction terms, equipment and
procedures. The supervision inspector should establish a good rapport with the Contractor’s field
supervision.
RESPONSIBILITY
It is the Resident Engineer’s responsibility, working with the Supervising Construction Inspector, to
divide the activities among the supervision inspection staff assigned to the Project and delegate
responsibilities and authority to them. The supervision inspection and testing staff have the
responsibility to document the actions or inaction of the Contractor (refer to section 4.3 (Daily
Construction Report),

4.2 Quality Control/Quality Assurance Program (QC/QA)
DESCRIPTION/PURPOSE
Quality Control: The The quality control and quality assurance program (QC/QA) is a two-part
assessment of product program intended to ensure that the work will meet the contract requirements.
compliance with stated The Contractor is responsible for quality control; the RE is responsible for
requirements. Quality control quality assurance.
team should be independent
from Construction production
team. PROCESS
Quality Assurance: A
planned and systematic In many projects, as a prerequisite to starting construction, the Contractor
pattern of all actions must submit an acceptable Quality Control Plan (QC plan) to the RE. The QC
necessary to provide
plan consists of procedures necessary to provide and ensure that materials,
adequate confidence that the
product optimally fulfills equipment, workmanship, fabrication, construction, and operations comply
customers' expectations, i.e. with the requirements of the Contract. The QC plan is reviewed in a meeting
that it is problem-free and with the RE prior to the start of construction. Discussed during this meeting are
well able to perform the task procedures for recording the QC operations, QC activities, non-compliance
it was designed for problem- reporting and the relationship between the QC staff and the RE’s inspection
free and well able to perform staff. The Contractor can start construction once the Contractor and RE agree
the task it was designed for on the QC plan. The RE may accept an interim QC plan allowing the
Contractor to start work on the first order of construction activities.
The QC plan must include list of Inspection Test Plans (ITPs) to be submitted
separately by the Contractor. The list of ITPs identifies the major and critical
activities requiring inspection and testing, identifies hold points and the
responsible person who will be involved in the inspection, either Contractor,
Consultant or the Client; or a combination thereof.
The RE is responsible for quality assurance during construction. The RE

inspection staff performs inspection functions for the purposes of confirming
adequacy of the Contractor’s QC plan.
It is important for the RE to ensure that the Contractor adheres to the

approved QC plan. The RE’s field staff should be very familiar with the QC/QA
requirements of the Contract specifications and the Contractor’s QC Plan (this
includes all the procedures, directives, forms, and similar documents that
pertain to Quality Control).
The table on the following page lists specific duties and responsibilities.

DUTIES AND RESPONSIBILITIES
Activity Contractor RE PROJECT

OWNER
Prepare and review Prepares plan and Reviews plan or asks Receives copy of interim
interim QC plan for first submits to RE for revisions plan
order of work
Perform first Performs work Monitors

order of work Contractor’s
construction work
Prepare and review Prepares plan and Reviews plan Receives copy of plan
Contractor’s QC plan for submits it to RE
entire Project
Attend joint meeting with Discusses plan with Discusses plan with
Contractor and RE RE; negotiates Contractor; negotiates
changes changes
Revise QC plan after Prepares revised Reviews revised plan Receives copy of revised
meeting QC plan based on plan
joint meeting
Adhere to QC plan Responsible Monitors for

compliance

4.3 Daily Construction Report

DESCRIPTION
The Contractor generates daily construction report during the construction phase of the
project‫؛‬. The purpose is to document the Contractor’s current field activities and to record
the progress of the work. The daily construction report should contain sufficient detail to
reconstruct the construction activities. Other documentation will supplement the daily
construction report to provide a detailed picture of all project-related activities. This
information provides the Resident Engineer and Project Owner the status of all field
activities, once signed by RE provides an independent means of verifying Contractor’s
job status reports for work progress. Further, the daily construction report assist the
Resident Engineer in determining Contractor’s monthly progress payments based on
work completion.
RESPONSIBILITY
When the construction phase of the project begins, it is the Contractor’s duty to create
the Daily Constructions Report (DCR) at the end of each workday. The Daily
Constructions Report should describe the work in sufficient detail to provide a record that
will stand alone as a definitive statement of the Contractor’s activities when read by a
third party. It should be possible to reconstruct the progress of the construction from the
DCR alone.
PROCEDURE
The reports prepared by Contractor & submitted to RE. The report must be completed by
the end of each day, and submitted to the Resident Engineer at the morning of next day.
Depending on the size, scope and current work in progress, the RE may request a daily
review. DCR’S shall include the following information:
1) Accurate and detailed description of the work performed:
2) Record accurate and detailed description of the work performed & work in
progress. What trade (Arch., Str., E/M Etc.), location, date started & completed,
Quantity or % complete
3) Describe weather, specify time AM & PM, temperature, day & date
4) Safety Observations or accidents that may have occurred.
5) List any equipment in operation or idled
6) List any tests taken e.g. compaction tests, pressure tests, electrical tests, etc.
7) List any corrective work or re-work performed.
8) List equipment or materials delivered or set in place.
9) Perform follow-up inspections of previously reported deficiencies (NCNs).
10) Complete DCR by the end of each workday.
11) List contractor’s & Sub-Contractor’s manpower available on site (Indirect & direct
manpower specifying the trade of each group or individual)
12) Other types of information specifically requested by the RE

4.4 Testing of Materials

DESCRIPTION
The contract documents specify requirements for materials used in the construction
process or in the completed facility. Testing of these materials is required to confirm that
both the material and the procedures conform to the contract requirements. The quality
of the finished product is jeopardized if materials are not supplied according to the
specified requirements.
WHEN TO IMPLEMENT
Material testing is performed as specified in the contract. Some material testing is
performed prior to delivery and installation. Other material testing is performed during or
after placement -e.g. concrete, asphalt, electrical and mechanical equipment.
RESPONSIBILITY
The Contractor is responsible for reviewing the specifications and making provisions for
the appropriate material testing. These provisions must be included in the Contractor’s
Quality Control Plan; The Contractor is also responsible for ensuring that any agency or
group that performs the testing is qualified. The Contractor is responsible for notifying the
Resident Engineer of all materials testing results. The Contractor is responsible for the
correction or replacement of any material that is found defective based on the results of
materials testing.
The Resident Engineer is also responsible for reviewing the Contract documents to
identify appropriate materials testing. His Inspectors are responsible for monitoring the
placement of materials during construction and for notifying the materials testing lab in
advance so that proper testing can be performed.
The materials testing lab must be present for materials tests as requested by the RE
staff. The lab staff collects samples and performs the appropriate tests. The materials
testing lab reports the sample results to the Resident Engineer.
The Resident Engineer is responsible for reviewing the Contractor’s Quality Control Plan
to ensure that the requirements for materials testing are met. The RE is also responsible
for reviewing the results of materials testing and ordering corrections or independent
testing as necessary to ensure a quality construction product. The RE is responsible for
notifying the Contractor regarding any unacceptable materials testing results.
PROCESS
Material testing typically includes, but is not limited to: aggregate, concrete, asphalt
products, soils, metal products, wood products, plumbing fixtures, electrical fixtures,
architectural products, and controls instrumentation.
The contract defines the testing performed by the Contractor. It may also allow for the RE
to perform independent material tests. The Contractor’s QC Plan includes the material
testing to be performed, the standards to be used, the frequency of the tests, which
organizations will perform the tests, what reports will be issued, what format will be used,
and when each type of test is required.
The RE may sometimes retain independent testing organizations to perform specialty
tests. A Flowchart of a typical process is included.


