Construction Administration

 

4.0 Construction Administration


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4.1 Daily and Weekly Reports of Construction

4.1.1 Purpose and Definitions

The Daily Inspection Report is to be completed by each inspector doing construction inspection each day and covers the work of all Contractors, subcontractors, tiered subcontractors and utility companies that the technician observes during that day’s operations. One daily work report per inspector, per day, per contract, is required.

The following definitions are referenced in this section:

Daily Inspection Report: the original source document from which the work accomplished by the Contractor, associated pay item increases and other project events are recorded daily. Engineer’s Weekly Summary: This document provides a summary that gives project status and documents significant events, conditions or circumstances, which immediately affect, or have future impact on, the project or contract.

Work Plan - Controlling Item of Work: This documents the Contractor’s planned schedule of work identifying those items of work that will control the over-all progress of the Contractor’s work effort.

4.1.2 Daily Inspection Report

A Daily Inspection Report is completed by each inspector responsible for the inspection of work during each contract workday. The prime Contractor, subcontractor, subordinate subcontractor, rental company, or utility company may perform the work. Additional forms, or additional pages can be used but user should appropriately number all the pages.

A Daily should be prepared for every contract day for the Prime Contractor, regardless, whether the Prime is working on the project or not. A Daily should also be prepared for every subcontractor and utility company on the project. In the event that the subcontractor leaves the project for a long period, a Daily need not be prepared for the subcontractor during the period of absence, provided, it is noted on the Daily for the day the subcontractor last worked that the subcontractor intended to leave the project and on the Daily for the day the subcontractor resumes work that the subcontractor did not perform any work for the period with specific dates. Dailies prepared for utility companies performing work should be prepared similar to that for subcontractors. A new week starts on a Monday and ends on a Sunday.  Information to be collected includes but is not limited to the following:

1)     Project Number,

2)     Date,

3)     Contract Day,

4)     Contract Number,

5)     Contractor’s, subcontractor’s, rental company’s or utility company’s name,

6)     Operation (work) being performed,

7)     Location of reported operations,

8)     Time each operation begins and ends,

9)     Number of Contractor, subcontractor or utility company personnel,

10)  Materials received (general description),

11)  Equipment idle or active

a)     The “Equipment ID” space will be used to record a unique identifier for a single piece of equipment whenever necessary to track a specific piece of equipment or a unique group identifier when grouping several like pieces of equipment together. Otherwise, the equipment should be recorded similar to the format used by Blue Book.

b)     "# of Pieces" will be used to record the number of pieces of equipment present on or at the job site. If "Equipment ID" was for a unique piece of equipment then the quantity shown would be one, otherwise it would be the total number contained within the group identified by the "Equipment ID".

c)     "# Used" will be used to record the number of pieces on or at the job site that is being actively used that day.

d)     "Total Hours Used" is the total number of hours that the identified equipment is being used.

12)  Pay Item Number for the work being performed.

13)  Weather conditions (AM and PM),

a)     Use  terms  such  as:  clear,  partly  cloudy,  heavy  clouds,  light  rain,  heavy  rain, intermittent showers, etc.

b)     State length of time, i.e., all day, 4 hours, 8:00 - 10:00 A.M., etc.

c)     Report soil conditions: dry soil, wet soil, extremely wet soil.

d)     Working conditions

e)     Effects of weather on major work items,

f)      Any delays, including any items of work affected; any extraordinary work being performed; unusual or unexpected conditions such as flooding, sinkhole, etc.

14)  Remarks include anything pertinent to the progress of the projects such as: Instructions given to the Contractor or subcontractor or their representatives.

15)  Work or materials rejected and why.

16)  Any discussions with representatives of the Contractor, subcontractor or utility company

17)  Observations by the technician of significant importance to the project progress

18)  Lane closure, traffic disruption, etc.

19)  Contacts with property owners, media, etc.

20)  CPM activity ID # (when applicable)

21)  Observations by the technician of unacceptable Contractor quality control practices

22)  All notes must be objective. Opinions are not permissible when recording activities, observations or discussions.

The Daily Inspection Report is completed and signed by the inspector responsible for inspection of the activity with the ACTUAL number of hours the technician is on the project being recorded. The Project Engineer is to review and initial the reports.

Note the section titled "Estimated Work Performed". This section is for recording estimated quantities for each unit of a pay item worked on a daily basis. The Project Engineer is responsible for summarizing all estimated pay quantities. Although the recording of estimated quantities is required on a daily basis, the summary of these quantities and submittal frequency is left up to the Authority provided the monthly cutoff timetable is met. This section is for recording "estimated pay item quantities".

Provide the Contractor with a copy of each Daily Inspection Report and the Engineer’s Weekly Summary.

4.1.3 Engineer’s Weekly Summary

The Engineer’s Weekly Summary,, is to be completed by each Project Engineer for each project or contract. The weekly period is from Monday through Sunday. A summary is completed every week including periods of no work.

The summary must give project status and document significant events, conditions or circumstances which immediately affect, or have future impact on, the project or contract. The summary includes completion percentages for job progress and elapsed time. The Engineer must note items such as:

1)     Contractor’s or subcontractor’s progress versus schedule or work plan,

2)     The day of the week the Contractor or subcontractor stopped work or began work,

3)     The day of the week the Contractor elected not to work or was unable to work at least 50% of the normal work day on a pre-determined controlling item of work item due to adverse weather conditions.

4)     The items which change the plans, specifications or contract which could lead to:

a)     Contractor claim

b)     Request for a time extension

c)     A supplemental agreement.

5)     For utility relocation construction, it is important to note the contract agreement number, the beginning date and the ending date of work.

6)     Contractor made repairs to work damaged by weather

7)     State if a particular subcontractor finished all the contract work and has left the project for good. If the Prime or the Sub has not been on a project, state accordingly the last date they worked on the project.

8)     Other items affecting the contract or project.

4.1.4 Office Logs and Reports

Various logs shall be maintained by the CEI during the course of the Project such as:

1)     Submittal Log

2)     Sublet Log

3)     Shop Drawing Log - The CEI staff must maintain a tracking log on either a hard copy spreadsheet or with the preferred method of a computer spreadsheet. The spreadsheet should have the appropriate project identification information at the top of the sheet and should be entitled "Shop Drawing Transmittal Log". Typical spreadsheet shall contain the following information  for  the  normal  review  process;  other  information  related  to  the  CEI  staff submittal dates may be required if the CEI staff receives submittals directly:

a)     Submittal/Transmittal Number

b)     Submittal Description

c)     Date the Contractor submitted to the Engineer of Record

d)     Engineer of Record review status: i.e. Approved, Approved as Noted, Not Approved

e)     Date the Engineer of Record submitted to the GEC

f)      GEC review status

g)     Date the GEC sent out submittal back to the Contractor

h)     Total duration of the review

i)      Comments

4)     Request for Information Log

5)     Outstanding  Issue  Log  -  Each  log  shall  be  identified  and  dated  on  the  first  and  each succeeding page. These logs are to be maintained and reviewed by the CEI for submittal and review by the Authority when requested. These logs shall be reviewed at the weekly coordination meetings with the Contractor.

6)     Notice of Failing Test Report (NFTR) Log – This log contains a summary of NFTR’s for the duration of the project, and a brief description of the resolution of the report. For details regarding NFTR usage refer to ACPAM Section 4.9 for clarification.

4.1.5 Field Reports

Field book notes are site source documents. It is important when preparing records of this type to assume that all persons who will use your notes have no familiarity at all with the work you are recording.  Field books  are  extremely important  as  site source records  for  establishing pay quantities. They may be required as evidence in any arbitration or lawsuit. They should be tracked carefully to avoid loss and provide a measure of accountability for those project personnel to whom they are issued.

1)     Only standard bound field books will be used.

2)     The front cover of each field book shall be identified with bold letters to show Project Number,  Contract  Number,  Field  Book  Number,  State  Road  Number,  and  the  general contents of that book.

3)     Each field book shall be clearly indexed with a complete list of the contents beginning on the first lined page, which is to be numbered one (1).  All following pages that are used to record notes shall be numbered sequentially in the upper right corner of each right hand page.

4)     The date, weather conditions, and the name(s) of the field party shall be shown on the field book page at the beginning of each day’s notes. Well documented field records are indispensable when the Authority is involved in litigation. (Also identify pay item number, original/final sections etc.)

5)     Never erase in any field book. Corrections shall be made by striking through the incorrect data and inserting the correct data close to it. All such corrections shall be initialed and dated by the person making the correction.

6)     Do not cut or otherwise remove pages from any field book. If an entire page is found in error, mark the original page VOID and show a note referring to the page where that item of work was corrected.

7)     Keeping notes on loose-leaf or scratch pads and transferring them to the field books is prohibited. Field notes shall be entered directly into the field books at the time and the place the work is originally done. The exception to this rule is measurements entered directly on Latitude and Departure sheets or directly on the Final Computation Book Forms. In all cases, erasures as detailed in (5) above, is prohibited.

8)     Field records shall always be legible with sufficient sketches and explanatory notes to convey the intent to a person who is not familiar with the job. Good sketches are most important when recording final measurements. The details of the sketches do not need to be elaborate, but shall be sufficient to clearly show the extent of the work as well as any exceptions.

9)     Use standard symbols and abbreviations. Keep the notes simple and avoid making ambiguous statements.

10)  Show all of the pertinent measurements and observations. Use a degree of accuracy that will be consistent with operations. If there is any doubt about the need for data, record it. Review the data for accuracy and completeness before leaving the field.

11)  When practical, record all the notes for one item in the same book and at the same place in the book. This may necessitate the use of a few more field books, but it will avoid confusion and transposition errors.

12)  A complete summary shall be made for each item at the end of its field notes. This item summary total will then be checked twice and initialed by those persons doing the final estimate and entered on the summary sheet of the computation book. At this time, the summary and the field books shall be properly cross-referenced.

13)  Keep the calculations and measurements for JPA and non- JPA items in separate field books.

14)  When more than one job is constructed under the same contract, separate field books shall be set up for each job and the measurements and other data shall be kept separate for each Job.

15)  Field records for projects let under separate contracts shall never be recorded in the same field book. Field books shall contain only records related to a single contract.

16)  All field Books shall have a unique number assigned.

17)  Do not cramp notes. Neatness and legibility give credence to the accuracy of field notes and the calculations which they support.

18)  The alignment field book shall be submitted with the final estimate package. It shall contain all the necessary information for horizontal control for new construction projects and major widening projects.

19)  Field books used for recording alignment and pile driving data are to be retained until the structure that they were incorporated in is removed. Special care shall be exercised in labeling alignment and piling field books as a permanent record.  Separate field books shall be kept for these purposes, with front outside covers labeled with a large red letter “P” and circled in red to indicate a permanent record.

20)  For roadway plan quantity items (e.g., embankment, excavation, stabilization and limerock), the CEI is to establish procedures that are reviewable and verifiable to ensure that estimated quantities paid on the monthly progress estimates are accurate.  The CMC will review the CEI’s procedures and methods prior to the start of construction, and periodically during the life of the project, to ensure that periodic payments for plan quantity items are accurate.


4.2 Pay Estimates

4.2.1 Purpose

This procedure provides a uniform standard for processing progress payments to the contractors and summarizes the legal documents, affidavits, and other documents required for the preparation, checking, and payment of final estimates.

Progress estimates will be prepared and submitted monthly for each project to determine the amount payable to the Contractor. Certification by the contractor that they have paid their subcontractors and suppliers of material and equipment their proportionate share from the last progress payment is required each month (link CG-E01 Certification Disbursement of Previous Periodic Payment to Subcontractors). It is the responsibility of the CEI to check the Contract and Specification requirements to ascertain that each monthly estimate package is complete with all essential documents. Any outstanding documents must be requested from the Contractor with instructions to forward them to the Authority.   It is the CEI’s responsibility to inform the Contractor of the Authority’s required documents to process the monthly payment. All contract documents are to be time/date stamped when received by the Authority or their designee.

4.2.2 Time of Submittal

Monthly progress estimates will be prepared and submitted for each project underway as determined by the Authority but no later than the seventh of every month. Dates may be adjusted in some situations to allow for holidays and other factors.  Some projects allow payments twice a month as an incentive for exceptional Contractor performance.

4.2.3 Preparation of Estimate

The monthly progress estimate will be prepared to show the quantity changes for all items completed, partially completed or stockpiled for use on the project. For items underway, the estimate of work completed will be done using the Florida Department of Transportation’s Preparation & Documentation Manual Attachment 3-1 Standard Basis for Estimating Pay Items.

There are three sections of the pay estimate:

1)     Contract Work – Payment for work performed in accordance with the original pay items.

2)     SA Work – Payment for work performed in accordance with pay items on executed Supplemental Agreements.

3)     Extra Work – Payment for work performed after Authority approval but prior to SA Execution. (It is important to remember to transfer payment from Extra Work to SA Work once the SA has been executed.)

The following steps are those the CEI should follow in preparation of the Pay Estimate:

1)     The monthly payment shall be for work performed in the field and approved stockpiled materials. In special applications, the Contractor may be compensated under the category of “Extra Work”, for work covered by a Supplemental Agreement that is in process.  No supplemental agreement work will be paid under S.A. work until the Supplemental Agreement is fully executed.

2)     The  Contractor  shall  submit  to  the  Project  Engineer  a  Request  for  Payment  of  stockpiled materials eligible for reimbursement.  See paragraph 4.2.4 below.

3)     On a daily basis, the CEI will make accurate measurements, calculations and document this in the CEI Computation Books, Field Books, or other Site Source Records.  These daily observations and records are summarized monthly as a part of the Contractor pay estimate processing.

