6.1 Project Acceptance
Substantial Completion: All pay item work is complete; the only remaining work to be performed is the punch list.
Semifinal Inspection: An inspection conducted by the Engineer after notice from the Contractor and within seven days of Substantial Completion.
Final Acceptance: Acceptance of a project by the Authority after all items of work has been completed satisfactorily.
6.1.2 Preliminary Field Inspection
When the Project Engineer determines that the project is 90% complete, they may notify the Contractor and a representative of the maintaining unit that the project is near completion. If the Contractor agrees, then the Project Engineer will meet with the Contractor's representative and a representative of the maintaining unit to review the project and determine if the project is sufficiently complete to warrant a preliminary field inspection. This field inspection is a recommendation; it is not a requirement of the specifications. It should be undertaken in the spirit of cooperation to insure a timelier and problem- free, semifinal inspection. The preliminary field inspection should generate a deficiency list from which the contractor may use to assist in completing the project in a more efficient manner. All deficiency lists should be transmitted to the contractor stating that this is not a punch list, but a deficiency list for his use in completing the project efficiently. If the project contains overhead sign structures and/or bridges, the CEI shall be responsible for requesting the appropriate FDOT and Authority representatives to schedule an inspection of these structures.
6.1.3 Substantial Completion and Semifinal Inspection
After the Contractor has notified the Project Engineer that the project or portion of the project is
complete, and the Project Engineer agrees that all the pay item work is complete, the Project Engineer shall notify the contractor and a representative of Maintenance, in writing, that the project has attained Substantial completion. The Project Engineer, Sr. Project Engineer, Maintenance and the Contractor and will perform the semifinal inspection within seven (7) days of Substantial Completion. As part of the semi-final inspection, representatives from Maintenance and Construction will perform a joint review of the project with special emphasis on the condition of the items identified in the Initial Project Condition Report (Section 3.1.7). If discrepancies between the Initial and Final Project Condition Reports are identified that cannot be resolved in the field, the discrepancies must be escalated to OOCEA’s Maintenance Manager and Director of Construction. The CEI will generate a Final Project Condition Report, with resolutions of discrepancies if any, and provide a copy to Maintenance and the Contractor, and include a copy in the Final Closeout Manual. If, at the semifinal inspection, all construction provided for and contemplated by the contract is found complete to the Engineer's satisfaction, such inspection shall constitute the final inspection, as prescribed in herein. If, however, any work is found unsatisfactory, in whole or in part, the Engineer shall compile a "punch list" of work to be completed. A copy of the "punch list" will be furnished to the Contractor, with the indication that the work so noted must be completed prior to final inspection and acceptance. Time shall continue to be charged on the project. Any "punch list(s)" furnished to the Contractor shall state that it is not to be construed as the "final" list. It shall also state that items damaged beyond the control of the Contractor and prior to the final inspection must be corrected prior to final acceptance. It shall also state that the Contractor is still responsible for maintenance, including mowing, of the facility until final acceptance.
Some projects may require representatives from the FDOT, Local Municipalities, Utilities or another specific field of expertise to participate in the semifinal inspection, and it is the responsibility of the CEI to notify the appropriate agencies of this inspection. Other interested governmental agencies will be invited to participate.
6.1.4 Final Inspection
Whenever all materials have been furnished, all work has been performed, and all the Construction contemplated by the contract has been satisfactorily completed, the Contractor shall request that the Authority make the final inspection according to Section 3.9 of the General Specifications. When the
Contractor has completed the "punch list" items, the Engineer shall notify the contractor in writing of their findings and also that Contract Time will continue to be charged until all items are complete. If all punch list items are found satisfactorily complete, proceed to Final Acceptance, Section 6.1.5.
6.1.5 Final Acceptance
When the Authority is satisfied that all items of work are completed satisfactorily as called for in the contract, including resolution of all third party claims, the project will be accepted. The responsibility for final acceptance cannot be delegated to a CEI. However, a CEI Sr. Project Engineer can make the recommendation for final acceptance to the Authority. If the Authority, including Construction and
Maintenance, concurs, the CEI will notify the Contractor in writing that the Project has been final accepted. This notification shall also inform the Contractor of their requirements in order to close out the project. These requirements may be listed in several locations in the specifications and permits. A thorough review should be performed to include all the requirements. The requirements are located in section 7.9 of the General Specifications, Acceptance and Payment, and section 3.3.1 of the General Specifications, Record Drawings.