Section 4.4
Contractor develops QC
plan & Materials Testing
TESTING OF MATERIALS Requirements
FLOWCHART
RE / Inspector review RE reviews and approves
Contract to determine materials testing portion
appropriate material testing of QC plan
Materials testing
required
RE notifies materials testing Contractor performs the

lab of required tests specified testing
Lap personnel take sample

and perform testing
RE reviews test results
RE will require
corrective action or re-
Acceptable NO
testing RE may require
independent tasting
Yes
No corrective action
taken . RE may order
independent testing to
confirm results

4.5 Factory, Mill and Batch Plant Inspection
DESCRIPTION
Factory, mill and batch plant inspection is used to ensure that contract requirements are
followed for special equipment or structural components. The specifications can stipulate
that a RE representative will visit the facility prior to shipment to verify that equipment or
components are in compliance. Factory visits can prevent expensive delays or
prefabrication costs due to errors that cannot be identified during the submittal review.
Factory tests of equipment may be required and need to be witnessed and verified by
qualified personnel or their consultants.
Personnel visiting the factory may be the Project Owner, RE or consultant depending on
the expertise required or desired.
AVAILABILITY OF INFORMATION
Information to verify Contract compliance in a factory visit must be compiled by the RE

from the submittal, the specifications and drawings, and the designer’s knowledge. The
consultant designer can assist in verification that equipment or other construction
components meet criteria described in the specifications or shown on the Contract
drawings. All information available should be analyzed before the visit to the factory.
MEETINGS AND REPORTS
A meeting at the factory will normally follow a submittal review meeting with the
Contractor and factory representative. A formal report may be issued depending on the
nature of the component, conditions or tests required, or fabrication performed.
RESPONSIBILITY
The person visiting the factory should be the "designated expert" on the subject,
equipment or component. The expert may be a representative from RE, Designer or
outside consultant.
Tab on the following link for MANUFACTURING INSPECT REPORT EXAMPLE:-
Manufacturing Inspection Report

4.6 Delivery of Permanent Materials and Equipment
DESCRIPTION
The RE should assist the Contractor in checking and reviewing every piece of
equipment, and instrument against approved submittals to verify that it conforms to the
Contract.
This should be done as components arrive on the jobsite. This review and verification is
for the Project Owner’s and Contractor’s benefit. It can prevent installation of
unsatisfactory equipment and identify problems before they become too serious or
critical.
WHEN TO IMPLEMENT
Material delivery inspection occurs as equipment or material is delivered. The RE’s

inspecting personnel should be thoroughly familiar with the inspected components.
Asking the Contractor for notification when materials arrive should be done during one of
the first meetings. Implementing this task allows timely modifications or replacement, if
necessary.
RESPONSIBILITY
The RE assigns this task to one or two persons (Supervision inspectors), who are
familiar with the equipment being delivered and can readily identify errors, omissions,
and mistakes. All discrepancies should be reported to the RE. The RE will decide what
action to take based on the extent and types of discrepancies. Typical actions are:
 If the discrepancy is minor and no contractor action is needed, a simple note noting
the discrepancy and the RE’s acceptance is usually sufficient.
 Asking the Contractor for clarification or reasons for the discrepancies. The RE
should notify the Project Owner of the discrepancies and make him aware of the
action taken to resolve the problem. This process is usually followed when the RE is
unsure if the discrepancies interfere with the intended function.
 Issue a Non-Compliance Notice (section 3.19). This should be done immediately if
the RE believes the discrepancies will impair the intended function. A NCN may be
issued following the outcome of the preceding step.
For various forms used in deliver of Permanent Martials / equipment, tab on the
following links:
Construction Inspections
A flowchart showing the typical process is included.


4.7 Photographs and Video

DESCRIPTION
The Resident Engineer is responsible for photographs and videotapes of the construction
site during each phase: preconstruction, construction, and completion of the project.
Photographs and videotapes aid in identifying the status of the project, methods, and
construction techniques used. They are permanent records instrumental for exposing
potential problems or for keeping the Project Owner informed of the progress.
Photography and videotaping are vital elements that should be performed regularly for
every project.
RESPONSIBILITY
Inspectors are typically responsible for taking pictures because they spend more time in
the field monitoring construction than the Resident Engineer. The Resident Engineer
should assign an Inspector the duty of cataloging and organizing construction
photographs. Though Inspectors are primarily responsible for taking pictures, may also
be required to perform this duty.
A. Digital Cameras
The digital camera must be used. Practice shots should be taken of large and small
objects in different types of exposures to become familiar with the efficient use of all of its
functions: Cash, timer, wide angle, zoom, etc. As a caution, always check that the
batteries are energized when the camera is turned on. Do not use the digital camera if
the batteries are not adequately energized. Turn the camera off after use and recharge
the batteries by using the battery charger set.
The digital cameras use a removable disk or memory card to record digital images. A
card is assigned to each person responsible for taking photographs of recording the
images.
Down-Loading Pictures
All pictures taken can be downloaded from the digital camera onto the network drive or
PC hard disk for storage. After successfully downloading, erase all pictures from the
camera. This will free memory and allow the user to take more shots.
B. Video
Situations arise during the course of the project that will require more detailed
documentation than normally obtained with the use of photographs. In these cases,
consideration should be given to videotaping these activities. Examples include:
· Handling and installation of major equipment.
· Unusual repair procedures
· Rework
· Disputed work
The Resident Engineer will usually decide what activities require videotaping.

Downloaded pictures and video tapes must be organized by the RE or his designated
staff on electronic file folders. Each photographs must be properly provided with captions
immediately after downloading in order to ensure where the photographs were taken and
major concerns is highlighted from the pictures. Such photographs can be used either for
Monthly Progress Reports, issuing NCRs and to support correspondence to Contractor in
pushing delayed progress and major site concerns requiring contractor’s immediate
action.