4)     Monthly Retainage shall be withheld on monthly Pay Estimate consistent with the Contract.  See paragraph 4.2.5 below.

a)     Contractor’s Certificate of Disbursement of Previous Payments

b)     Construction Compliance with Specifications and Plans

c)     DBE Payment Certifications

d)     Monthly DBE Status Report

e)     Payment Documentation Log (if the project has a Joint Project Agreement(JPA))

f)      Work Order Log (link form)

g)     Fuel Adjustment Calculations/Backup (if applicable)

h)     Owner Direct Material Purchase Payment (if applicable)

i)      ODPM Stockpile Material Log and Worksheet(s)(if applicable)

j)      Stockpile Material Log (if applicable)

k)     Certification and Request for Payment for Stockpile Materials (if applicable)

l)      Contractor’s Certification of Quantities Bituminous and Polymer Material (if applicable)

m)   Any exceptions to the estimate and/or recommendations for additional retainage be withheld

4.2.4 Stockpiled Material

Partial payment for stockpiled material, when requested by the contractor, will be in accordance with Section 7.6.5 of the General Specifications. The contractor is required to submit a Certification and request for Payment for Stockpiled Materials Form (link form no 700-010-42) which is signed by both the contractor and verified by CEI.   It is mandatory that documentation be maintained to justify the quantity  changes  for  the  monthly  progress  estimates.  The  use  of  the  inspector's  daily  report  of construction  on  weekly  estimate  worksheets  or  daily  ledger  will  prove  to  be  helpful  and  may  be considered adequate documentation; however, any method that provides complete and accurate records of pay quantity changes is acceptable for the monthly estimate.

4.2.5 Projected Cash Curves

If the project specifications require the Contractor to revenue load the CPM schedule (General Specifications 6.3.3.4.5) the CEI shall prepare a graph of the projected earnings versus actual earnings and submit this with the last pay estimate of each month,.  The graph of time and monies will include 2 or 3 ‘S’ curves based on the following criteria:

1)     The Contractor’s projected earnings generated from the current approved baseline schedule.  The Contractor’s projected earnings revenue/cost data is defined as the average of the early and late start revenues from the Contractor’s CPM.

2)     The actual total earnings for each pay estimate including supplemental agreements, extra work, fuel and or bituminous adjustments and stockpile materials (both regular and ODPM)

3)     If the pay estimate includes stockpiled materials – the third curve will be the actual total earnings excluding the stockpiled material monies (both regular and ODPM).

The horizontal axis will be the time in month and year and the vertical axis will be the revenue/cost in millions. The graph will include a legend identifying each curve

4.2.6 Retainage

Retainage shall be in accordance with Section 7.6 of the General Specifications. When retainage is be held from the contractor the CEI will include retainage tracking log (link form) with the pay estimate. Some contracts may have special provision requirements, which change the standard schedule.         The standard schedule of Retainage is:

% Contract Amount Completed                                      Amount Retained

0 to 75                                                                          None

75 to 100                                                                    10%  of  value  of  Work  completed  exceeding  75%  of Contract                  Amount

After the Contractor has furnished to the Authority all submittals required by the Contract and the CEI has determined that the measurement and computation of pay quantities is correct, the Retainage may be reduced to $1000 plus any amount the Authority elects to deduct for Defective Work.

4.2.7 Liquidated Damages

When the contract time is exceeded, liquidated damages must be withheld from the contractor. The contractor is charged for the defaulting days, which are the calendar days between expiration of the present contract time and the cutoff date of the estimate. This amount is to be calculated and entered on the estimate worksheet.  When supplemental agreements and time extensions are pending that would add sufficient contract time so that the contract time is not exceeded, liquidated damages may not be assessed pending execution of these instruments.

If liquidated damages are assessed against the contractor a summary of Liquidated Damages must be submitted with each pay estimate.  The summary should show the last chargeable day, the current day, substantial completion date, final completion date, milestone dates and the total number of days charged at any variable rates per the contract.

4.2.8 Contractor’s Monthly Payments Process Procedure:

1)     The standard monthly cut off is on the 25th of each month

2)     The CEI submits the estimate to  CMC or Authority designee within seven (7) working days after the cut-off date

3)     CMC or Authority designee submits the estimate to the Authority within three working days of receipt of the estimate.

4)     The Authority will release the estimate checks on the last working day of the month in which they receive the estimates.  For example, the check for the February 25th  cut off will be released on March 31st.

5)     Contractors may pick up their check from the Authority’s office at 4974 ORL Tower Road, Orlando, FL  32807.  However, this is only allowed after the contractor has contacted OOCEA’s Contract Support Specialist at 407-690-5000 to make the necessary arrangements.

6)     If contractors do not pick up their check then the check shall be mailed the last working day of the month.

7)     Contractors may also have their checks deposited electronically.  To do so, they must complete the Authority’s Electronic Funds Transfer form (ETF), forward to their bank, and return to the Authority.

Note:      For the monthly 25th estimate cut off dates, the contractor must submit the required monthly estimate documentation forms to the CEI within three (3) working days after the cut off to prevent delays to the above process.

4.2.9 Contractor’s Semi-Monthly Cut Off Process Procedure:

For the first (additional) pay estimate of the month:

1)     The standard semi-monthly cut off is on the 9th or 10th of each month

2)     The CEI submits the estimate to  the CMC or Authority designee within seven  working days after the cut off

3)     CMC or Authority designee submits the estimate to the Authority within three (3) working days of receiving the estimate

4)     The Authority will release the checks on the last working days of the month in which they receive the estimate

For the second (standard) pay estimate of the month:

1)     The standard semi-monthly cut off will occur on the 25th of each month

2)     The CEI submits the estimate to the CMC or Authority designee within seven (7) working days after the cut off.

3)     CMC or Authority Representative submits the estimate to the Authority within three working days of receipt of the estimate.

4)     The Authority will release the checks on the Friday of the week between the 15th and 20th of the month in which they receive the estimate


4.3 Subletting of Contracts and Rental Agreements

4.3.1 Certification of Sublet Work

The prime Contractor will submit a Certification of Sublet Work, (link Form No. CG-P04), before a subcontractor begins work.   When a Certification of Sublet Work is submitted, a review to insure item numbers are correct, legible, and work clearly identifiable, shall be performed by the CEI. The CEI will approve or disapprove the sublet and return a copy to the Contractor.  This information is made available to others and shall be written and/or typed in a manner that can be clearly understood. If the Contractor sublets a part of a contract item, the Authority will use only sublet proportional cost in determining the percentage of subcontracted normal work.

When a subcontractor (Firm "A") fails to complete work and another subcontractor (Firm "B") is authorized to complete the remaining portion of the work, a sublet certification identifying work actually performed by the subcontractor (Firm "A") shall be submitted to revise the first certification. This revision will replace/modify the original certification and should be so specified. A new certification shall be submitted by the replacement subcontractor (Firm "B") reflecting work to be performed, whether totally or partially.

4.3.2 Documentation by CEI

Certification of sublet work will be retained by the CEI and kept on file until the project has been final accepted. A copy of each certification to sublet shall be made a part of the final project records.

Regardless of the prices agreed upon with the subcontractor, the total amount shown on the sublet certification form shall be the same as those in the contract with the Authority where it is proposed to sublet all work in a pay item. If it is proposed to sublet only part of the work in a pay item, such item shall be designated with "P" and the unit price shown shall be the actual price agreed upon with the subcontractor.

4.3.3 Rental Agreements

When the Contractor proposes to accomplish any work on the project using rental equipment, he shall notify the CEI in writing in accordance with Section 6-2 of the General Specifications. The exception to this requirement is when the Contractor rents a piece of equipment (without operators) from an equipment dealer  or  from  a  firm  whose  principal  business  is  renting  or  leasing  equipment.  Under  those circumstances, the notice provisions herein set forth need not be followed.

The Contractor may rent the equipment with or without an operator. When equipment is rented with an operator, it must be the type of equipment that substantially requires the constant attention of a trained operator. Renting of a crew, including non-operator personnel, is not permitted, with the exception of when a crew is required specifically for maintenance and operation of the equipment, and is in no way associated with the work being performed.

The Contractor may notify the CEI using Notice of Rental Agreement(link Form No. CG-P07), or similar format as long as it contains all of the required information. The notice must contain a listing and description of the equipment, a description of the work to be performed with the equipment, an indication of whether the rental includes an operator, project information, the name of the prime Contractor and the name of the company from which the equipment is being rented.

A Notice of Rental Agreement, should not be used as a substitute for a subcontractor agreement. When a task job, or work item requires a supervised crew, i.e., a crew with a supervisor, foreman, lead man or other work directing personnel, then a Notice of Rental Agreement does not apply. A Certification of Sublet Work, is required.

An equipment rental agreement is not required when MOT items are leased from a company whose principal business is renting or leasing MOT items. When MOT items are initially delivered, installed, maintained, moved, and retrieved by an independent company, then a Certification of Sublet Work is needed. If MOT items are initially delivered, maintained and retrieved by an independent company but installed and moved by the prime Contractor's personnel then a Certification of Sublet Work is not required.

The CEI is responsible for verifying the information contained on the Notice of Rental Agreement.  Both the physical equipment and the equipment operator shall be verified on a periodic basis.  The Project Engineer is responsible for seeing that the information contained in the "equipment and personnel" section  of  the  Daily  Inspection  Report,  is  accurate  and  complete.  By comparing the information contained on Daily Inspection Report and Notice of Rental Agreement, the type, location and status of the rental equipment and hours, wages and status of the equipment operator can be verified.

When the Project/ Engineer receives the Notice of Rental Agreement, from the Contractor and is satisfied that it meets all the requirements, they will keep the original for review by the Authority when required and it should be retained with the other original project documents.


4.4 Shop and Erection Drawing Process

4.4.1 Purpose

To make   the CEI staff aware of what their responsibilities are with regard to administration of the construction project shop and erection drawing process.  Shop drawings include all working, shop and erection  drawings,  associated  trade  literature,  calculations,  schedules,  manual  or  similar  documents submitted by the Contractor to define some portion of the Work.   The type of Work includes both permanent and temporary Work.  The process for handling all Shop and Erection Drawings will follow section 3.1.4 in the General Specifications of the Construction Documents/Contract (3.1.4).

4.4.2 Responsibilities

This process primarily involves the Contractor, Engineer of Record (EOR), the CEI and the Authority if necessary, and is governed by General Specification 3.1.4. The details of what is required of these groups during the process are covered very comprehensively in the Contract Documents. These may contain requirements that are not covered in the Standard Specifications or Plans Preparation Manual.

The role of the CEI staff in this process is to encourage the groups involved to stay on schedule with the process, to continually monitor which group is in possession of shop and erection drawings and to develop and maintain up-to-date tracking logs as submittals progress through each stage of review and approval. These logs should be in order according to date and the topics clearly identified on the logs to avoid confusion. Simply utilizing a sequential numbering system for all submittals will not be acceptable. A standing agenda item for discussion of the status of shop and erection drawings should be part of weekly construction progress meetings. At these meetings, the CEI  will ask the Contractor if the process is on schedule to ensure that pending approvals are not delaying the Contractor’s progress and any schedule problems should be corrected as soon as possible. Also at the meeting, the priority of submittals should be reviewed and adjustments to priorities agreed to with the Contractor. This ensures that the Engineer of Record and the Authority reviews submittals that are most important to the Contractor as quickly as possible and that less important submittals are given lower priority. Review durations are set in general specification 3.1.4.The CEI staff will continually monitor the progress of reviews and contacts reviewers to remind them when the deadline for completing reviews is approaching.  In the event that a review is continually delayed without explanation by the reviewer, the CEI will inform the Authority.

The CEI staff will be completely familiar with the approved shop and erection drawings in order to ensure that the project is built accordingly. Shop drawing reviews by the CEI staff are critical since these drawings are usually detailed and complex, which requires careful observation in the field to ensure accuracy of construction. The CEI staff must also ensure that all approved submittal documents are incorporated in the final As-Built drawings where appropriate.

4.4.3 Flow of the Process

CEI Responsibilities

For typical projects, the CEI staff receives copies of submittal transmittal letters from the groups involved in the process in order to be able to track the progress of submittal reviews. With this arrangement, the CEI staff does not receive the actual submittals until the process is complete but is made aware of where they have been sent and who has possession. The CEI staff shall confirm receipt of submittals by the various parties involved in order to accurately track their location and review duration. The approving EOR or when required, the Authority, will make the final distribution of approved submittals.

For projects that are complex and/or have a large volume of shop drawings and for which approval is on the critical path of the project, the CEI staff should consider direct handling of all the submittals at all review process stages in order to exercise a higher level of control over the transmittal process. In this case, the Contractor would send submittals to the CEI staff and not to the EOR. The CEI staff would then transmit the submittals to the EOR and if necessary to the Authority.  Once all reviewers approve the submittal, the submittals will be sent back to the CEI for final distribution. If submittals are not approved, they will also be to the CEI for appropriate action and for distribution.

The CEI must keep a continually updated “Shop and Erection Drawing Tracking Log” within the physical files and a current tracking log on a computer spreadsheet.  Both Logs should have the appropriate project information at the top of the sheet and should be entitled "Shop and Erection Drawing Tracking Log".

The tracking log shall contain the following information for the typical review process; however, other information related to CEI controlled submittals may be required if the CEI receives submittals directly:

1)     Submittal/Transmittal Number: Each group may have a different number for the same submittal so all numbers should be recorded.

2)     Submittal Description: Example – “MSE Wall Drawing, Wall Number 5”.

3)     Date the Contractor submitted to the EOR.

4)     EOR review status: This is an indication of what the results of the review are, such as: Approved, Approved as Noted, Approved as Corrected, Revise and Resubmit or Not Approved.

5)     Date the EOR submitted to the Authority when required.

6)     Authority status when required.

7)     Date the EOR or when required the Authority sent the submittal back to the Contractor.

8)     Total duration of the review.

9)     Comments: These may have to do with involvement of reviewers that are not usually part of the process, supplementary documents, final distribution of submittals to specific recipients and any other information that warrants documentation due to some unique circumstance of the specific submittal being reviewed.