6.1.6 Notice of Final Acceptance and Maintenance Responsibilities
The following data shall be transmitted to the Authority and the Contractor immediately after Final Acceptance.
1) Notice of Beginning of Construction;
2) Notice of Substantial Completion
3) Notice of Completion of Construction and Final Acceptance
4) Liquidated Damages withheld.
6.1.7 Final Warranty Expiration
Several items on the project may have a 12 month warranty that would extend beyond Final Acceptance.
Either a CEI or another Authority representative, in conjunction with a representative from Maintenance, shall perform a Final Warranty Inspection one (1) month prior to the warranty expiration, any deficiencies noted in this inspection must be immediately brought to the attention of the Authority’s Director of Construction.
6.2 Final Estimates Preparation
This chapter introduces procedures for assembly of required final estimates documentation that will assist those charged with the responsibility of recording final quantities and preparing final estimates. It will also show how to compile final measurement requirements and techniques to ensure that items specified to be final measured are accurately and efficiently done.
Information contained in this chapter explains the procedures to be used by CEI offices for documenting final pay quantities. It is intended to help CEI personnel determine the pay item information that is to be documented, reviewed, and forwarded with the final estimates package to the Authority.
The CEI must begin preparation of the Final Estimate at the beginning of the project with proper methods and calculations to support the Final Estimate. The Project Engineer (PE) for the final estimate must be familiar with the standard, general, and technical specifications, method of measurement, and payment for each pay item on the project. Accurate and up-to-date field records must be kept as the project progresses to ensure that final estimates are compiled in an efficient and timely manner.
The following rules shall be observed:
1) Always check to ensure there is a computation book for each project before construction begins.
2) At the pre-construction conference, the CEI will establish agreement with the contractor to the accuracy of the existing ground elevations to be used to calculate earthwork quantities. Prior to clearing and grubbing operations, the CEI will request a formal letter from the contractor accepting the original cross-sections.
3) Final Measured Concept Items - After a contract item appears for payment on the Authority’s monthly or progress estimate, that quantity along with supporting measurements and computations are required to be complete and in the CEI’s office ready for review. The following requirements are:
a) Site Source Records, Daily Log Sheets, Tabulation Forms, etc., will be in the CEI’s office to support monthly payments made.
b) Field Books will be available in the CEI’s office to support monthly payments made. (A copy can be left in the CEI’s office to show documentation of monthly payment.) Original measurements are to be turned in when they are completed.
c) Final “As-Built” Plans will be updated as work progresses and be available for review in the CEI’s office to support monthly payments made.
d) Computer output forms, automatic printer tickets, etc., shall be made available in the CEI’s office to support monthly payments made.
i) NOTE: If monthly payments are based on estimated quantities/contractor’s invoice, it will be so noted on the weekly workbook or other methods of tracking and made available to support monthly payments.
4) Plan Quantity Concept Items - The computation sheet in the computation book or matrix in the plans shall show the location, quantity and traverse/chain name. A location sketch that identifies the area, the quantity, and the reference baseline/centerline name can be helpful. (Note: labeling of the chain points and curves and computer outputs, are not required to be placed in the computation book. The Engineer of Record must keep all supporting information in his/her files until the Contractor has accepted and received final payment.)
5) Prior to construction, the CEI is to check all plan quantity bid items to determine if any plan errors exceeded 10% of plan quantity or 10,000.00. At the completion of the required plan quantity checks, if any substantial deviations from plan quantity are confirmed, the contractor shall be advised of these plan errors in writing at the preconstruction conference or when the errors are detected. If a question arises during the construction of a project involving quantities for one or more of the plan quantity items, then address and correct the quantities in the following manner:
a) Quantity Errors of Minor nature: An example of this would be if the Engineer of Record left out 1000 LF of curb and gutter. A simple correction here would suffice.
b) Quantity Errors of Major Nature: An example of this would be if the Engineer of Record left out the southwest quadrant of an intersection. Errors of a major nature are to be resolved by the Engineer of Record. The CEI will request in writing that the Engineer of Record provide detailed documentation or verify the concern for the plan quantity item(s) in question, and provide any supplementary pages such as revised computation sheets or matrices.
c) The Engineer of Record must produce the backup documentation within 5 working days of the request from construction.
6) Any question on pay item interpretation, adjustment, extra work, etc., for any item shall be resolved with the Contractor as it occurs. Do not wait until the end of project.