4.8 Testing and Startup
DESCRIPTION
Testing and startup is the systematic inspection, testing, evaluation and starting of
individual mechanical, electrical, and instrumentation components. Following individual
testing, groups of equipment that operate as a functional system are tested. The purpose
is to evaluate the installation, operability, capability and functional parameters of the
components and system to ensure proper operation and compliance with the contract.
WHEN TO IMPLEMENT
Testing and startup occurs after the system components have been placed and
connected in the manner in which they are intended to operate. The system components
should be fully functional prior to testing.
PROCESS
This section of the manual addresses testing of installed facilities or systems of facilities.
However, there may have been numerous tests of the components before they arrived
on the Project site.
The Contractor is required to test the operation of each component upon completion of
its installation. During the testing and startup process, all individual components are
checked, tested and started individually prior to checking a system as a whole. This
testing is specified in each contract. In addition to the factory tests, the testing described
in this section may involve the following:
· Checking the physical installation, including equipment type, connections,

equipment pads, equipment connections
· Testing piping and valves for leakage and operability
· Checking physical connections to the operational system
· Testing “failure” modes.
· Checking electrical circuits, continuity testing
· Checking electrical, hydraulic, and pneumatic control systems and Instrumentation
· Loop testing
· Verification of proper indication of equipment status (Pump Running, Valve Open,
etc.)
· Vibration testing, deflection testing, noise level testing
· Checking the equipment at full operating conditions
· Performing a reliability test to check the long term operation
The contract may also specify operational testing be performed for set duration (48
hours or 10 days). The purpose of the operational tests is to test the systems,
subsystems, and components under conditions similar to what would be
experienced during normal operating conditions. The operational testing will require
the observation of several types of system components including safety valves,
pressure switches, indicators, controls, piping, pumps, valves, etc. Each operational
test is described in detail in the testing section of the contract.

RESPONSIBILITY
The contractor develops the test plan and will include all specified tests to be performed
on equipment or systems. The Resident Engineer will review this test plan to ensure
compliance with the contract requirements.
An agreement should be reached between the RE and Project Owner to identify who will
be required to attend each testing activity. Scheduling of the tests should be done well in
advance to ensure the participation of all parties. Representatives of the RE or Project
Owner should observe and confirm all testing.
The testing and startup is completed when all test results are approved and the reliability
test has demonstrated that the system functions as designed.
On many projects, flow charts of the testing are included in the contract documents.
Sample flow chart and a sample start-up checklist follow this section.

Activity Contractor RE Project Owner

Prepares plan and
Prepare, plan and
schedule and notifies Prepares RE staff and
schedule testing and Prepares Project Owner staff
parties in advance per notifies Project Owner.
startup activity
contract.
Observes tests and startup
Observes tests and
Complies with test operations. Make
Conform with procedure startup operations.
plan, schedule and Recommendations to RE as
for testing and startup Decides whether to
contract, documents. to whether to accept test
accept results.
results.
Prepare Prepares reports of Review reports and
testing/startup tests made and other maintain a file of the Reviews reports.
reports startup activities. reports.
Observes tests and startup
Makes necessary Observes tests and
Determination of operations. Make
corrections and repeats startup operations.
acceptability / make recommendations to RE as
tests as Decides whether to
necessary corrections to whether to accept test
necessary accept tests.
results

KEY Resident Engineering Procedures Manual

Mfg. = Manufacturing
Pre-OP. = Pre-operation Testing-Startup
PO = Project Owner Section 4.8
A/E = Architect /
Engineer FUNCTIONAL TESTING
EXAMPLE FLOWCHART
Contractor submits
factory test plan for RE witnesses Sheet 1 of 2
approval and testing. Contractor schedules
performs factory test. manufacturer's
Yes representative to inspect
Electrical Yes and certify installation.
Contractor Certifications are signed.
equipment meggars
RE may witness.
submittals motors. RE witnesses inspection
have been Contractor installs
with manufacturer's
Testing and
approved Is Mfg. Contractor
representative. RE researches and confirms all
Subsequent
Electrical
the equipment per testing. mfg. pre-op and start-
installation prepares
through Are there manufacturer's and NO meetings to up instructions for all items on
Contractor performs field
factory equipment contract certificate interconnect testing .
the NO required drawings.
review and allow the equipment are attached to
tests delivered to the requirements. power up. the Contractor's Pre-Op and
submittal required?
site Start-up form
process
RE witnesses testing and RE performs field test with
attends status meetings. contractor and reviews test
results
RE performs RE witnesses testing.
delivery/
acceptance.
Yes
Contractor submits Contractor schedules

factory test plan for manufacturer's
approval and representative to inspect
Yes performs factory and certify installation.
Mechanica test. RE may Yes Certifications are signed.
l witness
equipment RE witnesses inspection with Contractor performs Pre-Op

manufacturer's representative.
submittals Mechanical
and start-up and runs the
Contractor
Contractor installs Is Mfg. Mechanical/
Are there the equipment per installation equipment. Each step of all the
have been factory equipment manufacturer's and
certificate
No attached instructions are
Performance
Test
NO operates the
NO
approved tests delivered Contract
requirement required?
signed off, forms are
completed and signed as work
required? equipment.
through required?
to the site. progresses.
the
submittal
process
RE reviews equip.
startup & running PO, AE (opt)
plan) and approves witness testing.
startup

Resident Engineering
Procedures Manual
Testing-Startup
Section 4.8
OPERATIONAL TESTING
Contractor identifies and documents EXAMPLE FLOWCHART
operating problems. & repairs
Sheet 2 of 2
system as needed.
Contractor notified
of deficiencies and
makes corrections RE meets with the
before test. Contractor to Contractor notified of deficiencies Contractor notified of deficiencies and
discuss and makes corrections. Test may makes corrections. Test may continue
system problems continue or restarted as or restarted as determined by test
No NO and sends notice to determined by test failures failures.
contractor to repeat
test.
Contractor Contractor NO
notifies RE Contractor performs NO
that the system RE determines Contractor completes operational
Ready for Contractor
is ready for if system is
test?
Yes performs tuning Passes completes test with
Operational
ready testing. where the and assistance System pass Contractor Pass
testing. possible test? submits test from RE test? monitors reliability test. test?
results. and
Supervision
field
engineers.
Yes
Items verified:
1. Pipes & valves labeled.
2 .Fire systems signed off .
3.Breakers properly set for
motor operation. Testing complete
4. All mechanical, HVAC .. ., ; and
electrical RE RE coordinates with
RE witnesses RE assistance RE assistance with reliability
functional testing complete. witnesses Contractor to
testing. operational testing testing.
6.Vendor training completed or in final tuning. resolve problems.
stages of
completion
Supervision Field
engineers review RE assistance with
day-to-day resolution of
results of test and problems.
assists in resolution
of problems.
Supervision Field Supervision Field engineer

Supervision Field engineers run test and
engineers staff performs "hands-on" Finalizes tuning,
operational test. operator operator training, and
training. control strategies.