4.4.4 Shop and Erection Drawing Submittal List

The following is a typical list of Shop and Erection Drawing Submittals, who should review each submittal and where the submittal is specified in the contract documents:   

Shop Drawing/Submittal

Reviewer

Specification

Precast Box Culverts

CEI

410-4.2 FDOT

Street Lighting Photometric

EOR

715-2 FDOT

Traffic Signalization Items

EOR

603-7 FDOT

Transformer Pads

CEI

715-2 FDOT

Communication Pull Box Cut Sheets

CEI

631-2.1, 638-2.2 Contract Documents

Light Pole Design Calculations

EOR

715-2, 992-1.3 FDOT

Underdeck Luminary Cut Sheets

EOR

715-2 FDOT

Light Pole Box Cut Sheets

EOR

715-2 FDOT

Pole Cable Distribution System

EOR

715-2 FDOT, 992-12 FDOT

Load Center Details

EOR

715-2 FDOT

Sign Master Luminary Cut Sheet

EOR

715-2 FDOT

Embedded Conduit & Junction Box

CEI

715-2 FDOT

Fiber Optic Conduit System

GEC

631-2 Contract Documents

Structure Bearing Pads

CEI/EOR

932-2.2.6, 932-2.3 FDOT

Signage

EOR & GEC

3.1.4.2 (Concurrent Review) Overhead

Span Trusses & Cantilever Structures

EOR

3.1.4.2

Beam Layout, Strand Detensioning Calculations

EOR

450-5 FDOT

Equipment

CEI/GEC

455-5.2, 455-10.1 FDOT

Plan

CEI/GEC

455-10.1 FDOT

Drilled Shaft Installation Plan

CEI

455-15.1.2 FDOT

Typical Fence Details

CEI

550-3.5 FDOT

FCC - FDPE Post

GEC

631-2.1 Contract Documents

Signal Equipment & Materials

CEI/GEC

603-7 FDOT

Coating

CEI

400-15.2.6.2 FDOT

Stay-in-Place Metal Forms

CEI

400-5.7.1 FDOT

Multi-Post Ground Mounted Signs

EOR & GEC

3.1.4.2 (Concurrent Review) Contract

MSE Wall Shop Drawings

EOR

548-6.1 FDOT

Architectural Panels

EOR & GEC

SP-34 Contract Documents

MOT

CEI

102 Contract Documents, 102-2.6, 102-3.1102-12.1 FDOT

Erosion Control

CEI

104-3 Contract Documents, 104-5 FDOT

Asphalt Mix Designs

CEI

4.3.3 Contract Documents, 334-3.2.1 FDOT

Toll Plaza Submittals

 

 

Rebar: Footings, Walls, Gatorheads, Beams

CEI

TSP

Masonry

CEI

TSP

Concrete Mix Designs

CEI

TSP

Precast Drainage Structures

CEI

TSP

Electrical

EOR

TSP

Double T's

EOR

TSP

Plumbing

EOR

TSP

HVAC

EOR

TSP

Metal Doors & Frames

EOR

TSP

Structural Steel

EOR

TSP

Welding Certifications

CEI

TSP

Armstrong VCT Samples with Base

EOR

TSP

Lightning Protection

EOR

TSP

Computer Floor Systems

EOR

TSP

STO Coating Samples

EOR

TSP

Signage

EOR & GEC

TSP (Concurrent Review)

Insulation, Roofing, Flashing & Sheet Metal

EOR

TSP

 


4.5 JOINT PARTICIPATION AGREEMENTS

4.5.1 Purpose and Definitions

Joint Participation Agreements (JPA’s) are primarily any agreement between the Authority and a utility owner, local municipality or State Agency to perform work for the outside party in conjunction with a construction project administered by the Authority.  For the purpose of this section, the outside party will be referred to as the utility owner or utility project.

In order to expedite construction projects, the Authority may let utility projects as part of the Authority’s construction contract. This allows the contractor to better coordinate the installation of the utility owner’s facilities with his own work.  The utility owner will generally deposit their share of the cost of doing the utility work prior to awarding the contract. However, some JPA’s require the utility owner to pay the Authority based on the construction contracts monthly estimates.  It is important to obtain and review the JPA for these details.

4.5.2 Administration of JPA’s During Pre-Construction

The Project Engineer (PE) will obtain and review a copy of all JPA’s prior to the contract letting.  After the project is let and the contract amount is known, the utility owners may decide to perform the work outside the JPA, in which case the JPA will become null and void and the work will be deleted from the construction contract.  Should the utility owner decide to perform their own work, close coordination with the utility shall be made to ensure the work does not delay the work of the Authority’s contractor.

If the utility owner decides to proceed in accordance with the JPA, a separate meeting, immediately after the letting, will be scheduled with each utility owner to establish a point of contact, confirm the information provided in the JPA, review the plans and specifications for the work, and review procedures for extra work, payment, over and under run of pay-items, inspection requirements and final close out of the JPA.  The original estimate for the JPA should be reviewed and compared with the bid amount for the JPA.    Minutes of these meetings shall be prepared and sent to all who attended.  The utility owners that are participants in the JPA’s shall be invited to the Pre-Construction Conference.

4.5.3 Administration of JPA’s During Construction

When the final settlement of these agreements is to be based on final measurements and bid prices, construction personnel shall adhere to the following format:

1)     Refer to JPA to identify the need for final measurements to be taken by the CEI or other parties.

2)     The PE shall itemize the measurements for the final quantities in accordance with the agreement and as delineated on the construction plans.

3)     The summary of quantities for JPA’s will be accounted for separately from the other items of work.  Extensions will be made of the contract bid prices and then totaled. This summary is submitted with each pay estimate and along with the final plans to the Authority and the utility owner.

4)     Revised plan sheets are to be submitted and explanations made for all field revisions.

 

If extra work is required in the performance of the JPA, the same procedures are to be employed as if the cost for the extra work were to be borne by the Authority.  However, prior to final agreement with the contractor on the cost and performance of the work, the PE shall obtain written approval of the work and associated costs from the utility owner.  Variation of this process will only be allowed if so stated in the JPA.

If a claim is filed that involves a JPA, the PE will encourage the utility owner to participate in the resolution process.  Regardless if the utility owner participates or not, the PE shall, in writing, notify the utility owner of their potential financial responsibility for the claim and keep the utility owner informed of the resolution process with all decisions rendered.

The PE will invite the utility owner to participate in the inspection of the work throughout the life of the project.  When the work is complete the PE will request, in writing, the utility owner to accompany the CEI in the semi-final inspection, identification of punch list items and subsequent final inspection.  The final acceptance of the overall project may not be made until the utility owner has accepted their portion of the work in writing.  Variations of this process will only be allowed if so stated in the JPA.

4.5.4 Closeout of JPA’S

Upon completion and acceptance of the Utility work, the PE will determine the Final Estimate and forward a copy to the utility owner with a copy of the as built plans requesting their concurrence with the final costs.  The Estimate should be labeled Tentative and list all unresolved claims and all outstanding supplemental agreements, if any.   The Final Estimate may be sent to the utility owner prior to final acceptance of the project if the work is complete on the JPA portion of the work.

Review the JPA for additional close out requirements and notify proper personnel of pending project completion and final action requirements.  These additional requirements may be right of way transfers, notification of maintenance responsibilities, transfer of as built plans, final payments, maintenance bonds, etc.


4.6 MAINTENANCE OF TRAFFIC

4.6.1 Purpose and Definitions

To establish a uniform standard for inspection and review of Maintenance of Traffic (MOT) operations used in construction projects.  The Authority has representation in administering construction projects through engineering contracts. The authority of the CEI’s personnel is identical to the Authority's project personnel.

The following abbreviations are used in this section:

MOT – Maintenance of Traffic is the uniform standard for inspection and review of traffic control.

TCP  –  Traffic  Control  Plan  is  the  approved  plan  submitted  by  the  Contractor  for  safely maintaining traffic flow during construction.

WTS – Worksite Traffic Supervisor is the Contractor’s designated individual responsible for review of all MOT to ensure proper installation and adequate traffic control devices, including monitoring of lights.

4.6.2 Traffic Control Plan

A Traffic Control Plan (TCP) is included with each Authority construction contract. The Contractor will furnish a letter to the Resident Engineer stating whether they plan to use the Authority designed TCP or will submit an alternate TCP for approval. The alternate TCP must be signed and sealed by a Professional Engineer licensed in the State of Florida and shall be reviewed, discussed and approved by the Resident Engineer.

The submission of the alternate TCP will include a 11" x 17" set of plan sheets which indicate the type and location of all signs, lights, channeling devices, striping, barriers and geometrics of transitions and detours to be used for the safe passage of pedestrians, bicyclists and vehicular traffic through the project and for the protection of the workers. The plan will indicate conditions and setups for each phase of the Contractor's activities.

When the Contractor proposes a modification to the TCP, particular attention should be given to the utility adjustment plan of the project. If the proposed TCP modification affects the scheduled adjustment of utilities in any measure, the Contractor must obtain written approval from the affected utilities. The Authority should be given the opportunity to review and comment on the modified TCP submittal.

The Resident Engineer shall consult/get approval from the Authority before approving/ disapproving the proposed alternate TCP.  If the Contractor's proposed TCP does not affect the utility adjustment plan and is equal to or better than the Authority's plan and is at no additional cost to the Authority, the alternative proposal will be given consideration.

The TCP approval letter must include a statement to the effect that any additional costs, delay or increase to the cost of utility adjustments will be borne by the Contractor. The change will be documented by a supplemental agreement with the Contractor's revised plan drawings.

In no case will the Contractor begin work using an alternate TCP until the Resident Engineer has approved such plan. Modifications to the TCP that will change traffic patterns will also be submitted to the Authority for approval. No modifications to the approved plan will be allowed, except for enhancements, or in case of emergencies, until the Resident Engineer has approved such modification. These modifications may be documented by supplemental agreement. Enhancements to the TCP will not involve changing traffic patterns.

4.6.3 Initial Inspection and Evaluation of Work Zone

The Worksite Traffic Supervisor (WTS) will conduct weekly, daytime and nighttime, inspections within the limits of the project of all traffic control devices concerning traffic flow, pedestrian, bicyclist’s and business accommodations.  The WTS will submit a comprehensive weekly report, Form No. 700-010-08,

Maintenance of Traffic (MOT) Review Report, to the CEI for review and include the condition of all traffic control devices (including pavement markings) being used.   This MOT Review Report is to be submitted at least one day prior to the weekly construction meeting to allow the CEI time to evaluate the report and discuss at the weekly construction meeting.  In addition, the WTS will perform the initial evaluation on new phases of construction by driving through the work zone and observing how traffic moves through the work zone. This drive through inspection will be done in all lanes, both directions, on crossroads, during the day and night and from all entry and exit points within the zone.  Detours, if any, should also be driven. The evaluation will also include inspection of signs and devices for the desired sight distance, maintenance and spacing.  A newly implemented work zone TCP may not function as well as it was intended to function. To lessen hazards to motorists and workers, traffic controls will be inspected and evaluated by the WTS immediately after the TCP is implemented, and after each phase change, using Form No. 700-010-08, Maintenance of Traffic (MOT) Review Report.

An audio recorder, video camera or a photograph are good methods to document immediate thoughts or observations. Signs should be evaluated to see if they communicate their messages and are properly located. Any sight distance problems should be noted and corrections made to the location of the devices. The location and length of tapers and the spacing of devices should be checked. Any existing signs or signals that are not needed shall be covered. All proposed pavement markings should have been applied. Non-applicable pavement markings shall be removed if the work zone is stationary and will be in place for sufficient duration.

Bicycle paths through the work zone should be well marked and signed. Bicycle paths should not be directed through pedestrian walkways. Pedestrian paths should be clean of debris, well protected with positive barriers and/or separated from traffic, and be ADA compliant. Business entrances should be well maintained, and designated with devices through construction areas.

Entrances should be signed appropriately so as to give advance notice to the motorist.

Any unsafe driving actions should be identified and corrective action taken to achieve a smooth traffic flow through the work zone. Any enhancements to the TCP should be documented in the project diary, and coordinated with potentially affected parties (e.g., utilities).

4.6.4 Weekly Night and Day Inspections

The CEI will perform an inspection of work zone area and record any deficiencies found. The CEI will provide the original report to the Contractor weekly unless deficiencies are found. If deficiencies are found,  the  report  shall  be  submitted  to  the  Contractor  and  the  Authority  within  24  hours  of  such inspection.

The CMC personnel will review the MOT Review Report, periodically and should confirm the notations on the report (positive and negative findings) by conducting a field project inspection of the work zone. If additional deficiencies are found that were not included in the MOT Review Report, such deficiencies will be discussed with the CEI and noted on the MOT Review Report. The CEI will document on the original Review Report and the Daily Diary the date corrective action was completed.

4.6.5 Recommended Action to Shut Down a Project Due to MOT Discrepancies

Following the above inspection (as described in Section 4.6.4) made by the CEI, the Contractor will be verbally notified immediately of deficiencies found. A written list of deficiencies using Form No. 700-010-08, MOT Review Report, will be given to the Contractor within 24 hours with a notification setting a 48-hour maximum limit for complete corrective action to be taken. Any discrepancy noted that is considered  a  severe  hazard  and  life  threatening  will  require  immediate  corrective  action  by  the Contractor.

Failure to correct the hazard immediately is basis to shut down the project and obtain other means to correct the hazard. The Authority/CMC should be consulted in the event of a project shut down directive. If corrective action on the deficiencies which the Contractor has been verbally notified has not been corrected within the 48-hour time limit, the Project Engineer shall deduct payment for the uncorrected areas from the date shown on the MOT Review Report until corrective action is made.

4.6.6 Reporting Traffic Crashes

A traffic crash occurring within the work zone is brought to the attention of the CEI through actual observation, notification by others, or through signs of a crash aftermath such as debris, etc. It may also be advisable to conduct a routine inquiry of local police departments and/or county traffic engineering departments for crash reports.  The CEI will conduct an evaluation of the maintenance of traffic features in the immediate area of the crash site, if made aware of the crash.