7) Final “As-Built” Plans, payment records (e.g., tabulation forms, field books, etc.,) and required documents (e.g., SAs, monthly payment certifications, etc.,) shall be kept current as the contract progresses.
8) Final measured items shall be reviewed to make a determination of which type of measurements, sketches, and/or calculations are necessary to document final payment.
9) Removal items (e.g., existing pavement (if a separate pay item), guardrail, pavement markings, etc.) shall be pre-measured and recorded before that item is removed.
10) Decisions regarding earthwork items cross sections shall be made before clearing and grubbing work has started. If cross sections are waived, then the waiver forms shall be submitted.
11) A computation book sheet is required and/or plan matrix for each contract item is required on projects other than Lump Sum.
6.2.3 Final Quantities
Generally, surface measured items and linear measured items are addressed in this section. Specific requirements for final measurements of pay quantities are found in the Specifications and Special Provisions.
Final Measure Items: On many items, quantities for progress and final estimates must be documented by final measurements as the work is actually accomplished. The monthly estimates show the quantities completed through each period, and therefore have the final measurements recorded as individual pay items are completed. When the project is completed, field books are submitted along with the other estimate data to substantiate the final quantities. Final measurement of pay quantities in field books will generally fall into one of the following categories:
Area Measurements: When items are paid for on the basis of the area of the finished work, the dimensions for calculating these areas shall be documented in the field records. This shall be done in accordance with one of the following methods, as per the Specifications:
1) The length shall be the station-to-station dimension shown on the plans or the station- to-station dimension actually constructed within the project limits as designated by the Engineer. The width shall be the width actually constructed within the neat lines shown in the plans or designated by the Engineer within the project limits.
2) The length and width as measured in place, usually with length measured along the centerline of the construction work, and width measured at a right angle to the tangent of the centerline.
3) Stations and offsets must be recorded and used as latitudes and departures to calculate area. Curve corrections to account for a curved baseline must be applied to area calculations. When the baseline used for measuring areas is neither the project’s centerline of construction nor a baseline for stationing shown in the plans, then the baseline must be straight lined with beginning and ending points referenced to the centerline of construction by station and offset as mentioned earlier.
4) The coding forms and output of geometry programs must be included in the computation book as documentation for final area measurements when utilized. (If the computer programs are used, the calculations shall be checked and the actual site source measurements submitted with the computer output.)
Linear Measurements: The dimension documented for items paid for on the basis of linear foot shall be the length shown on the plans or the length actually field measured along the finished surface of the item as required.
Volumetric measurements: Field quantities for items paid for on the basis of volume = cubic yards or cubic feet, are usually determined by one of the following methods:
1) Concrete quantities are generally paid for on the Plan Quantity basis unless authorized field changes have been made or unless final field measurements are dictated by the particular pay item such as miscellaneous concrete for contingent use.
2) Cross Section notes are recorded along both the original surface and the surface of the completed work either by field parties or as determined by aerial photography and the volumes are calculated by hand or by use of the computer facilities. Cross sections with end area and volume computations can also be used in calculating buildup volumes of spalled concrete members.
Per Each Measurement: Items paid for as a unit, such as fence gates, etc., shall be tabulated by location in the final records.
Lump Sum Items: Where the pay quantity for an item is designated to be a lump sum and the plans show an estimated plan quantity, compensation for that item will be adjusted proportionately when a plan change results in a significant increase or decrease in the quantity from the estimated plan quantity. When the plans do not provide adjustments for contingencies, establishment of a new unit price through a Supplemental Agreement shall compensate for changes in the cost of completing the item.
Plan Quantity Items: The current documentation requirements are as follows:
1) The computation book sheet or plan matrix will show the location, quantity, and the traverse/chain name.
2) CEI will include computation book sheet(s) for plan matrix item if not included in computation book provided by EOR, for the final estimate. A location sketch- identifying the area, the quantity, and the referenced baseline/centerline name. The location sketch that identifies the area, the quantity, and the reference baseline/centerline name should be contained in the CADD files submitted to the Authority
3) The designer must keep all supporting information in their files in accordance with the Authority’s document retention requirements, but no case until after the Contractor has accepted and received final payment.
4) Should a dispute arise involving quantities for one or more of the plan quantity items, the CEI will request in writing, that the Designer provide detailed documentation or verify the concern for the plan quantity item(s) in question. The backup documentation must be produced within five (5) working days of the request from construction.