4.9 Punch list
DESCRIPTION
A punch list contains relatively minor portions of contract work that have not been
completed by the Contractor. It is compiled near the end of the project, subnet, or work
item and is used by the RE to track all remaining work necessary before Substantial
Completion (section 5.2) can be granted.
WHEN TO IMPLEMENT
A rolling (informal) punch list should be kept during the course of the construction project.
Items can be removed from this punch list as they are completed by the Contractor.
As a project, subnet or work item nears completion, the Contractor will request
Substantial Completion (section 5.2) normally via a letter. This will include a list of work
that the Contractor feels is necessary to complete to obtain Substantial Completion
Certificate. The RE uses this list along with items from the Supervision Inspectors and
Project Owner staff to compile a comprehensive punch list.
RESPONSIBILITY
The Supervision Inspectors are responsible for designating items that are added to and
removed from the rolling punch list.
The Contractor has the responsibility to make the initial request for the final punch list
though. The RE should form a committee that includes Project owner (or his
Representative) and all supervision inspectors and other technical staff to begin to pull
together punch list items. To help reduce the size of the punch list the RE should
encourage the inspectors to attempt to resolve items of incomplete work as they are
discovered. The normal relationship between the Supervision inspectors and the
contractor foremen is usually such that most reasonable requests are quickly resolve
PROCEDURE
Rolling Punch list

This is an informal list of items the Supervision Inspector tracks to ensure the Contractor
properly completes work as the project progresses. The format is up to the individual
Inspector as it is not something that is normally transmitted or distributed. It may be kept
electronically but a handwritten notebook is also acceptable; this is simply a tool for the
Supervision Inspector. Incomplete items on this list will form the basis for the Inspectors
contribution to the formal punchlist.
Formal Punchlist
(Refer to flowchart for further information)
1. RE notifies Inspectors, Project Owner staff and others to begin preparation of the
punchlist items. This is done after the Contractor’s official request. Staff will normally
schedule an official walkthrough. The RE should attend the walkthrough to answer
questions and clarify why certain work is incomplete. This will help eliminate review of
invalid items.
2. The RE transmits the list to the Contractor once all the items from all the contributors
have been completed. The RE should immediately issue the punch list to the
contractor. Of course. This list should be considered final and no more items should
be allowed to be added to the list. To do so only complicates the resolution of the
incomplete work and is unfair to the Contractor. There can, however, be several
exceptions:
 If the Contractor requests a preliminary list, the RE can oblige with the
understanding that the list is incomplete. The Contractor may want this to get
an idea of what types of items will be on the list or to get a head start on
performing the work.
 The list may be considered final for certain areas of the project only. Other
work might be in a different, incomplete subnet or activity that will not affect
punchlisted work.
3. The time duration for completing the punch list items shall be specified & agreed
among RE, Project Owner & Contractor.
4. The Contractor notifies the RE as items are completed and are ready for re-
inspection.
5. If the item is completed to the satisfaction of the RE or designated inspector, it is
signed-off on the Contractor’s copy. The date the item was completed as well as a
brief description of what was done to satisfy the requirement should be included. The
date is normally the date the item was verified complete; the description may be one
word (done, painted, completed, etc.)
6. If the item has been completed but in doing so, the Contractor created additional work
(such as painting or grouting) the RE notes that in both copies but does not sign-off.
7. If the Contractor believes the item is not required per contract and cannot resolve it
with the Inspector, negotiations with the RE will begin. The RE may:
 Agree with the Contractor and sign it off.
 Disagree with the Contractor and advise that it is required.
 Negotiate a resolution to the issue.
In any of the above cases, the RE should consult with the Inspector prior to
making any commitments to the Contractor.
Handing over procedure

No
Contractor
Contractor
reviews items Originator
completes
w/ originator satisfied?
items
(RE)
Requests
Contractor Yes
COntractor substantial
reviews
completion and
punchlist items
punchlist
Contractor Originator
Contractor signs-off item
discusses Originator Yes
disagrees with as complete on
problem with satisfied?
items Ctr's copy
originator
No
Contributors
(RE Originator
Inspectors, signs-off item
Contractor & in official copy
RE notifies PO) RE receives,
Resident Inspectors,
RE attends
prepare and reviews and
All items Punchlist Punchlist
Site project acceptable Yes entered into transmitted to
Engineer Project Owner to walkthrough submit lists to compiles
? database Contractor
submit RE punchlist items
punchlists Agrees with
Contractor and
NO signs off
Resident Engineering Procedures RE reviews

Disagrees with
the Contractor
item with
Manual
and continues
Contractor
to enforce item
Section 4.9
PUNCHLIST (PL)
Negotiates
equitable
resolution
FLOWCHART

4.10 Supervision Inspector Duties
DESCRIPTION
The inspection function is a vital component of project management effort. The primary
function of the supervision inspector is to document the activities of the contractor and
record the progress of the work. The supervision inspector is responsible for monitoring
quality assurance - to assure compliance with the contract documents and any
authorized amendments. The inspector is a valuable asset to the RE in monitoring costs
of additional work and determining productivity rates for components of the Work.
WHEN TO IMPLEMENT
Inspection occurs throughout the Project. Supervision Inspector functions begin with
mobilization and continue through completion of punchlist items at the Project’s end.
RESPONSIBILITY
The supervision inspector is responsible for the following activities:-
1) Observe field installation of work shown on Contract Drawings, in the

specifications, and other contract documents (such as submittals, RFIs, Site
Work Instructions (SWIs), and other formal correspondence) affecting scope,
cost and schedule of the work.
2) Notify the RE (in a timely manner) of any observed unauthorized deviations,
non-compliance notices, unsatisfactory workmanship, unsafe operations, etc.
that might adversely affect the quality, system operation, or schedule.
3) Maintain personal plans and specifications that reject the latest up-to-date
information such as Site Work Instructions (SWIs),, and other formal
correspondence. Thoroughly understand all requirements of the work as it
progresses.
4) Verify the Daily Constrictions Reports submitted by Contractor, that describes
the work in sufficient detail to provide a record which will stand alone as a
definitive statement of the Contractor’s activities when read by a third party. The
DCR’S should be completed at the end of each working day. Information, as a
minimum, shall include:
a. Record accurate and detailed description of the work performed & work in
progress. What trade (Arch., Str., E/M Etc.), location, date started &
completed, Quantity or % complete
b. Describe weather, specify time AM & PM, temperature, day & date
c. Safety Observations or accidents that may have occurred.
d. List any equipment in operation or idled
e. List any tests taken e.g. compaction tests, pressure tests, electrical tests,
etc.
f. List any corrective work or re-work performed.
g. List equipment or materials delivered or set in place.
h. Perform follow-up inspections of previously reported deficiencies (NCNs).

i. Complete DCR by the end of each workday.

j. List contractor’s & Sub-Contractor’s manpower available on site (Indirect &
direct manpower specifying the trade of each group or individual)
k. Other types of information specifically requested by the RE
5) Take photos periodically to show progress and other special circumstances.