1)     If a fatality or any disabling injury occurs, or if there is a serious crash involving three or more people, notify the Authority by telephone immediately.

2)     Any incident that causes an interstate highway to be closed for more than six hours, or a major roadway to be closed for more than 24 hours, except for closures (maintenance, construction, etc.) where the public has been notified in advance must be reported. Report these crashes to the Authority which will relay the information to appropriate parties.

3)     The report should be prepared and distributed within two weeks of the crash.   Documentation such as police reports and photographs may have to follow and should be collected and forwarded as received.

4)     If one or more fatalities occur, submit a copy of the Crash Report to the Authority within five (5) working days.

4.6.7 MOT Evaluation at Crash Site

When the Project Engineer becomes aware that a crash occurred, all possible steps shall be taken to determine its cause and to make corrections that will reduce the probability of additional crashes.

However, where a crash occurs it does not automatically mean that a change in work zone traffic controls is required. Crashes usually are a result of a combination of factors.

The Project Engineer shall examine that relationship of the crash to the existing work zone traffic controls. Evaluate all warning signs, pavement markings, barricades, and lights in the immediate vicinity of the crash site. A night inspection is required if the crash occurred at night. If any enhancements or corrective measures are to be taken, list them in the crash report and document this action in the daily report.

No changes to the Traffic Control Plans shall be made which will change traffic patterns or movements without the approval of the Resident Engineer.

4.6.8 Other Requirements

1)     The Contractor and CEI will inspect MOT operations provided by a utility company within the project limits throughout the project duration.

2)     Authority personnel will report crashes occurring within the project limits as described in Section 4.6.6, Reporting Traffic Crashes.

3)     The Contractor will coordinate with adjacent projects and make frequent inspections to ensure that there are no conflicts in the information and/or instructions given to the motoring public.

4)     The Contractor will periodically check reflectivity of pavement markings and, in the event of failure, have the Contractor re-apply of the pavement markings as required by Section 710 of the FDOT Standard Specifications


4.7 STRUCTURES

4.7.1 Purpose and Definitions

This section is provided to create a uniform process for the evaluation and inspection of structures and concrete and to outline the procedures for acceptance.

Noncomplying Components: Noncomplying components are components that have been damaged, that do not meet the specified tolerances, or that contain defects.

4.7.2 Administration

Prior to the start of concreting operations, the CEI must review and approve the Contractor’s Quality Control Plan. The CEI shall also forward the QC Plan to the Authority’s CMC for comment and review. The CEI will provide the acceptance/non-acceptance to the Contractor and outline any reasons for non- acceptance.  All QC staff included in the Contractor’s QC plan are to be verified by the CEI through the CTQP database (http://www.ctqpflorida.com) prior to their acceptance of the project.

If a new scope of work arises, an installation plan shall be submitted by the Contractor and approved by the CEI.  All pre-activity meetings for new or approaching activities shall be scheduled well in advance to allow for discussion of pertinent topics to assure there are no delays for the activity.  At this meeting all parties who are involved in the activity are to be present, including but not limited to the CEI, Contractor, CMC, material suppliers, utility owners, etc.

Only FDOT approved concrete mix designs are to be incorporated into the project.  The mix design(s) for concrete being placed is/are to be submitted to and accepted by the CEI prior to the placement of such material.  Tracking logs are to be used by the CEI to document lot numbers, date of placement.  Also tracked are both CEI and Contractor’s sample numbers, plastic properties, comparison of compressive strength results. If necessary, any resolution test results, detailed information of any discrepancies and/or any other remarks needed to fully document the placement.

Within 48 hours of completing any concreting activity, the Contractor is to supply the CEI completed concrete delivery tickets.   No omissions or errors are to be present on the tickets at the time of CEI receipt.  All failed materials will require submission of a Notice of Failing Test Report (NFTR) as per ACPAM section 4.9.3.

In the event of a disqualification of a producer’s QC plan or suspension of a plant or mix design, the CMC will notify the CEI.  The CEI will inform the Contractor immediately to reschedule concrete placements that are affected by the submissions.  No concrete loads will be accepted on-site from a disapproved plant or from a suspended mix design.  Once the plant or mix deficiency has been addressed the CMC will notify the CEI.

4.7.3 Foundations

Foundation construction will require that the Contractor monitor existing structures, freshly placed concrete and utilities to prevent damage that may be affected by vibrations, ground loss and ground heave or dewatering per specifications.   A Specialty Engineer will survey all structures, utilities or specified objects in compliance with the plans and specifications.  The CEI will approve the number and location of monitoring points.  The CEI and Specialty Engineer will be notified immediately if any movements are detected.

4.7.3.1 Drilled Shafts

A drilled shaft installation plan (DSIP) shall be submitted at the preconstruction conference or at the latest, 30 days prior to drilled shaft construction. It is to be approved by the CEI and Geotechnical Engineer, if applicable.  The plan shall provide detailed information about Contractor's methods of construction, equipment and personnel, etc.  After CMC review of the DSIP a notification letter will be sent to the Contractor within 3 working days indicating acceptance, rejection or a request for additional information.  Once the DSIP has been approved by the CEI they will then forward it to the CMC for their records.

All drilled shaft, miscellaneous shaft and test hole/shaft installations shall be documented using the Authority’s drill shaft log.   The CEI will assist with documentation or any other requests by the Geotechnical Engineer. The completed drill shaft log will be forwarded to the CMC after review by the Resident Engineer/PA.  The CEI shall forward any Load Test Data Reports, Core Log Reports, CSL Testing Reports and any other data/reports to the Geotechnical Engineer immediately up receipt.

Installation of all drilled shafts, including miscellaneous shafts, are to be inspected by an experienced and qualified CTQP inspector producing accurate and completed logs.  The CEI inspector shall have a copy of the DSIP, project plans, appropriate equipment and any other applicable materials at all times during the installation.

Drilled  shaft  lengths  that  are  established  by  the  Geotechnical  Engineer  will  be  forwarded  to  the Contractor within 7 days.  The geotechnical engineer reserves the right to alter shaft lengths should they deem it necessary.  If altered, the revised drilled shaft will be provided on to the Contractor via the CEI.

The Contractor is to record and document slump results on all loads of concrete. The Contractor will be informed immediately  of  any  deviations  from  the  DSIP  and  specifications.     Any  deviations  or irregularities encountered during the installation shall be recorded and the information will be forwarded to the PA/Resident Engineer immediately.  Completed shaft logs will be reviewed and signed by the monitoring inspector and the Resident Engineer/PA.  The reviewed shaft logs shall be forwarded on to the CMC in a timely manner.  The CEI shall inform the CMC of any drilled shafts that require further testing for acceptance.

4.7.3.2 Piling

If there are existing structures to remain within an area that could be impacted by vibration, the CEI will make sure that the structures are monitored by the Contractor to provide an accurate record should one be necessary in the future. The CEI will ensure that the Contractor submits a Pile Installation Plan (PIP) at least 30 days prior to the driving of the initial test pile.  The CEI will forward the PIP to the Geotechnical Engineer and CMC for review and comments within 3 working days.  Within 5 working days of receiving the Geotechnical Engineer’s comments and/or recommendations the CEI will inform the Contractor of acceptance, rejection or request additional information and/or changes that may be necessary for acceptance of PIP.   A letter of rejection shall contain the reason(s) for rejection of the plan. No pile driving operations rations may commence until the PIP is accepted.

The Geotechnical Engineer will be notified of the test pile schedule as soon as the Contractor’s schedule is received.   Delivered test piles shall be inspected for length, quality, proper dunnage and proper QC and/or VT stamping if required.  The pile number, cast date, length and any other pile information shall be recorded on the pile driving record and in a permanent field log book. The CEI shall be prepared to assist the Geotechnical Engineer during the test pile program. The test pile(s) shall be documented on the Authority’s pile driving record.  The test pile records shall contain all the data and observations pertaining to the driving of the test pile.   Any special recording requested by the Geotechnical Engineer shall become part of the pile driving record.  The completed records shall be forwarded on to the Geotechnical Engineer immediately.  The CEI will make the completed records available to the CMC.

A letter of recommendation from the Geotechnical Engineer will be sent to the CEI that establishes production pile length and driving criteria.  Upon receipt of the letter from the Geotechnical Engineer, the CEI shall approve the recommendation and send it to the Contractor in a timely manner.  The driving criteria shall contain the required blow count, minimum stroke height, minimum tip elevation or depth requirements and any other special driving criteria. If using a diesel hammer, a chart of blow count versus stroke/pressure shall also be furnished and attached to the letter of recommendation.  A copy of the PIP shall be attached to the letter so that all parties involved know that the same system used to install test piles is also used to install production piles.

Upon delivery of production piles, they shall be inspected for length, quality, proper dunnage and proper QC and/or VT stamping.  The pile number, cast date, length and any other information should be recorded on the record and in a permanent field log book.   Field personnel shall have a copy of the Driving Criteria, PIP, project plans and specifications with them at all times during the driving operation.  Field personnel shall keep accurate and correct records of the pile driving operation using the Authority’s pile driving record.   All information recorded shall be accurate in regards to irregularities, unexpected occurrences, deviations from driving criteria or procedures, actual elevations, spalling, cracks, cushion changes, etc.  The entire pile driving operation shall be in accordance with the Driving Criteria and PIP. Any deviation from the established criteria should result in the Resident Engineer and Geotechnical Engineer being contacted and informed of the status immediately.  Complete records shall be reviewed by the Senior Inspector and Resident Engineer/PA.  Records will also be made available for a review by the CMC.

4.7.4 Concrete Pre-placement

The Contractor will notify the CEI at least 24 hours prior to any structural concrete placement. Once notified, it is the responsibility of the CEI to provide an adequate number of inspectors for the operation. The CEI also needs to ensure that QC is present for the duration of all structural pours, whether or not VT is present.  The CMC will be notified prior to the start of major activities. These activities are to include but are not limited to bridge deck pours, mass concrete, drilled shafts, beam settings, dry runs, and any other placements of significance.

The CEI will ensure that the Contractor has a CTQP Concrete Field Technician Level II responsible inspections associated with all bridge placements. The Contractor will perform the required inspection before a placement begins.  These inspections will include but are not limited to false work, form placement, correct reinforcing steel bar size, correct reinforcing steel bar locations, correct chairs/bolsters and reinforcing steel bar clearances. False work will be free of any dirt, sawdust, oil, etc.  The Contractor will record all inspections in an appropriate manner.  These inspection records are to be made available to the CEI if requested.  The CEI will perform independent inspections to verify that the Contractor is inspecting the reinforcing steel for the correct spacing, bends, splicing, clearance tolerances, bar size, use of appropriate chairs/bolsters, wire tying, et cetera. The CEI will also inspect the same items as the Contractor. Inspection by both the CEI and the Contractor will verify that the structural placement is in an acceptable condition before placement of concrete.  If any discrepancies are found during the CEI’s inspection, the Contractor must be notified immediately to allow the issues to be addressed prior to placement of concrete.

All permanent field books are to be permanently identified on the cover and spine with the OOCEA job number and OOCEA job name.   Each bridge location shall be listed separately by bridge number and name on each page.  Specific inspection documentation shall include but will not be limited to date, time, weather information, station location, distance left or right of center line, the inspectors printed and signed name and any other pertinent information.

The CMC will monitor these records and assure compliance with the following of the plans and specifications.  In addition to making a historical record, the purpose of making and recording these measurements is to provide the basis for making corrections to deficient placements and corrections to construction techniques prior to subsequent structural placements so that deficiencies will not reoccur.

Mill certifications will be collected for structural steel that is delivered to the project.  Mill certifications will be checked to ensure compliance with plans and specifications.  The Contractor’s method of storage of the reinforcing steel will be in a manner that does not contribute to surface deterioration. Any issues noted during this inspection must be made known to the Contractor’s representative immediately so that corrective action can be taken.

The approved curing compound, stored in the approved manner and the appropriate curing compound equipment will be onsite (when necessary) before placement.   The Contractor will provide a correctly constructed cure box of the appropriate size. The cure box must be able to contain the required Contractor’s and CEI’s samples with enough room to spare in the event that additional samples are cast. The Contractor will supply a high/low thermometer for all curing boxes. Provisions to maintain the temperature range in the cure box in accordance with the specifications will be available in the event that they are needed. The curing box must be in a secure location and in close proximity to the placement.

4.7.5 Placement of Concrete

The CEI will ensure that the Contractor has a CTQP Concrete Field Technician Level II responsible for quality control at all concrete placements.

Upon arrival of concrete to the site, it will be the responsibility of the Contractor’s representative to review the concrete delivery ticket and determine that all of the information provided is correct prior to the discharge of concrete. The CEI will periodically review the tickets to ensure that the QC process is being performed effectively.  Concrete that fails to meet the specifications upon delivery to the project should be rejected by the Contractor. In the event that the concrete fails plastic properties and/or is deficient and the Contractor elects to place concrete at their own risk the Contractor’s representative and the CEI must document in great detail the station, offset and specific portion of the structure being poured.  The CEI inspector will inform the Project Administrator/Resident Engineer immediately.  The CEI should suggest that the Contractor casts samples of the failed material for strength testing to assist in an Engineering Analysis Review (EAR) if necessary.   The CEI should also be prepared to cast samples testing, if necessary.  The current lot is to be closed out at the conclusion of pouring the failed concrete with the next load beginning the following lot.    Initial testing is required on the new lot.

4.7.6 Post Placement of Concrete

Curing methods of the concrete will be in the correct manner and for the duration called for in the plans and specifications.

After forms are removed, the Contractor and the CEI will inspect the structure for deficiencies including cracking, settlement, bug holes, spalls, et cetera. Thorough documentation of inspections of the structures will be performed periodically throughout the project including date, time, weather and the printed and signed name of the inspector in permanent field book.  These inspections are considered site source documents and will be submitted with the final estimate records.