5) The plan quantity concept, where properly utilized, will eliminate re-measurement and recalculation. Plan quantities cannot be accepted by the PE until the control points for developing the item on the physical project are checked. Some of these controls for roadway items are:
a) Centerline lengths down the project
b) Radii length
c) Intersection angles between the project and other roadways
d) Project widths, etc.
6) CEI is not required to make detailed calculation entries when no changes are made.
7) Plan errors do happen. When an error is found, it shall be corrected with proper documentation and references made to location.
8) If plan quantity items increase or decrease, field measurements and/or revised computations must be submitted with the Final Estimates.
9) For deviation from the Plan Dimensions: Refer to Section 7.3.4 of the General Specifications.
10) When changes in limits are authorized, the CEI must show the revised quantities by showing revisions alongside the original designer’s calculations. If an area is added, another form showing the calculations for these quantities can be added to the original calculations. (Do not remove, erase, etc. designer work strike-through and initial any changes.)
11) Some method must be employed by the CEI to prove or revise the Plan Quantity; some of the suggested methods are as follows:
a) Field measure.
b) Scale from plans
c) Station to station calculations
d) Joint counts (with cut-offs deducted)
12) Plan Quantity Items on multi-project contracts are to be evaluated per contract total, not per project total. Evaluation for multi project contracts must employ a correction to the “contract total.”
Note: If each project had been on a separate contract, the revised final measured quantity would have been paid. However, when two or more projects are on the same contract and the total combined change falls within the Plan Quantity Parameters, no change is made to the Plan Quantity. If plan quantities change on multi-project contracts, the CEI should apply the change properly to each project.
13) The Plan Quantities for Asphalt and Base need to be adjusted for density adjustments, lot failures, and thickness according to the specifications.
Note: the core thickness measurements need to be measured and recorded to the nearest 1/16” by the CEI, as required by the Authority.
14) The CEI must make their own analysis of the accuracy of plan quantity items. It is not the intent of the Plan Quantity concept to require laborious measurements and is intended to save man hours through less field survey work.
Each Day Item for Engineer’s Field Office: This item shall be documented by project personnel on the appropriate form. Payment will be made for each day the field office is available for use by Authority personnel beginning ten (10) days before contract time begins and up to thirty (30) days after final acceptance, unless the Authority requests removal earlier in writing. The Contractor will be given ten (10) days notice before he removes the office.
6.2.4 Explanations of Overruns and Underruns:
As discussed in Section 5.2.3, Initiating Supplemental Agreements or Unilateral Agreements, at the end of the project, the original pay items and pay items that were added by Supplemental Agreement are brought to 100% of plan quantity. All pay item increases or decreases to plan quantity, not previously addressed by supplemental agreements throughout the life of the project, are then explained in a final Supplemental Agreement or Unilateral Payment.
A final overrun/underrun spreadsheet of all supplemental agreements executed throughout the life of the project, including the final supplemental agreement, is to be included in the Document Summary Manual, Section 10, and justification of Over/Underruns. Copies of this spreadsheet are located on the Authority’s construction website.
Note: If the Authority does not require that all of the contract bid items be brought to 100% of plan quantity at the end of the project, a separate explanation for bid items with overrun/underruns may be required.
General guidelines for documenting and submitting explanations of overruns and underruns are listed below:
1) Each contract item’s overrun/underrun shall be summarized from the brief notes and remarks recorded in the Computation Book at the time the final quantities were calculated.
2) Contracts that include more than one project will have the Overrun and Underrun explanations broken down for each project.
3) Supplemental Agreements that alter the original plan quantities should be tabulated as explanations of Overruns and Underruns for the appropriate items.
4) Final quantities are subject to change during the checking of the estimate. This may also necessitate a change or correction in the explanation of an Overrun or Underrun. Therefore, any advance copies furnished before the estimate is checked shall be plainly marked as tentative.
6.2.5 Contractor’s Close-out Requirements
After final quantity reconciliation, SA incorporation and liquidated damage assessment, the CEI issues the final Pay Estimate to the Authority. A copy of the final estimate will be sent to the Contractor with a request for the following final close-out documentation:
1) Contractor’s Final Release (Form CG-F02)
2) Form 21-A Execution of Affidavit and Surety Release (Form CG-F03)
3) Certification of Disbursement of Previous Payments to Release Final Payment (Form CG-F05)
4) Record of Construction Materials Affidavit (Form CG-F06)
5) Contractor’s Acceptance of Final Payment (Form CG-F07)
6) Full and complete claim documentation as described in GS 2.4.3 within 30 calendar days of the Contractor’s receipt of the Authority’s final estimate. Failure of the Contractor to submit this constitutes a full, complete, absolute and irrevocable waiver by the Contractor of any right to additional compensation for matters related to final quantities.