6) Coordinate tests performed by the Materials Lab (e.g. soils compaction and
concrete samples) and surveying.
7) Cast concrete cylinders or cubes and slump tests when needed. Deliver cubes
or cylinders to materials lab if requested.
8) Witness performance tests.
9) Prepare punchlists and maintain a log showing the status of each item.
10) Monitor extra work or disputed work.
11) Thoroughly understand all requirements of the work progressing in the field.
(Must keep updated plans and applicable submittals in possession at all times)
12) Be familiar with other aspects of the project that need coordination. Interact as
necessary with inspectors of the other disciplines.
13) Attend the Contractor’s weekly safety meeting.
14) Attend Project Team meetings and provide feedback regarding out-of-sequence
work activities.
15) Provide input into the as-built process.

4.11 Construction Site Safety

DESCRIPTION
The goal is to maintain a safe working environment for employees, consultants,

contractors, suppliers of materials or equipment and members of the public who may visit
or travel through the work site. To accomplish this goal, everyone working on
construction projects is required to abide by appropriate safety procedures and ensure
every reasonable precaution is taken at all times to prevent accidents, injuries and
property damage.
A Contractor’s Safety Specialist should be assigned to support this effort. The Safety
Specialist and other staff members will assist in determining specific safety and health
requirements, identifying hazards and recommending methods of compliance or
corrective action.
RESPONSIBILITIES
The Contractor & Sub-Contractor(s)
The general Contractor is required in the beginning of the project to provide a safety
manual that will be used as guidelines in implementing safety on site. He should deploy a
qualified Safety Engineer/Manager, complete with his safety staff/ crew for large scale
construction projects.
RE & Site Supervision staff.
RE must assure a safe and healthful workplace for his employees Sub-Contractors,
Consultants, visitors, the public. Operations under the control of the Contractor must be
considered in such a manner as to ensure the safety of those who may be exposed to the
hazards.
For large scale projects, the RE must be supported by a well experienced Safety Engineer
who will assist him to monitor contractor’s safety compliance and safety plans.
He will also be responsible to review Contractors weekly and monthly safety report, will
preside safety meetings and issue notice of Non-compliance if site safety guidelines are
not being complied.
Every Employee
1) Although the law places primary responsibility for safety and health on the
Contractor, employees have certain responsibilities:
a. Obeying all occupational safety and health standards, rules, regulations and
orders issued.
b. Not removing, displacing, damaging, destroying, tampering with, or carrying
off safety devices, safeguards, notices, or warnings
c. Not interfering with the use of safeguards by others
d. Using PPE (personal protective equipment) such as hard hat, fall protection
equipment, safety glasses, hearing protection, safety devices (i.e., machine
guards, safety interlocks), and other methods or processes adopted for
employee protection.

REPORTING CONTRACTOR SAFETY VIOLATIONS AND HAZARDS
A. Resident Engineer
RE Office is responsible for observing the contractors performance and application of

safety and accident prevention procedures for all construction activities and personnel on
the project including subcontractors, visitors, and suppliers of materials or equipment. All
safety concerns observed must be reported to the RE.
If a situation poses imminent danger of serious injury or property damage, and contractor
personnel do not react to avert the danger, the work shall be stopped. However, stopping
the work is serious and should be a last resort. A work stoppage due to safety violations
or considerations must be immediately reported to the appropriate RE management and
Project Owner.
SAFETY INSPECTIONS
A. RE
RE may periodically review the contractor or subcontractors work area for ascertaining if
a safety hazard exists. If hazards are identified they shall be brought to the contractor’s
attention for corrective action. Any safety hazard that results in a work stoppage must be
abated immediately and at the contractor’s expense. No work in that area may continue
until abatement is complete or the unsafe condition no longer exists.
B. Contractors and subcontractors

Contractors and subcontractors are required to conduct periodic inspections for the
purpose of identifying and correcting existing or potential safety hazards to their
employees or to others. The Contract Documents usually require all prime contractors to
submit a weekly report that includes their inspection reports.
ACCIDENTS
Every Contractor has to develop an Emergency Action Plan that outlines their actions in
response to accidents resulting in bodily injury or property damage.
If an accident occurs at a Construction site, the Contractor shall be notified that

emergency response vehicles (ambulance, fire department, etc.) are needed or have
been called to the site.
Accident documentation required shall be maintained and be made available upon

request. In addition, a copy of the entire contractor’s Accident or Injury Reports, along
with consultant Supervisor’s Investigations will be immediately forwarded to the RE.

APPENDIX.
I. TYPES OF HAZARDS
A. Imminent Dangers
Imminent Dangers are hazards are that can reasonably be expected to cause death
or serious physical harm immediately.
B. Serious Hazards
Serious hazards can cause an accident or health hazard exposure resulting in death
or serious physical harm. Examples:
 An exposure exceeding an established permissible exposure limit, such as sand

blasting and/or coatings applications with inadequate respiratory protection or
ventilation.
 Conditions such as: unguarded Door openings, unguarded excavations, or

unguarded energized equipment.
 Practices, methods or operations that have been adopted or in use; such as

occupying excavations that require shoring or sloping, or working in unguarded
elevated areas without fall protection equipment.
 Accumulative Safety Hazards exist when a general safety hazard such as an

unchecked fire extinguisher is combined with several other unchecked
extinguishers in a work area. This accumulative safety hazard creates a serious
safety hazard
C. Other-Than-Serious Hazards
Other-than-serious hazards lack the potential for causing serious physical harm, but
could have a direct impact on employee safety and health.

CHAPTER 5
SUBSTANTIAL & FINAL COMPLETION

CHAPTER 5 - SUBSTANTIAL & FINAL COMPLETION
5.1 Introduction
When a project is complete it must be turned over to the Project Owner. This process,
known as “Closing out a contract,” entails several RE tasks. The sections in this chapter
describe the procedures necessary to ensure that the project has been completed in
accordance with the drawings, specifications and agreements made during construction.
These procedures will assist the RE in determining:
 What items of work remain outstanding (should be only minor items).