Tracking of the anticipated date of the strength specimen breaks from both the Contractor and CEI’s laboratories will be on an appropriate concrete tracking log. Results from both laboratories will be received within 24 hours upon completion of the testing (weekends excluded).  In the event of a non- comparison of concrete test results between the QC and VT cylinders, the CEI will notify the CMC immediately. At the discretion of the CMC, the “hold” cylinders cast by both QC and VT may need to be tested to determine acceptance of the hardened concrete. The Contractor and CEI will be prepared to deliver samples to the resolution lab immediately if necessary at direction of the CMC.

4.7.7 Substructure Elements

Dry, dewatered, and wet excavations will monitored by the CEI to ensure that the excavation is being performed in accordance with the specifications.  If dewatering is necessary, it will be inspected in accordance with a submitted dewatering plan.  Confirmation that the Contractor has constructed the foundation(s) in a manner that the soils are firm, stable and meet or exceed the design bearing capacity will be recorded on a project daily.  Density tests may be used to verify that soils are within the specifications.

The acceptance of formwork for footings, end-bent caps, back/wing walls, columns, pier caps, and any other substructure items will be verified by the CEI before concrete placement begins.  Inspections will include dimensions, proper steel placement, steel clearances, alignment, bracing, ties, et cetera. During concrete placements, the CEI will observe the placement of concrete to ensure that the proper methods and techniques are used.  In the event that the forms bulge or appear to change dimensions during the concrete placement, the CEI will inform the Contractor, and thoroughly document the issue. These events will be relayed to the Resident Engineer/PA immediately.

4.7.8 Mass Concrete

Due to the unique nature of this type of construction, it is recommended that a pre-activity meeting be held prior to placement of mass concrete elements to discuss applicable specifications, expectations, and methods of inspection. The CEI will notify the CMC in advance of this meeting so that they may be in attendance. A frequency for submitting the temperature results should also be established at this meeting. Mass concrete placements will require the Contractor to use a Specialty Engineer to follow the procedure outlined in Section 207 of the ACI Manual of Concrete Practice to formulate, implement, administer and monitor a temperature control plan.  The Contractor is to submit both the mass concrete mix design and the proposed mass concrete plan to the CEI for review and acceptance.  The CEI will forward the mass concrete plan to the CMC.   The CEI will notify the Contractor of acceptance or rejection of the plan within ten working days. No mass concrete is to be placed without an approved plan.

The  CEI  will  monitor  the  Contractor’s  temperature  readings  and  documentation  as  well  as  take independent temperature readings. In the event that the temperature readings are outside the differential limit or exceed the maximum temperature, the Contractor will take immediate action as directed by the Specialty  Engineer  to  retard  further  growth  of  the  differential  or  maximum  temperature.    If the temperature control provisions fail to prevent excessive differences or maximum temperature through verifiable test results, a revised version of the previously accepted plan will be submitted.  This will be required to ensure that future placements are in compliance.  No other placements will commence until the CEI has accepted the revised plan.

4.7.9 Structural Steel Members

The CEI will have documentation of all plant Verification testing for members delivered to the project. Delivery of structural steel members will be inspected by the Contractor and verified as necessary by the CEI for compliance with the project plans, approved shop drawings and specifications.

Proper inspections of structural steel members will include but are not be limited to Rotational Capacity Tests, Verification of Direct Tension Indicator Device Performance and Turn-of-Nut Tightening.   The Contractor should have a representative present during any Verification testing by the CEI.

When welds are required on the project, the CEI team will be responsible for randomly verifying that the welders provided are certified and all welds are inspected by a certified welding inspector. The Contractor will submit an Erection Plan to the CEI for the review which will include a Specialty Engineer’s signature and Seal.

4.7.10 Prestressed Concrete Members

The CEI will have documentation of all plant Verification testing for members delivered to the project. Delivery of prestressed concrete members will be inspected by the Contractor for compliance with the project plans, approved shop drawings and specifications.  Inspections by the Contractor will be verified by the CEI.   Field inspections include but are not limited to surface deficiencies, bug holes/honeycomb, spalls, chips, surface porosity and formed surface misshaping.    The Resident Engineer/PA will be informed with any deficiencies requiring repairs. Repairs that are not covered in the specifications will require a submitted repair procedure to the Resident Engineer.  These repairs may not commence before the Contractor receives the approved submittal from the Resident Engineer.  The Contractor and CEI are to keep a record of all deficiencies and their repair methods.

Delivered prestressed concrete members will be handled in a manner that conform to the contract plans or approved shop drawings.  The Contractor is to use the required pick points.  The Contractor will use the proper dunnage and storing procedures for members in accordance with the specifications.

The CEI will ensure that the Contractor has prepared the prestressed concrete member, prepared the concrete substructure, prepared the bearing areas and placed the correct bearings in accordance with the contract documents and specifications.  The Contractor will perform inspections at all phases of work. The Resident Engineer/PA will be notified immediately when nonconforming work or materials are not able to be brought in conformance with the contract documents using pre-established procedures.

Concrete diaphragms will only be formed and placed after the concrete prestressed members have been confirmed to be in accordance with the contract plans and specifications.   This will be accomplished using the Contractor’s as-builts and verified by the CEI.  Concrete diaphragms will be placed at least 48 hours before bridge deck slabs are placed unless otherwise indicated in the plans.

4.7.10.1 Prestressed/Precast Concrete Non-Compliance Review Procedure

Noncomplying components containing specific defects or damage which are classified as minor are not subject to the disposition requirements in this procedure and must be repaired in accordance with General Specification 450-2.6.12.4. However, if for a minor defect, an alternate nonstandard repair method is proposed by the Contractor or if the defect will be encased within the diaphragm concrete then this procedure applies.

For defects covered by this procedure, the Contractor must comply with General Specification, 450-2.6.12.5, which requires the submittal of a repair proposal to the Project Engineer and specifies what the contents of the proposal shall be. Components in the casting yard, which require repairs, shall not be shipped to the project site until such repairs are complete and the member has been accepted by the Authority. If the component is repaired and determined to be acceptable to the Authority, the component shall be stamped indicating it meets specification requirements and any remedial work is acceptable. Producer stamped pre-stressed members arriving at the job site shall not be rejected by project personnel for reasons other than obvious shipping damage which makes the member unacceptable.

The Contractor's proposal will be in writing and consist of the following information:

1)     A cover letter prepared on the Contractor's letterhead and addressed to the Project Engineer briefly describing the component, and the proposed credit to the contract proportionate to the defect or specification noncompliance.

2)     A completed Noncomplying Prestressed/Precast Concrete Component Data Sheet, Form No. 700-030-10, prepared by the producer or Contractor and countersigned by the CEI to indicate agreement with the described defect or noncompliance feature. If not in agreement with the information or description, the CEI shall either reject the submittal indicating reason(s) for rejection or modify the submittal as necessary. In the latter event, the preparer shall initial and date the submittal indicating agreement or disagreement with the modifications.

The CEI will review the Contractor's proposal and enlist the assistance of the specialty engineers and the Engineer of Record as deemed appropriate. Upon completion of the evaluation, the CEI may accept the Contractor's proposed repair method and cost reduction, negotiate a more satisfactory cost or repair method, or reject the proposal. With approval by the CEI, structural or nonstructural defects that will be encased by the end diaphragm shall be filled with diaphragm concrete in lieu of patching at the casting yard. This does not include defects on the surface of the bottom flange that will be in contact with the bearing pad: these must be repaired prior to contact with the bearing pad. Beam end defects that begin within the limits of the diaphragm and extend beyond the limits of the diaphragm must be patched prior to diaphragm construction. Cleaning and preparation of all defects prior to diaphragm concrete placement shall be in accordance with the specification or as approved by the Resident Engineer.

The CEI shall indicate acceptance in the response and distribute the proposal and the disposition to the CMC.

4.7.11 Bridge Deck Placements

The preconstruction meeting will be attended by the CEI, the Contractor, the Contractor’s QC representatives, concrete producer and any other key personnel involved to discuss the operations and specification requirements.   The CEI shall notify the CMC at least 5 days prior to a pre-operations meeting.  During the meeting, any changes to the plan’s bridge deck placement sequence should be an item for discussion.  Any deviation of the sequence plan will follow the project’s plans and/or notes. The EOR’s approval may be needed in addition to other requirements before any bridge deck placements.

The CEI will observe the Contractor’s method of construction during all phases of bridge deck construction.  Verification of Contractor’s inspections will be completed as the scope of work progresses.

Documentation of inspections will be recorded by both parties.   The Resident Engineer/PA will be notified if deficiencies are not corrected in a timely manner.

Stay-in-place (SIP) metal forms are to be inspected to ensure that they are free of any defects, securely and properly installed and that they are free of any elements prior to any concrete placements.

Overhang false work installation and SIP installation will not be conducted when over live traffic.  These activities will only commence once traffic is shifted to the prescribed lane(s) and is clear below the work area.

Bridge expansion joints and construction joints will be checked for compliance with plans and specifications.  The use of Indices 21110, 21100 and their installation requirements will be reviewed and inspected before any bridge deck placements.  Attention to the temperature requirements in the plans and specifications must be adhered to during installation of the expansion joints. Interaction between the bridge deck and approach slabs will be inspected to ensure that both are in compliance with the plans, Indexes and specifications.  Verify with the plans vs. installed reinforcing steel for the existence, location for any light pole pilasters or other individual bridge plan specific items.

The CEI will inform the CMC of all screed demonstrations (dry run) and concrete deck pours in a timely manner.  The CEI will update the CMC on any changes to the schedule of these items as they change. Completion of the Contractor’s dry run will be verified by the CEI.  Documentation of the dry run will be recorded in a permanent field book and will be submitted with the final estimate records.  A minimum of two measurements will be taken at each test location.  Test locations are to be performed at every bay at longitudinal intervals no greater than 10 ft.  Overhangs will also be measured for the proper reinforcing steel clearances.  The measurements will be taken from the bottom of the screed rollers.  The first measurement will represent the expected concrete thickness cover above the top mat of reinforcing steel. The second measurement will represent the expected total bridge deck concrete thickness.   Any deficiencies that cannot be corrected will be reported to the Resident Engineer/PA.

Concrete diaphragms will be placed at least 48 hours before bridge deck slabs are placed unless otherwise indicated in the plans.  Placement of concrete during the bridge deck placement will be measured for thickness (wet run) using a thickness measurement tool. The measurement tool can be of various designs as long as it is capable of measuring the thickness of concrete accurately and consistently. The two measurements will be taken at a minimum of 500 ft² of bridge deck.  The first measurement will represent the concrete thickness cover above the top mat of reinforcing steel.  The second measurement will represent the total bridge deck concrete thickness.   These measurements will be made as soon as the screed has made the final pass.  Any deficiencies outside the plans and specifications will be reported to the Contractor immediately.  Any deficiencies that cannot be corrected during the placement will be reported to the Resident Engineer/PA immediately.  All measurements will be recorded in a permanent field book and submitted with the final estimate records.

The Contractor will have the proper equipment and personnel present for each concrete bridge placement. The Contractor is to have a CTQP Concrete Field Technician Level II responsible for the quality control of concrete all bridge placements. The Contractor is to also monitor the reinforcing steel for any changes that might become nonconforming to the plans and specifications during the placement.  Repairs to any deficiencies will be made immediately.  The CEI will record any deficiencies that are not corrected.

Concrete bridge deck placements of 50 cubic yards or less will have a minimum placement rate of 20 cubic yards and hour. Concrete bridge deck placements of greater than 50 cubic yards will have a minimum placement rate of 30 cubic yards and hour. The CEI will ensure that the Contractor is aware of any failure of these requirements during the operation.  The CEI shall not permit placements until acceptable plans are in place for meeting the minimum placement rate.

The Contractor will have appropriate measures in place for any weather events that effect the concrete placement.  The CEI will verify that the Wind Velocity Restrictions are within specifications before concrete placement.

Forms and reinforcing steel is to be sprayed with fresh cool water immediately before placement of concrete.   Fresh concrete cannot be directly sprayed with water.   The addition of water to aid in the finishing process should be kept to a minimum and applied with the use of a fogging application.

After the concrete placement is complete, the Contractor will cure the concrete bridge deck per the specifications.  The CEI will inspect that the curing compound and the method of applying is within specifications.  The CEI will continually inspect that all post placement curing blankets are wetted down immediately after satisfactorily placing them.  The curing blankets will be maintained in a saturated condition throughout the 7 day curing period.  The CEI shall ensure that the Contractor is using potable water for the wetting process.

4.7.11.2 Bridge Deck Thickness Documentation

The inspector shall record the thickness measurements in a permanent field notebook to be submitted with the final estimate records. The  notebook shall contain the following information in addition to the financial identification number; contract number, etc. Each bridge shall be listed separately by bridge number and name. Information regarding the thickness measurements shall show the following under the appropriate  span  number:  deck  placement  location  (Station  to  Station),  distance  right  or  left  of  a centerline, date, time period (From am/pm to am/pm) and inspector's name. The average thickness of the concrete cover over the top mat of reinforcing steel and the average deck thickness shall be computed for each deck concrete placement.

The Authority will monitor these records and assure compliance with specified plan dimensions. In addition to making a historical record, the purpose of making and recording these measurements is to provide  the  basis  for  making  corrections  to  deficient  placements  and  corrections  to  construction techniques prior to subsequent deck placements so that deficiencies will not recur.


4.8 ASPHALT

4.8.1 Purpose

To provide a uniform procedure for verifying that all asphalt materials meet the requirements of the specifications including but not limited to; rolling straightedge, density, cross-slope and thickness prior to placing the friction course.

The Authority's intent is that a friction course be of uniform thickness that will not rut, distort or ravel, during the intended service life of the pavement. Therefore, it is absolutely necessary to ensure that the surface upon which the friction course will be placed and the friction course itself meets the acceptance tolerances as established in the specifications. It is the Contractor's responsibility to perform the straightedge testing and to take any action required to correct surface irregularities.