Minor items mean those items that do not prevent the Project Owner from
using the facility & be utilized for its intended purpose.
 The value of the outstanding work
 How to track the Contractor’s progress in completing the work
 How to deal with obtaining repairs after the work has been accepted
 How to fairly deal with the contractor during this closeout time
 How and when to notify the Contractor of acceptance.
Closing out a project can be a complicated task due to unresolved claims, disputes over
what is required work, what constitutes successful testing and other similar items that
could cause discord between the RE and Contractor. The RE should try to identify these
types of items as they arise and endeavor to resolve them expeditiously.

5.2 Substantial Completion
DESCRIPTION
Substantial Completion of a Project or specific part of a Project occurs when the

construction is sufficiently complete, tested in accordance with the contract and can be
utilized for its intended purpose.
Substantial Completion is not the same as acceptance and the only remaining work
should be minor or trivial. Non-conforming work at this stage of the project should be
minor in nature.
Substantial Completion of the project or portions of the project is the precursor to Final
Acceptance and Client Acceptance [refer to Section 5.3]
WHEN TO IMPLEMENT
This is normally implemented at or near the end of the project. The process is initiated by
letter from the Contractor requesting Substantial Completion. A preliminary “final
inspection” should be performed to determine if Substantial Completion is justified. An
actual final inspection is performed after completion of punch list items. Some projects
have multiple Work Items or portions of the project that may be completed in advance of
overall project completion; Substantial Completion may be granted for those portions of
the work.
The Project Owner has the right to take possession and use any completed or partially
completed portions of the Work.
PROCEDURE
Substantial completion is a multi-step process.
1. Throughout construction the Resident Engineer prepares a rolling list of items needing
correction or completion and provides the list to the Contractor periodically. [Refer to
Section 3.18-Non Compliance Notices, 4.9 Punch list] When the Project, or portion of
the Project, nears completion, the Resident Engineer updates the list of work items to
be completed well in advance of the final testing and start-up. The list is distributed to
the Project Owner for comment and to the Contractor for comment and remedial action.
It is updated as the Contractor remedies deficiencies. Then, when substantial
completion is imminent, the Resident Engineer, along with the Project Owner and
Contractor, determine the remaining items to be remedied.
2. The Contractor notifies the Resident Engineer in writing that the work or a specific part
of the work is substantially complete in conformance with the contract. The Contractor
requests that the Resident Engineer accept the Project as complete. The Contractor
attaches an itemized list of remaining items of work to be completed. If the Resident
Engineer determines that the work is not substantially complete, the Resident Engineer
writes a letter to the Contractor stating why. The Contractor then has to complete the

work described by the Resident Engineer as being incomplete to achieve substantial

completion.
3. If the Resident Engineer determines that the work is substantially complete and the
Project Owner can occupy and utilize the facilities, the Resident Engineer prepares a
definitive “punch list.” This is a list of work that is not complete or in conformance with
the contract. This list should not include warranty work. A sample punch list is provided
at the end of this section. The punch list items must be assigned a value. The Resident
Engineer will estimate the value of having a third party perform the corrective work,
enter this in the log and deduct such amounts from progress payments to the
Contractor. Retention held on progress payments is not intended to cover punch list or
non-conforming work and materials. The Resident Engineer also prepares a list of
issues related to acceptance that must be completed. Some of the items to be
considered in the punch list and related to final acceptance may include the following:
• O&M manuals
• Record drawings and As-Built documentation
• Permanent keying and keys
• Final cleanup
• Road, curb and gutter, sidewalk, and facility repair
4. The RE issues a letter stating the effective date of substantial completion. This letter
should summarize any outstanding issues and have the punchlist attached.
5. The Project Owner can operate the Project or portion of the Project once declared
substantially complete. However, the Project Owner will assume responsibility for
maintenance, security, and safety for the Project or the portion when the Resident
Engineer deems them substantially complete.

5.3 Final Acceptance
Final Acceptance
Final Acceptance is the act by which the Project Owner (via the RE) notifies that the
contractor has completed all construction work required by the contract, including punch
list work. Final acceptance follows substantial completion after 12 months (Maintenance
period). Warrantees generally start at substantial completion.
Notice of Completion (NOC)

Upon completion of all work including change orders, settling contractual issues (claims,
punch lists, defective work, etc.) O&M manuals, as-builts, and test reports,
A Notice of Completion (NOC) should be sent to Project Owner notifying Final
acceptance is granted, after which retentions are released to the contractor. Contractor
notifies all listed subcontractors and suppliers of the completion allowing them to file stop
notices.

5.4 Project Closeout Documentation
DESCRIPTION
It is important to ensure that all paperwork and outstanding issues are resolved and
documented in the completion phase of a project. Project closeout documentation items
include:
• Final Punchlist signoff
• Closure for SWI’S, RFIs (cost and time issue resolution)
• Warranties and guarantees
• As-Built documentation is received
• Completion of testing and training requirements
• Final updated schedule (As-Built)
• Submittals (especially outstanding submittals graded “C” & “D” )
• Final report
• Review project plans and specs for completion
• Demobilization
• SWI closure forms completed for each site work Instruction
• Final Progress payment
• Closure on all NCN issues
WHEN TO IMPLEMENT
Project closeout documentation should be prepared prior to the Contractor’s

demobilization and prior to the formal recommendation for RE & Project Owner
Acceptance.
PROCESS
The Resident Engineer, or designee, should review each of the above listed items to
ensure that all issues have been resolved and that there are no outstanding items that
would affect project closeout. All logs, files, and issues should be reviewed and
appropriate documentation verified or prepared to document closure of each issue. Some
items, such as Site work Instructions, have closure or completion forms. For other files, a
note to file will suffice.
All project files should be complete and organized and ready for archival.

CHAPTER 6
POST CONSTRUCTION ACTIVITIES

CHAPTER 6 - POST CONSTRUCTION ACTIVITIES
6.1 Introduction
DESCRIPTION
Post construction activities are performed after the construction is complete and are
associated with the project closeout. Post construction activities include:
• Final Progress Payment

• Record Documents
• Warrantees and Guarantees
• Final Report
• Field Office Demobilization
In general, these post construction activities are required to ensure that documentation is
properly closed and stored, that the contractor has received payment for the work
performed and that equipment warranties and guarantees have been received. In
addition, the final report should be issued and the field offices completely demobilized.
Each of the above activities is detailed in Section 6.

6.2 Final Progress Payment
DESCRIPTION
The final progress payment is the last payment made to the Contractor for the project. Its
purpose is to complete the financial commitments made by the Contract.
WHEN TO IMPLEMENT
The final progress payment should be requested by the Contractor when the construction
project is complete and all required items and documents have been turned over to the
Project Owner.
PROCESS
The Contractor submits the final progress payment estimate to The Resident Engineer.
The following conditions shall be met prior to approval of the final progress payment;
· The final Contract change orders is prepared

· All pending Contract change orders are resolved and approved by the Project
Owner
· Liquidated damages, if any, are determined
· Record documents are received and approved
· O & M manuals are received and approved
· Testing has been completed
· Punchlists items have been completed
· Warranties and guarantees have been received and verified
· Spare parts have been received and verified
· Releases obtained from property Project Owners affected by the Project (e.g.,
land used for Contractor’s storage yard) have been received and verified
· Bonds (e.g., guaranty bond, roof bonds, maintenance bond) are received and
accepted.