4.8.2 Pre-Paving Activities

Conduct a Pre-Paving Conference with the Contractor, Subcontractor(s), CEI staff, CMC staff, and asphalt plant inspection staff to discuss the requirements, scheduling, and procedures to be utilized for the project.

Provide the following information at the Pre-Paving Conference:

1)     The proposed date of the paving operations

2)     The locations of the plant(s) to be used

3)     The maximum production rates of the plant(s) and the expected rate of production

4)     The average haul distance

5)     The anticipated paver speed in feet per minute

6)     The number of trucks to be used

7)     The width of the mat for each placement operation

8)     The number and types of rollers for each placement operation

9)     A sketch of the typical section showing the sequence of the paving for each placement operation

10)  The type of controls to be used for each placement operations

11)  The type of milling equipment and street sweeping equipment and when they will demonstrate it

12)  Lighting plan if work is to be completed at night

13)  Discuss the procedure for handling cores

14)  Design mixes

No asphalt is to be placed on the project prior to this pre-paving meeting.

4.8.2.2 Friction Course Pre-Activities

Due to the critical nature of the friction course asphalt, a separate pre-friction course meeting shall be held prior to the start of any friction course placement on the project. Topics of discussion should include anticipated rate of placement, size and type of rollers, rolling patterns, temperature monitoring both of the trucks and the ambient conditions, applicable plant testing, and specification requirements. No friction course shall be placed on the project until this meeting has been held.

Concurrent with the Pre-friction Course meeting, also conduct the pre-striping meeting to discuss the requirements, and procedures for the application of the PPRT striping. The Contractor, Striping Sub- Contractor, CEI inspection staff, and CMC staff should be present at this meeting.  Also, provide the training qualifications for the striping crew at this meeting.

4.8.3 Paving Activities

CEI Measurements:

The CEI will be responsible for ensuring that the Contractor adheres to the approved QC Plan throughout the paving operations. The CEI does have to record their independent measurements throughout this process, but for the purpose of verifying that the Quality Control data is accurate, not for acceptance. For example, the spread rates measured by VT are not to be used for pay, but should be compared to the QC spreadrates to ensure that the Contractor is accurately reporting their rates. This also applies to cross- slopes. It is not enough that the CEI has taken the required cross-slope measurements since these are not used for acceptance. The inspector in the field needs to ensure that the Contractor is taking these measurements as required, and that they are within the specified tolerance. It is essential that the CEI monitor  the implementation  of  the  approved  plan, and  inform the  Contractor  when  it is  not  being followed. The only way that operations can be improved upon is if the reason for the issue is well documented and discussed. All inspection staff should have a copy of the approved plan with them during construction to make sure that it is being utilized in the field.

4.8.3.1 Temperature Control

The Contractor's Technician under the supervision of the CEI will take the temperature of the asphalt mix at the plant for each day, for each design mix on the first five loads and an average of once every five loads thereafter. The CEI shall monitor and review the plant temperature readings and take additional temperature measurements at a minimum frequency of once per day. The CEI will also take temperature readings at the same frequency as at the plant when the load arrives on the project.

The following procedures should be followed:

1)   The frequency of the measurement may be increased, as deemed necessary by the CEI.

2)   The  Contractor's  Technician  on  the  respective  delivery  ticket  shall  record  each  temperature reading taken at the plant. The temperature measurements taken at the roadway shall be recorded by the CEI at the right hand side of the temperature reading taken at the plant on the front of the delivery ticket.

3)   The CEI will verify Contractor's measurements periodically with a minimum frequency of twice per day.

4)   Rejection of the hot mix asphalt on the basis of the mix temperature shall be made in accordance with the Standard Specifications and necessary corrective action shall be made immediately.

5)   The CEI will record the temperature on the delivery tickets for the loads rejected, clearly write on the ticket for the rejected load “Rejected for Temperature”, and notify the Authority's Technician of any such rejection.

The Contractor's Technician will monitor the next five loads produced after the adjustment has been made to determine if the corrective action is effective. The CEI will continue to monitor the loads until the average temperature of five successive loads is in compliance with the requirements of specifications at which time the Contractor's Technician can return to monitoring one out of every five loads.

4.8.4 Spreadrate Verification

The CEI will monitor the Contractor’s spreadrate to ensure that the Contractor’s process controls are functioning as intended. The CEI shall calculate the spreadrate at a minimum frequency of once per layer per day. The measurements are to be based on the average of 5 truckloads of mix at a minimum. In the event  that  the  CEI  measurement  is  outside  of  the  5%  tolerance,  the  Contractor  is  to  be  notified immediately. The CEI may increase the spreadrate measurements when necessary to ensure the desired results are achieved; however it is not the intent to perform the same measurement frequency as the QC technician. Should the spreadrates not be verifiable on a consistent basis, the QC Plan needs to be reviewed and discussed with the Contractor to determine the issue with the spreadrates. Further failure to verify may result in suspension of the paving portion of the Contractor’s Quality Control Plan.

4.8.5 Cross-slope Verification

The CEI will verify the Contractor’s cross slope measurements by taking measurements at a minimum frequency of once every 200 feet during paving operations to ensure the cross slope is uniform and in compliance with the design cross slope. In the event that the measurements are out of tolerance, (+ .2% for travel lanes including turn lanes, and + .5% for shoulders) the CEI will notify the Contractor immediately so action can be taken to bring the operation back into compliance. The CEI will recheck the cross slope and if it is still out of tolerance, will notify the Contractor that their operation is out of control and proceed in accordance with the Contract Specifications regarding out of control operations.

4.8.6 Rolling Straightedge Verification

The straightedging will take place after the completion of the last structural layer and also after the completion of the friction course. The straightedging will be performed by a Contractor. The Contractor will notify the CEI the location and time of testing a minimum of 48 hours before beginning testing. The CEI shall notify the CMC Manager once notified by the Contractor.   A standard 15-foot rolling straightedge will be used. The recommended procedures are as follows:

1)     The CEI will be present and will accompany the Contractor's employee who will operate the rolling straightedge. The calibration of the 15-foot (4.572 m) rolling straightedge shall be performed in accordance with FM 5-509 and visually reviewed and verified before each testing day.

2)     The CEI will continuously observe the indicator for highs and lows in excess of 3/16 inch (5 mm) and monitor the contractor’s employee recording the locations and magnitude of each out-of- tolerance deficiency. The contractor's employee will mark the location on the pavement with spray paint or other marking method. The Daily Inspection Report will reflect this inspection.

3)     After  the  straight-edging  operation,  the  Contractor  shall  furnish  the  CEI  a  copy  of  the straightedging results together with the method of correction the Contractor plans to use.

4)     The  CEI  shall  be  present  during  the  corrective  work  and  will  ascertain  that  each  surface irregularity  was  eliminated  or  brought  within  the  allowable  tolerance  as  established  in  the specifications. The corrective work will be reported on the Daily Inspection Report.

5)     The  resolution  of  the  deficient  area(s)  will  be  handled  in  compliance  with  the  procedures specified below in Section 4.8.6.2

6)     The CEI documents the corrected areas in Project File and lists the exceptions in Certification Statement and provides a copy to the Authority.

4.8.6.1 Asphalt Surface Deficiency Resolution

1)     If the Contractor requests to leave the deficient area(s) uncorrected with the exception of full or partial pay, then the CEI must obtain the concurrence of the Authority, before notifying the Contractor of the decision.

2)   If  the  Contractor  plans  to  use  corrective  methods  other  than  method  

a)  Removing  and Replacement  or  method  

b)     Overlaying, as specified in Section 330 of the Standard Specifications for Road and Bridge Construction a written request for approval of the proposed methods must be submitted to the Authority. By memo of transmittal, CEI will send the Contractor's request and a copy of the list of surface irregularities to the Authority.

3)     The CEI will approve or disapprove the Contractor's request for corrective action based on the Authority’s comments. The CEI may rescind any approval if satisfactory acceptance test results are not being attained.

4)     Regardless of the corrective method approved and used by the Contractor, CEI shall be present during the corrective work and will ascertain that each surface irregularity was eliminated or brought within the allowable tolerance as established in the specifications. The corrective work will be reported on Form No. CG-R02, Daily Inspection Report.

5)     Upon verifying that all corrections have been accomplished, the CEI will notify the Contractor in writing about the Engineer’s determination of pavement surface acceptance with copies to the CMC.


4.9 CONTROL OF MATERIALS

4.9.1 Purpose

The contract documents contain specifications or references for all materials that are to be incorporated into a project. The FDOT Field Sampling and Testing Manual (published by the State Materials Office) indicate who samples and tests each of these materials and at what frequency.

4.9.2 Method of Acceptance

A manufacturer or supplier provides written certification stating the material supplied meets Authority specification requirements at the time of delivery or prior to placement.  The CEI shall verify that the materials supplied do in fact meet these requirements by reviewing the plans and specifications and comparing them to what has been supplied.   The Qualified Products List (QPL) maintained by the Product Evaluation Section of the State Design Office in Tallahassee provides guidelines concerning material that may be accepted by visual examination.  The QPL is generally accepted on Authority projects; however, the CEI should review the plans and specifications for exceptions.  Not all items on the QPL list are approved for use on Authority projects.

Regardless of the method of acceptance, it is the CEI's responsibility to assure that only materials meeting or exceeding the specifications, or properly documented and approved exceptions, are incorporated into the project. A current record of samples taken and tests run is maintained during the project using a recording system developed by the CEI.  The database shall as a minimum identify the type of material, the sample number, use and location of the material, the required test results, the actual test results, indication of Pass or Fail, and a comments section.  The CEI will keep the database current at all times by insuring prompt entry of sample data, field and laboratory test results.  Prior to the start of construction, the CEI will provide the Authority or designee with an example of the CEI’s method of tracking this data.

4.9.3 Notice of Failing Test Results (NFTR)

In the event that materials fail throughout the course of the project, it is imperative that these issues be documented. The NFTR form can be utilized to document these issues as they arise. Anytime that a laboratory test fails, and there is no resolution sample available this method of acceptance should be utilized. For example if a concrete strength specimen breaks below the specified tolerance, and there is no resolution data (non-verified lot) then this NFTR form would be used to document the failure, and the subsequent CEI rejection or acceptance of the material. Although the specifications may provide direction regarding failing materials (such as the concrete strength being within 5% and allowed to remain in place with a pay deduction), the CEI needs to complete this form and include it in an NFTR file for the project to documents the acceptance of the material. Structural items should be sent electronically to the Authority’s CMC for review. Non-structural items such as failing plastic properties tests that are accepted by compressive strength that is at or above requirements does not need to be forwarded to the CMC; however they still need to be documented in the log and in the files.

In addition to these items, there needs to be resolutions to all test results that fail on the project. Items such as drilled shafts that have CSL testing performed need to be documented as well. This provides a singular place to note the acceptance of non-conforming materials that are used in the project, and ensures that no items that are not accepted are allowed to remain in the completed work.

4.9.4 Material Certifications and Final Records

During the preconstruction phase of the project, the CEI will be responsible for conforming the Sampling, Testing and Reporting Guide (STRG) to their project. This is accomplished by taking the spreadsheet that contains all pay items, and deleting the items that are not included on the project so that the CEI will know what certifications, and tests are required for each item on the project.

The CEI will be required, at project completion, to provide the Authority with detailed and orderly documentation of all materials certifications and test results on all materials used on the project.  The format for this documentation should be similar to the example appended to this section.  However, if the CEI has an existing format that they are more familiar with, and the format is concise and orderly, the CMC may allow it to be used. If the non-standard method is chosen, the CEI must provide this tracking system to the CMC for review during the early stages of the project to make sure that any suggested changes to the system are incorporated into the logs before too many samples have been entered, the records for Toll Plaza construction shall be submitted separately from roadway construction.

4.9.5 Example Table of Contents for Final Material Manual

Table of Contents

Section 1      Project Engineer’s Certification Statement

Section 2      Administration Control of Quality

•      Non-Compliance Issues

•      Notification of Failing Test Results, and Resolutions

Ø  NFTR Log

Ø  Earthwork

Ø  Structural Elements

Ø  Asphalt

Section 3      Drainage

•      Pipe and Structures Certification

•      Bridge Drain Certification

•      Video Inspection Reports (Existing)

•      Video inspection Reports (New)

Section 4      Concrete

•      Pavement

•      Concrete Finishes

•      Sheet Piles

•      Barrier Walls

•      Misc. Concrete, Curb & Gutter, Sidewalk, Ditch and Slope Pavement

•      Retaining Wall System

•      Architectural Walls

Section 5      Bridge

•      Stay in Place Forms

•      Beams and Piling

•      Bearing Pads

•      Reinforcing Steel

•      Expansion Joint Material

•      Poly Sheeting for Piles

•      Structural Steel

•      Sealant

•      Concrete

•      Finishes

Section 6      Drilled Shafts

•      Drilled Shaft Logs

Section 7      Lot Summaries QC/VT

•      Concrete

•      Asphalt

•      Approved Mix Designs

Section 8      Reinforcing Steel

•      Mill Tests and Certifications

•      Concrete Pavement Dowel Bars (Joints)

Section 9      Intelligent Transportation Systems (DMS/FON)

•      DMS

Ø  Warranty

Ø  Shop Drawings

Ø  Sign Product Data

Ø  Stand Alone Acceptance Test

Ø  Factory Acceptance Test

•      FON

Ø  Warranty

Ø  Cable Product Data

Ø  Manhole Cover Certification

Ø  Final Proofing

Ø  OTDR Test Readings

Section 10  Lighting

•      Luminaries Test Results

•      Energy Service Self Inspecting Forms

•      Power Service Certifications

Section 11  Signing

•      Sheeting Warranty

•      Shop Drawings

•      Changeable Message Signs Certification

•      Photometric Readings (Sign Luminaries)

•      Sign Structure and Sign Panel Certifications

Section 12  Traffic Control

•      Traffic Striping

Ø  Warranty

Ø  PPRT Certificate of Conformance

Ø  RPM Certificate of Compliance and QPL Verification

•      Guardrail

Ø  Certificate of Compliance

Ø  Material Certification (Accessories)

Ø  Block Certification

Ø  End Anchorage Assembly and Guardrail Reflector Verification

Ø  Vehicle Impact Attenuators


4.10 Fiber Optic Network (FON) Splicing

4.10.1 Purpose and Definitions

To  implement  specific  procedures  during  the  planning  and  performing  of  splices  on  the  existing Authority’s FON system within the project limits.