Activity Contractor RE Project Owner
Submit warranties and Obtains and submits to Verifies that Contract Reviews
guarantees RE requirements are met
Deliver spare Obtains and gives to Verifies that specified
parts Maintenance & spare parts are given to
Operations section Project Owner or his
Maintenance &
Operations section
Obtain release from property Obtains releases Verifies that Contract
Project Owners affected by requirements are met
Project
Submit bonds Obtain and submits to Verifies sufficiency and Receives
RE transmits to PE bonds
Prepare and review O & M Prepares Assists PE in review Reviews for
manuals accuracy and
completeness
Determine liquidated See specification Deduct from final payment Reviews
damages, if any assessed
Resolve outstanding issues Signs CCOs Resolves any issues with Reviews and
Contractor, prepares and signs CCOs
signs CCOs
Field Acceptance Determines effective date Assists RE as

and writes letter needed
Submit Final Progress Submits to RE Verifies accuracy and Assists RE in
Payment informs PE for their review
concurrence
Make final payment Accepts Project or issue Payment
NOC. Final payment to be
made by Project Owner


6.3 Record Documents (As-Built)
DESCRIPTION
Record drawings (as-built) show what was actually constructed. They form a record of
locations, types, sizes and other information about new or existing facilities encountered
or modified during construction. The purpose of creating a set of record drawings is to
provide accurate information for future modification, expansion, operation and
maintenance of the finished Project. Record drawings should be kept by the Contractor
from the start of the project and should be monitored by the RE throughout construction.
PROCESS
The Contractor should maintain a full-size set of contract documents that is marked to
show changes due to SWI’S, RFIs, PCOs, substitutions and CCOs. In addition, buried
and concealed work and utilities, whether new or existing, shall be fully dimensioned,
located and properly identified. Contractor submittals including O&M manuals become a
part of the record documents. The contract may require that this information be included
in the Project’s computerized design in addition to showing it on hard copies. The
contract will give direction as to what should be shown on the record drawings, in what
color it should be shown, and other required formatting details. The contract also
indicates the requirements for equipment O&M manuals.
The Contractor is required to keep record documents on the job site at a location
accessible to the RE. The Contractor shall keep these documents current. If the drawings
are not kept current, the contract may allow for a deduction from the Progress Payment.
Record documents shall be submitted and approved prior to final acceptance. The record
documents are transmitted by the Contractor to the Project Owner (Via RE)
RESPONSIBILITY
The Contractor is responsible for maintaining updated drawings according to

substitutions, changes or differing conditions discovered during construction. The
Contractor is also responsible for the submittal of correct and complete as-built
documents and O&M manuals.
The RE is responsible for reviewing the record drawings during construction and upon
receipt of the as-built. They also need to track which documents are required, those that
have been submitted, those that have been approved and those that need to be
resubmitted.
As-built drawings once submitted from the Contractor, are supposed to be reviewed by
the site engineers or inspectors starting or before the completion of structural works of
the project, based from marked up drawings and RFM (request for modifications).
Hence prior to completion of any discipline works, a master list of as-built drawings
needs to be submitted by the Contractor that will become the data base in monitoring as-
built submittals, either in progress, approved and disapproved. At the end of the project,

the RE shall review the list and ensure that all as-built has been fully submitted and
approved.
Complete sets of hardcopy and e-file will then be finalized by the Contractor, signed and
sealed by the RE and Contractor; and submit as part of close out document.

6.4 Warranties and Guarantees
DESCRIPTION
Warranties and Guarantees serve as the written assurance that, for specified time limits,
the items provided by the Contractor under the provisions of the contract perform
satisfactorily. Warranties and Guarantees protect the Project Owner from failure and
damage that result from poor performance or product failure or are a result of the
Contractor’s means and methods.
The Contractor is required to sign and deliver a guarantee that the project has been
constructed in accordance with the drawings and specifications prior to the issuance of
the final progress payment. The Contractor further agrees to repair or replace, without
cost to the Project Owner, any defective work attributed to faulty materials, poor
workmanship or defective equipment. The guarantee period is set by the contract and is
typically one year. However, for items such as roofs or specialized equipment the
guarantee period may be longer.
PROCESS
The warranty period normally begins immediately following successful completion of

reliability testing; this normally results in the granting of Substantial Completion. The RE
should review the specifications to determine what guarantees are required from the
Contractor and the specified warranty periods. For some projects several items of work
will reach completion at different times. Maintaining a log with completion dates and
warranty start and end dates is recommended for large projects that have several pieces
of equipment or work items with varying start dates and warranty periods. This is
especially helpful in processing Guarantee Requests (GRs)
The Project Owner is the one usually responsible for issuing a Guarantee Request (GR)
to the RE. The Project Owner normally becomes aware of any problem via a repair
request from M&O personnel. The Project Owner determines if the equipment is still
under warranty and if so issues the GR. The RE reviews the request for validity (still
under warranty, problem is Contractor’s, etc.) and, if valid, transmits a copy of the GR to
the Contractor. The request should be logged in the appropriate database for tracking.
Usually, the Contractor has ten days to perform the necessary repairs. The Contractor
will notify the RE when the repairs are completed. This notice is usually transmitted by
written notice using the response Section of the GR form. The RE, inspector or Project
Owner should inspect the repairs before accepting the fix. If the repairs are acceptable,
the log should be updated and the GR closed.
If the work is not satisfactorily completed within ten days, the Project Owner may perform
the repairs at the Contractor’s expense.
If the affected equipment must be returned to service immediately, the Project Owner can
perform the repair without notifying the Contractor, and the Contractor will be required to
reimburse the Project Owner for the repair costs.

6.5 Final Report
DESCRIPTION/PURPOSE
The Final Project Report consolidates in summary form all pertinent information about
the Project. It is used as a ready source of information.
PROCESS
Depending on the Project, a final report may be limited to construction related activities
or may give a much broader picture of the Project by describing its history, financing,
environmental issues, design criteria, operating concepts and construction-related
activities. The former should be prepared by the RE; the latter by the RE and Project
Owner.
The writer(s) should visualize what others might want to know about the project in years
to come. The target audience is not only those who participated in its development, but
also those who can learn from the experiences gained during the Project.
The construction related portions of the report should include special construction
methods used on the Project, a breakdown of the cost, equipment and manpower used
by the contractor, the as- built schedule, the stages of constructions, any underground
construction problems, and other relevant data. Change orders should be discussed in
the report, including the reasons for each change and what their affect was on
construction cost and contract duration. Recommendations should be made for
corrections to the Contract documents.
The report should point out positive accomplishments during construction as well as the
negative aspects. If partnering was used it may be helpful to have a summary of what it
achieved. Lessons learned during the Project are useful. Situations, procedures, design
or other things to avoid would be useful.
The report should be used as a reference document and filed in an easily accessible
location. The RE and Project Owner will receive a copy of the final report and make
appropriate distribution.