4.10.2 FON Splicing Procedure

A minimum of two weeks prior to the splicing of the existing FON, the CEI shall  ensure that the Contractor has inspected and prepared an as-built drawing that depicts how the various color fibers are spliced together.  If it is necessary for the Contractor to access the patch panels in the toll plazas, the CEI and a representative of the Authority must accompany the Contractor.  Contact the Authority’s Manager of Expressway Operations prior to any anticipated work beginning.  Once the review of the existing fiber splices is completed, the Contractor shall turnover the prepared as-builts.  At that time the EOR and or The Authority will review and ensure that the current system, according to the as-builts, will operate properly with the new splice diagram(s).  Existing manholes should be inspected by the Contractor and CEI to ensure that a ladder is installed, the grounding is not damaged and existing ducts are capped. These existing manholes should also be photographed for documentation.

A minimum of one week prior to the FON splicing operation, the CEI is to conduct a pre-splice meeting attended by the Contractor, any subcontractors,a representative of the Authority and any other pertinent personnel. .  Items discussed should include but are not limited to:

1)     Comparing of the contractor’s FON as-built drawings with the most current splice plan in the contract documents to ensure that field conditions agree with plan conditions.

2)     Discussions should include: Date when the splice is to occur, location of splice, who will actually perform the splice, how long the splice is anticipated to last and how will the splice be performed.  Confirm with the Authority the off-peak times when splice can be performed.

The CEI is to ensure that the contractor opens a Sprint ANS ticket a minimum of 1 hour and a maximum of 2 hours prior to the FON splicing operation. The Contractor shall provide a contact name and telephone number for who obtained the ticket and an emergency contact. Immediately prior to the FON splice, the Contractor will notify the Authority.  If Sprint reports that both the NMS and SONET are free of alarms, the Authority will grant approval for the contractor to proceed with the FON splice. The contractor will inform the Authority once operations are complete.  The Authority will verify with Sprint immediately after the FON splicing operation is complete that no NMS or SONET alarms were detected.   The Authority will then confirm with the Contractor and the CEI that the FON system has returned to full operational status.  Once all operations are complete, the Authority has confirmed that the FON system is operational and free of alarms; the Contractor will then close the open Sprint ANS ticket.  The Contractor will inform the Authority that all operations are complete and that the open ticket is closed.  The CEI will verify all communication between the Contractor and the Authority.

The CEI will document all construction procedures performed during the FON splicing operation on a separate Daily Report of Construction.  A photograph will be taken by the CEI of the opened splice enclosure to ensure that the fiber is placed correctly.  Photographs should be taken before and after the splicing operation.


4.11 Lighting Systems

4.11.1 Purpose and Definitions

To provide a uniform procedure to review and document the existing lighting system, load centers and fixtures/devices within and adjacent to the project limits, and confirm that fixtures/devices on these circuits can be maintained by the contractor at the preconstruction condition.

4.11.2 Lighting Circuitry Procedure

Prior to construction, the CEI is to review the project’s existing lighting circuitry and perform the following operations:

1)     Map out existing circuitry/system, load centers and fixtures/devices, within and adjacent to the project limits.

2)     Confirm with the contractor that the condition of all fixtures/devices on these circuits can be maintained at the existing preconstruction condition.

After the review of the existing lighting system has been completed, and prior to any construction activities, the CEI is to perform a project walk-thru with the Authority’s Maintenance Manager to review the condition of the roadway lighting.  Any non-working lights or circuits should be repaired prior to the contractor assuming responsibility for the system. The Contractor will continue to inspect the lighting system for the duration of the project.  These inspections results will be provided to and be verified by the CEI.  Any non-working lights or circuits should be repaired immediately by the Contractor assuming responsibility for the system.  Any changes or repairs shall be documented by the CEI and forwarded on to the Authority’s Maintenance Manager upon discovery.   The CEI will inform the Authority’s Maintenance Manager as soon as the Contractor completes an acceptable repair to the non-working item.

The Contractor and CEI will complete a final project walk-thru at the completion of the project.  Any deficiencies will be corrected before preliminary acceptance.  Once the system is determined to be acceptable, a final walk-thru will be performed with the Authority’s Maintenance Manager.   The Authority’s Maintenance Manager will give the final acceptance of the system.


4.12 CONTRACT DELINQUENCY AND DEFAULT

4.12.1 Purpose

To establish the definition of default and reasons for declaration of default as applied to all construction contracts entered into between the Authority and Contractors; to establish remedies for completion of the defaulted contract; to establish cost liability and damage assessments; to establish details necessary for the pursuit of default proceedings.

A  Contractor  is  in  delinquency  when  the  Contractor  does  not  maintain  satisfactory  progress. Unsatisfactory progress is when the Contract time expires and the Contract Work is not complete, when specific milestone dates have expired and the work is not complete, or when the Contractor falls behind

15 percentage points or more from the dollar value of the planned work using the accepted working schedule for the Project.

Further explanations of this section are found in General Specification Article 6-9 and 6-10. The information provided here does not absolve or preclude and information contained in the General Specifications. It is the CEI’s responsibility to be aware of the specific Contract Requirements.

4.12.2 Reasons for Default

The Authority will give notice in writing to the Contractor and his Surety of delay, neglect, or default, due to reasons stated in General Specifications, Section 6-9.1.  The CEI may only recommend default to the Authority.

4.12.3 Recourse and Remedies

If the Contractor, within a period of ten (10) calendar days after receiving the notice described above, fails to proceed to correct the conditions of which complaint is made, the Authority shall, upon written certificate from the Engineer of the fact of such delay, neglect or default, and the Contractor's failure to correct such conditions, have full power and authority, without violating the contract, to take the prosecution of the work out of the hands of the Contractor and to declare the contract in default.

Upon declaration of default, the Authority shall look to the Surety for completion of the work. If the Surety refuses to complete the work, becomes unacceptable or unreliable in satisfactory completion of the work, the Authority will have full power to appropriate or use any and all materials and equipment on the site which are suitable and acceptable, and may enter into an agreement with others for the completion of the work under the contract, or may use other methods which in the opinion of the Authority are required for the completion of the work in an acceptable manner. If after the ten day notice period, and prior to any action by the Authority to otherwise complete the work under the contract, the Contractor should establish his intent to prosecute the work in accordance with the Authority's requirements, the Authority may elect to permit the Contractor to resume the work.

4.12.4 Cost Liability

All costs and charges incurred by the Authority because of the Contractor's default, including the costs of completing the work under the contract, shall be charged against the Contractor and the Surety. In case the expense so incurred by the Authority is less than the sum which would have been payable under the contract if it had been completed by the defaulting Contractor or the Surety, the defaulting Contractor or the Surety shall be entitled to receive the difference. In case the expense exceeds the sum that would have been payable under the contract, then the Contractor and the Surety shall be liable and shall pay the Authority the amount of the excess.  In the event the Authority elects to permit the defaulting Contractor to resume the work, any costs to the Authority incurred by the delay, or from any reason attributable to the delay, will be deducted from any monies due or which may become due under the contract.   The Authority shall have no liability for anticipated profits for unfinished work on a contract that has been determined to be in default.

4.12.5 Determination of Number of Days of Default

For all contracts, regardless of whether the contract time is stipulated in calendar days or working days, default days shall be counted in calendar days.

4.12.6 Liquidated Damages During Default

Should the Contractor or, in case of his default, the Surety fail to complete the work within the time stipulated in the contract, or within such extra time as may have been granted by

the Authority, the Contractor or, in case of his default, the Surety shall pay to the Authority, not as a penalty but as liquidated damages, the amount so due as determined by General Specification, Article 6-10.

In case of default of the contract and the completion of the work by the Authority, the Contractor and his Surety shall be liable for the liquidated damages under the contract, but no liquidated damages shall be chargeable for any delay in the final completion of the work by the Authority due to any unreasonable action or delay on the part of the Authority. Permitting the Contractor to continue and to finish the work, or any part of it, after the expiration of the contract time allowed, including extensions of time granted the Contractor, shall in no way act as a waiver on the part of the Authority of the liquidated damages due under the contract.

4.12.7 Termination of Contractor's and Surety's Responsibility

The contract will be considered complete when all work has been completed and has been accepted, in writing by  the  Authority.  In  addition  to  liquidated  damages,  the  Authority  may  recover  from the Contractor amounts paid by the Authority for damages suffered by third parties.


4.13 CLAIMS AND DISPUTE RESOLUTION

4.13.1 Purpose and Definitions

To  describe  the  contract  administration  procedure  to  be  followed  for  documenting  and  analyzing construction contract claims to insure comprehensive and supportable recommendations are developed for use in the resolution of claims.

The following definitions are referenced in this section:

Basis for Estimate for a Contract Change Issue: This is a statement which is a required part of the Engineer’s Estimate. This statement shows that the methods used to determine the costs and time impacts for those issues shown in the Engineer’s Estimate were reasonable.

Construction Contract Claim (Claim): A written demand submitted to the Authority by the Contractor, in compliance with General Specification 2.4, seeking additional monetary compensation, time, or other adjustments to the contract, the entitlement or impact of which is disputed by the Authority.

Dispute: A disagreement between the Authority and the Contractor on which the Contractor has submitted, in accordance with General Specification 2.4 a notice of intent to seek additional compensation, time, or other adjustments but has not yet submitted a written claim.

Engineer’s Estimate: The estimate of the actual cost and time impacts to the Contractor caused by a contract change without regard to whose fault the contract change is or the percentage of those cost and time impacts the Contractor may be entitled to recover. For each contract change issue, the Engineer’s Estimate will show the pay items involved along with quantities, unit prices, any time impacts, and the basis for the estimate.

Entitlement Analysis: A document, signed and dated by the Engineer, containing statements as to each issue of a contract change, stating the reasons why the Contractor is, or is not, entitled to recover some or all of the time and cost impacts calculated for that contract change issue in the Engineer’s Estimate. The Entitlement Analysis for each issue should also include a numeric percentage of those cost and time impacts for which the reasons previously stated justify the Contractor’s entitlement. Each contract change issue should include all the pay items associated with that issue.

Negotiated Settlement: The Authority recognizes that a contract change is not a claim if the most recently modified Entitlement Analysis and Engineer’s Estimate completely justify the amount of the contract change. In this case the contract change is defined as a Negotiated Settlement and the Authority does not dispute the amount owed. This contract change will not be called a claim even though there may have been some initial disagreement on entitlement time, unit prices and quantities.

Statement of Claim Settlement Cost: The claim settlement costs are those costs disputed by the Authority but paid solely to avoid the risk of additional costs associated with resolving the claim by dispute review board, arbitration or litigation. Claim settlement costs are the sum calculated by subtracting from the Claim SA amount paid; that amount justified by the Engineer’s Estimate and Entitlement Analysis Percentages. Specifically, that amount justified by the Engineer's Estimate and Entitlement Analysis is the summation, for all claim issues, of the most recently amended Entitlement Analysis percentage for each claim issue, multiplied by the most recently amended Engineer’s Estimate of cost impact for that issue. The Statement of Claim Settlement Costs is simply a page, signed and dated by the engineer preparing it, which lists the claim issues, shows the calculation described above and includes the following: the relevant amounts for each issue, the total amount justified, the total amount paid and the resulting claim settlement cost. Even though a contract change may settle several disputed issues for amounts greater than justified in the Entitlement Analysis and Engineers Estimate, the contract change will have only one Claim Settlement Cost which is the sum of all such costs for the issues settled in the contract change.

4.13.2 Notice

Section 2.4 of the General Specifications requires that the Contractor provide notification in writing to the Project Engineer when the Contractor intends to file a claim and documentation of the work effort resulting from such claims. The notice must be given before the Contractor begins any work on which the claim is based. The notification by the Contractor allows the Project Engineer the opportunity to mitigate the impacts of the claim or begin documenting the impacts and actual costs associated with the claim. Failure of the Contractor to notify the Project Engineer before beginning work on disputed items of work waives the Contractor’s right to claim.   Enforcement of the notice requirement is important in the effective management of claims. If the Contractor indicates verbally during the prosecution of the work that added costs are being incurred, or changes to the contract document are occurring, the Project Engineer should instruct the Contractor to provide the required written notice of the intent to file any claims. A record of any verbal notices or possible notices should be recorded on the Daily Inspection Report form in the "Comments" section. It should be made clear to the Contractor that adequate written notice of intent to file a claim is required if it is to be considered.  The Project Engineer can accept a notification of intent to file a claim only from the prime Contractor. That notice of intent should contain:

1)     A statement as to what changed, including a description of the nature and extent of the change.

2)     An indication of who directed or what caused the change.

3)     A description of how the change has or will impact the Contractor, including reference to any impacted critical activities on the Contractor’s latest accepted schedule update.

4)     A statement of damages, or an estimate of damages if available, detailing the amount of compensation, time and/or other adjustment to the contract that is being requested.

The Authority shall be informed of any notification for the contractor of issues that may result in a change to the scope schedule or cost of the construction contract.

4.13.3 Claim Recognition

The Project Engineer is responsible for recognizing a claim situation, and usually makes the initial determination whether a change or demand made by the Contractor is contested and processed as a claim, or is resolved by a routine supplemental agreement. The recognition of a claim or a change with the potential to escalate to a claim is extremely important so that steps can be taken to resolve the claim in a timely manner. Although claims occur for many different reasons, they are usually based upon a change or alleged change in the Contractor’s operation.

When the CEI receives a claim letter from the Contractor it is their responsibility to review and respond in writing within seven days of receipt. To either acknowledge the receipt of a properly formatted claim letter, or to provide comments on the format of the claim letter so that the Contractor can provide any missing information. The CEI should include the requirements of General Specification Article 2.4.4 which allows the CEI/Authority thirty calendar days to respond to the claim, and that failure to respond to the claim within the allotted thirty days shall constitute a denial of the claim by the Authority.

4.13.4 Coordination

After receiving notice of a claim or becoming aware of a possible claim, the Project Administrator notifies the Resident Engineer.   The Sr. Project Engineer will inform the Authority in writing of the claim.

If a claim involves a utility or JPA, the Project Administrator must also immediately notify the utility owner that the Contractor has notified the Authority of his intention to file a claim.  This notification may be verbal, but must be immediately followed by a letter signed by the Project Engineer.

For additional assistance on difficult claims the Authority may contact their legal counsel in accordance with the Authority’s guidelines on such contacts. The Authority shall approve any request for review by legal counsel.

4.13.5 Minimum Documentation

All contract claims need three (3) pieces of written documentation.

1)     An Entitlement Analysis showing the percentage of entitlement for each of the various claim issues and the reasons why.

2)     An Engineer’s Estimate, which will be stated in dollars for extra work and days for delays.

3)     A Statement of Claim Settlement Cost, which are those costs the Authority does not believe it owes the Contractor but is willing to pay to avoid the risks associated with not resolving the claim.

For all claims, the Entitlement Analysis and the Engineer’s Estimate shall be done before starting negotiations with the Contractor. It is advisable, but not mandatory, that the Entitlement Analysis and the Engineer’s Estimate be committed to writing before starting negotiations with the Contractor. It is mandatory that the Entitlement Analysis, the Engineer’s Estimate and a Statement of Claim Settlement Cost (if there are any) shall be committed to writing before sending the contract change document to the Contractor for signature.

To be worthwhile, documentation must include all relevant facts and be objective in its coverage. Frequently the most valuable sources of information are the daily and weekly construction project reports produced by the CEI project staff.  The Project Engineer should also review these daily and weekly construction project reports for completeness when a claim or disputed work is involved.

Concurrent  documentation  is  often  a  major  factor  in  determining  the  weight  or  impact  of  a  given document during administrative and legal considerations. A brief note on the daily construction project report, which was made at the time of a particular occurrence, will often have more validity than a carefully worded, memo to the file prepared weeks or months after the fact. Project personnel are to make notes and comments on project records and documents to describe events or record their observations of the situation at the time of occurrence, and take dated photographs or video records of the conditions. These notes should be objective and professional, relating to the facts, without bias or opinions.

When the Project Engineer receives a notice of intent to make a claim from the Contractor, the Contractor’s equipment, labor and material used on the disputed work must be documented.  The Project Engineer must keep an accurate record of the types of equipment, including equipment serial numbers, and lengths of time it is used in performing disputed work, required to be on standby, or idled because of the disputed work. The number of workers, their job classification and time spent in performing the work related to the claim must be recorded as well as materials and quantities used. On larger projects, with multiple claims, location of crews by foreman and station number should be recorded on the daily construction project report. Accurately tracking this information will allow the Contractor’s statement of damages to be verified upon submittal.

4.13.6 Claim File

Once a claim has been identified by receipt of a written notice from the Contractor of the Contractor's intention to make a claim, the Project Engineer should establish a separate file for each claim and keep copies of all documents related to the claim.  These claim files will serve as the primary source of information relating to the claim. These files should be kept current and orderly, such that a review of the files will provide a full understanding of the claim and a logical progression of events.  Such claim files are privileged information to assure confidentiality of your analysis and recommendations during certain claim settlement investigations undertaken with direction of legal counsel.

Good documentation comes from many sources and in various forms. Some of the most important types of documentation are excerpts from the contract documents, and are frequently not made part of the supporting documentation in the claim file. When notice of intent to file a claim is given to the Authority, the first thing that the Project Engineer must do is research the contract documents to determine exactly what the contract says with respect to the claim. All pertinent drawings, notes, specifications, and special provisions should be included or referenced in the claim file. Project personnel must remain aware of the many sources, which can provide information regarding a claim, and make the required effort to review those sources and document the findings.

4.13.7 Contractor’s Submission of Claim

The Contractor’s notice requirements and the content of the Contractor’s written claim submission, including the Contractor’s certification of the truthfulness of that written claim submission, are stated in General Specification 2.4. These requirements are to be enforced.

Within 60 days after the start of an occurrence of which the Contractor has submitted a notice of intent to file a claim, the Contractor should submit a claim package to the Project Engineer stating the amount of compensation and contract time or other adjustments to the contract that are being requested.

1)     The Project Engineer should encourage the Contractor to submit the claim package for review as soon as possible. It is the prime Contractor’s responsibility to submit claims. Claim packages will not be accepted from a subcontractor.

2)     It is incumbent upon the Contractor to provide a complete claim package. The claim package should state  the  Contractor’s position and  the  alleged reasons  for the claim.  The  claim package should explain how the Contractor was impacted and the associated impacts costs.

3)     If adequate detail is not provided in the Contractor’s submission of the claim package, the Project Engineer should specify the additional information needed, and return the claim package to the Contractor as soon as possible, but in no case later than 30 days from the date of receipt of the claim package. The Contractor should determine the amount of damages asserted due in a claim situation and present those damages to the Engineer for review.

4)     For claims against utilities, the Project Engineer shall forward a copy of the Contractor’s claim package to the utility owner by certified mail with return receipt requested.

5)     The Project Engineer should consult with the Authority and shall notify the utility owner in writing that the claim has been received. The intent of this letter is to allow the utility owner the opportunity to negotiate a settlement directly with the Contractor if desired.

4.13.8 Analysis of Claim Packages

Upon receipt of a complete claim package, the Project Engineer will review the claim and compile any additional documents deemed relevant and forward to the Authority for review.

The availability of facts will vary depending on the level of review. As a claim is processed for higher level review, all pertinent facts must be provided to the next level. The first level of review for a claim will usually be at the Project Engineer’s level. It is at this level that all facts are documented from project records and the original Entitlement Analysis and Engineer’s Estimate are produced.

The initial source of information and facts are contained in the Contractor’s claim package.  The project records must be reviewed to determine if the facts presented by the Contractor can be verified, and to determine if the Contractor’s information is incomplete or misleading.  Relevant additional information and any conflicting information should be identified. The reviewer should separate the facts into three categories:  those  the  Authority  and  the  Contractor  agree  on;  those  which  are  unsubstantiated  or incomplete; and those which are disputed by the Authority.  For facts, which are disputed, the reviewer should identify what the correct facts are believed to be, with references to backup documentation.

Gathering and establishing of the facts should be done before beginning the two-step review process. The facts will need to be available to adequately perform each step.

The reviewer must first determine whether the claim has any basic merit, or whether it should be denied because there is no basis for entitlement.  The reviewer should make this determination on the individual merits and available facts pertaining to the claim situation.  When determining claim entitlement, the reviewer should address the following questions for each claim issue.

1)     Did the Contractor provide the required notice of intent to claim?

2)     Was there a change to the original contract requirement that led to the claim?

3)     Who or what caused the identified change?

4)     What were the impacts to the Contractor due to each identified change?

5)     Were the impacts unexpected or unreasonable?

6)     Could the Contractor have avoided any adverse impacts through proper action?

7)     Was it reasonable to have anticipated the identified changes at the time of bid?

8)     Did the Contractor attempt to mitigate the claim or its effects?

9)     Was complete claim documentation provided in the timeframe outlined in the contract?

10)  Determine any percentage of entitlement on each claim issue as follows:

a)        When  the  items  above  completely  support  the  Contractor’s  position,  percent entitlement would be one hundred percent.

b)        When  the  items  above  completely  refute  the  Contractor’s  position,  the  percent entitlement would be zero percent.

c)        When items above support only a partial entitlement based on the fact that the Contractor was partially responsible for the claim issue state the partial percentage of the total cost and time impacts the Contractor is entitled to recover along with the reasons why.

4.13.9 Claim Settlement

Determining the extent of compensation is the second step in the analysis of a claim package after it has been determined that the Contractor has some entitlement for the claim. In this step the reasonable costs the Contractor incurred or will incur must be determined.   The Contractor is responsible for providing a claim package, which includes a detailed breakdown of the costs incurred. The CEI needs to compare the Contractor’s cost calculations with the Engineer’s Estimate by pay item and verify their validity.  These costs should relate to the impacts on the construction identified in step one which established the basis for eligibility.

4.13.10 Dispute Resolution

When the Contractor cannot accept the Authority’s denial or settlement offer on a claim, then the appeal process will be ruled by the contract, General Specification Section 10.2.5.  This section describes fully the steps required for appeal, presentation of arguments, and the dispute resolution.


4.14 MICRO CONTRACT ADMINISTRATION

4.14.1 Purpose

The Micro Contract program is designed to assist disadvantaged business owners by giving opportunities to become familiar with competitively bid work for a public agency and with the Authority’s procedures and personnel.  The goal is to develop a number of contractors qualified to perform the wide array of work the Authority might require.

4.14.2 Identify the Need

Micro Contracts provide an additional tool for the Authority to construct small projects in a timely manner.   The maximum contract amount for Micro Contracts is $200,000.   Consider using a micro contract in order to supplement extra work on a larger contract, when the extra work will not interfere with the progress of the larger contract.  Inform the Authority when there may be an opportunity to use a micro contract for final direction.  The Director of Construction and Maintenance will assist in identifying the need to proceed with a micro contract.

4.14.3 Bid Package

Once the need for a micro contract has been established, a Scope of Services should be written.  It should include all of the information a contractor will need to perform the work, such as the following:  clear direction, references to specifications, drawings, modified plan sheets, references to standard indexes, location, project limits, estimated quantities, duration, and method of compensation.  After the scope is clearly defined a Bid Form will be created.  This form will ensure that all bids are uniform.  Create a spreadsheet with a list of pay items and their units (i.e. lump sum, each, linear foot) and let the contractors fill in bid prices.  Most work should be paid on a lump sum basis, unless it is in everyone’s best interest to pay on a per unit basis.  The CEI should prepare an Engineer’s Estimate for the Authority.  Throughout the bidding process, the Procurement Manager at the Authority will be your contact person for Micro Contracts.

4.14.4 Bid Process

The Scope of Services, Bid Form, and Engineer’s Estimate should be submitted to the Authority.  The Authority will initiate a Request for Bids and send it out to contractors.  The Request for Bids will give the details from the scope, a scheduled time and location for a Pre-bid Meeting if the project warrants this, and a deadline for submitting bids.  If a pre-bid meeting is held, circulate a sign-in sheet, ensure that all contractor’s in attendance sign it, and keep a careful record of all details discussed in the meeting. Before bids are submitted, be sure that all prospective bidders have access to the same information i.e. any clarifications made during the pre-bid meeting or additional requirements included in the scope. Sealed bids will be sent to the Authority.  Bids received before the deadline, will be opened and recorded at a bid opening.  All bids that conform to the bid form will be compared, and the lowest bidder will be selected, assuming that there are no outstanding circumstances to prevent this.

4.14.5 Contract Administration

After the selection, prepare the Contract and Notice to Proceed for execution by the Authority and the Contractor. While the Micro Contract process is intended to be simple and efficient, proper administration and documentation are important.  The Notice to Proceed will indicate when contract time will begin. This is especially important if your scope includes liquidated damages.   It is essential that all parties clearly understand the scope involved with each micro contract.  Before work begins, if the complexity of the project warrants, a pre-construction meeting should be held to ensure the contractor is aware of all that will be required of them.  Jobsite inspection should be frequent enough to make certain that the work is being performed in accordance with the scope.  Remember that this program is geared toward contractors who may have limited experience with certain types of work or with governmental contract management.

Try to help them understand the work and the process.  Establishing correct practices from the beginning will prove to be beneficial in the end.  Keep daily reports for each contractor and for each contract. Subcontracting of work is allowed so long as there is a verified, written, contractual agreement between the prime and the sub.

Quantities and measurements on items that are not lump sum can simply be recorded in tabular form and placed in the project file.  Micro Contracts should be kept as simple as possible.  Any change in scope or significant change in quantity of work needs to be documented with a change order (example included in Forms Section of the ACPAM).   It is not necessary to pay the original contract amount to 100% and document minor over and under runs with a change order.  Simply pay the final quantities at the final measured amount.

Material testing requirements may be reduced on a project by project basis, depending on the complexity, quantity, or certifications provided.  Adequate testing should be performed to ensure proper materials are being incorporated into the project. Determinations of the required amount of testing must be discussed with the CMC prior to implementation.

If the contractor requests a time extension, the Project Engineer shall review all relevant facts surrounding the request and make a recommendation to the Director of Construction and Maintenance.  All time extensions will be in writing from the Authority to the contractor.

4.14.6 Payment

The default frequency for payment on Micro Contracts with durations of more than a month is work completed through the 25th will be paid the last day of the following month.  However, pay requests can be processed at any time for work completed to date.  A standard pay request (example included in Forms Section)  should  be  submitted  to  the  Administrative  Assistant  to  the  Director  of  Construction  and Maintenance.  All back-up material for the estimate will be kept in the CEI’s project files.

4.14.7 Project Close-out

After the project has been completed, the final inspection performed, and the Final Acceptance granted in writing, the CEI shall obtain written confirmation from the contractor regarding agreement of final quantities.  Final payment can then be made and project documentation should then be closed out.  The CEI will retain the original copies of all files generated for the contract.  A copy should be made and submitted to the Authority bound in a three ring binder for their records.  Include all relevant files such as: a copy of the contract, request for bids, pre-bid documents, Scope of Services, bidders list, original bid tabulations,  material  test  results  and  certifications,  final  contract  amount,  final  contract  time,  any drawings, significant correspondence, weekly summaries, pay estimates, and contract amendments.

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