6.6 Field Demobilization
DESCRIPTION
Field office demobilization includes all activities that are associated with closing the field
office at or near the end of the Project. The purpose is to return borrowed equipment and
material, to move Project Owner equipment and material to another office, to close out
the files and any other tasks necessary to close the office.
PROCESS
To start, prepare an inventory of all property in the field office that includes the property
Owner (name, company) and location for its return. Property that might be included:
 Drawings
 Reference books and standards
 Drafting equipment
 Office equipment
 Office furniture
 Records
 Reports
 Documents
 Supplies
 Inspection equipment
 Testing equipment
 Communications equipment
 Computers
 Vehicles
 Video and still cameras
 Personal protective equipment
If the Contractor has furnished the office, terminate any obligations for telephone or other
utility services. Return items on the inventory to their Property Owners.
Carefully review records so that their disposition will not create a redundant storage
problem; any deficiencies in the Project files can be rectified by adding copies from the
field office. Redundant and unnecessary copies from the field office should be recycled
or destroyed.

Activity Contractor RE
Prepare inventory Prepares list
Close field office Assumes control of office if Closes office
Contractor furnished
Return items to proper Receives items belonging Returns items to
Property Owner to Contractor Project Owners
Dispose of field office Adds to Project files to
files eliminate deficiencies
or recycles

Abbreviations
Abbreviations
RE Resident Engineer
PO (Project Owner) - Client or Customer or Employer
REPM Resident Engineering Procedures Manual
PMP Project Management Plan
A/E Architect/Engineer
RFI Request for Information
PCO Proposed Change Order
CCO Contract Change Order
COR Change Order Request
SWI Site Work Instruction
CPM Critical Path Method
PC Payment Certificate
PPR Progress Payment Request
PPC Progress Payment Certificate
PPE Progress Payment Estimate
IR Inspection Request
NCN Non-Conformance Notice
PR Public Relations
O&M Operations & Maintenance
BOQ Bills of Quantities /Schedule of Values(Rates)
NTP Notice to proceed
DCR Daily Construction Report
LD Liquidated Damages
QA/QC Quality Assurance/Quality Control
QA Quality Assurance
QC Quality Control
PM Project Manager
HSE Health, Safety & Environment
RFS Request for Substitution
SS Specification Section
PMO Project Management Office
WP Work Permit
ITP Inspection Test Plans

Associate value Specialist Resident Engineering Procedures Manual Abbreviations –Page-1
Glossary
Glossary
The Architects and Engineering firm(s) responsible for the design of the
Architect/Engineer
construction project.
Consultant A person or organization hired to assist in administration of the contract.
The method used to develop construction schedules. The critical path is the
Critical Path Method
series of activities that control the duration of the project.
Designer See Architects/Engineers.
Project A construction job on site.
The process of verifying that the product conforms to the plans and
Quality Assurance
specifications.
The process used to obtain a product that conforms to the plans and
Quality Control
specifications.
The Owner of Construction Project or The Project Owner’s representative.
Project Owner
(The Customer)
The BOOK. The set of documents that verbally describe the construction
Specifications
specification requirements of a project.
Work Item A combination of related subnets

Associate value Specialist Resident Engineering Procedures Manual Glossary–Page-1

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Resident Engineering Procedures Manual

Resident Engineering Procedures

Version Date: 01st Jan.2014

Author: Jehad AK. Bakeer, PMP, AVS

RE Manual Navigating Procedure in the electronic copy:

Author: Jehad AK. Bakeer, PMP, AVS

Technical & Contract Administration Administration

TASKS · Contract Administration Inspection & Testing;- · Document Control:-

Site .... Engineer/Site ....

Senior Land Surveyor Land Surveyor

Author: Jehad AK. Bakeer, PMP, AVS

Author: Jehad AK. Bakeer, PMP, AVS

RE Manual Navigating Procedure in the electronic copy

Author: Jehad AK. Bakeer, PMP, AVS

Author: Jehad AK. Bakeer, PMP, AVS

Author: Jehad AK. Bakeer, PMP, AVS

1.1 THE INTRODUCTION

The complete Manual comprises of three (3) Volumes:-

1.2 Scope of the Procedures Manual

• Bidding and Award Phase

1.3 USE OF THE PROCEDURES MANUAL

Author: Jehad AK. Bakeer, PMP, AVS

1.4 Flow charts

1.5 REVISIONS TO THE PROCEDURES MANUAL Need for

To be an effective Project management tool, the Procedures Manual needs to be a living

Responsibility for Revisions

Post-construction activities under the responsibility of the Construction Site Project

 Wrapping up the final Contract details

1.6Staff & Organization (Volume 3 of 3)

Back to the Table of Contents

COMMUNICATIONS AND CORRESPONDENCE

Author: Jehad AK. Bakeer, PMP, AVS

An important element of a successful project is communication. During the construction

2.2 COMMUNICATIONS ON THE JOB SITE

2.3 VISITORS TO THE JOB SITE

2.4 AVAILABILITY OF INFORMATION

 RE estimates of changes prior to receipt of the Contractor’s proposal.

2.5 MEETINGS AND REPORTS

 Safety, housekeeping and environmental

2.6 PUBLIC RELATIONS

Occasionally, interested parties or dignitaries may require the involvement of the

The Contractor should not be interrupted by persons looking for miscellaneous

One of the essential components of a successful Project is the timely processing of

2.8 DISTRIBUTION OF CORRESPONDENCE

Back to the Table of Contents

Author: Jehad AK. Bakeer, PMP, AVS

Author: Jehad AK. Bakeer, PMP, AVS

PMO mission is to provide support on contract administration, management, and

3.2 Project Management Plan

Author: Jehad AK. Bakeer, PMP, AVS

Author: Jehad AK. Bakeer, PMP, AVS

3.3 Notice to Proceed (Project Owner to Contractor)

Contractor's NTP & Site handover

Back to the Table of Content

Author: Jehad AK. Bakeer, PMP, AVS

3.4 Pre-Construction Conference (Kick off Meeting)

 Proper protocol, responsibilities and authority

The Pre-Construction Conference (kick-off Meeting) is normally scheduled shortly after

2. The Resident Engineer prepares the conference agenda (Sample preconstruction /