7) As-Built drawings which consist of full sized set of blue prints in good condition with all changes marked in red, accurately plotted.
8) A benchmark in the vicinity of each outfall structure and recorded in the as-built plans in accordance with SP-5 Permit Conditions.
9) All required certifications, warranties, names to be contacted for warranty repairs, maintenance bonds, and other similar requirements of the Contract.
10) All required Training, Operation and Maintenance Manuals, product information and source, and replacement products.
6.3 Document Summary Manual
The construction projects will have a Document Summary Manual which is based on the index provided below. This manual is required for each construction project, and serves as a quick reference guide for the Authority following the closeout of the project so that they have reference material to help resolve issues should any arise.
6.3.2 Timing and Format of the Manual
The CEI needs to begin assembling the items for the Document Summary Manual in the early stages of the project, as documents become available. Items such as the Advertisement and Notice to Proceed are available early in the project and can go directly into the Document Summary Manual. This manual can serve as a reference book for key project material throughout the duration of the contract.
The manual should be assembled using a three-ring binder (3”) with tabs separating each major section. Large sections, such as warranties or Supplemental Agreements, can be assembled in a separate binder and referenced by the specific section in the Document Summary Manual. The documents inserted in the manual need to be either originals or clean readable copies. One original (OOCEA) and one copy will be forwarded to the CMC at project completion.
6.3.3 Content and Sample Outline
The following listing shows the contents and sample outline of the Document Summary Manual
1) MAPS – showing the location of the Project
2) ADVERTISEMENT – from the newspaper clipping
3) BID TABULATION – from the General Design Consultant
4) ENGINEER’S ESTIMATE– from the General Design Consultant
5) CONTRACT WITH BONDS & INSURANCE – a complete copy of the Executed Contract
6) LETTER OF AWARD & NOTICE TO PROCEED – from the Authority to the Contractor
7) APPROVED SUBCONTRACTOR LOG
8) APPROVED SUPPLEMENTAL AGREEMENTS & CHANGE ORDERS (attach Final Compiled Consent Agenda, Final CPR Log & Work Order Log)
9) FINAL PAY ESTIMATE
10) JUSTIFICATION OF OVER/UNDER RUNS
11) CONTRACTOR’S FINAL AS-BUILT SCHEDULE
12) FINAL SHOP DRAWING LOG
13) PENDING CLAIMS, CEI ACCEPTANCE LETTER, INITIAL AND FINAL PROJECT CONDITION REPORTS, & NOTICE OF BEGINNING/COMPLETION.
14) CONTRACTOR CERTIFICATIONS:
a) Form 21-A Final Release & Consent of Surety
b) Final Certification of Previous Payment
c) Certification of Materials
d) Contractor’s Acceptance of Final Payment
e) Contractor’s Certification of Pond Locations
15) WARRANTIES, GUARANTEES AND MANUALS
16) BOX INVENTORY FORMS
6.4 Document Retention
6.4.1 Purpose and Definitions
To assist each CEI with the Authority in complying with applicable public record laws and meeting
requirements for Authority’s public records retention, management and distribution, public records requests, and micrographic and electronic records.
Active Records: Those records, which still have sufficient administrative, fiscal, legal, or historical value to warrant their continued storage in an easily accessible area.
Agency: Any state, county, district, municipality, department, division, board, bureau commission, or other separate unit of government created or established by law.
Document: A public record, assembled or created, which is needed to trace the actions, steps or decisions of an agency in connection with official business.
Duplicate (or Convenience) Records: Reproductions of (master) copies, prepared simultaneously or separately, which are designated as not being the official copy.
Inactive Records: Those records which have lost some of their value or have been superseded by new records, but which have not reached their specified retention. These records can be stored off-site until final disposition is warranted.
Official Record Plans: The plans that have been signed and sealed by the Engineer of Record.
Permanent or Long-term Records: Records that have been determined to have sufficient historical or other value to warrant continued preservation. Records with retention of 10 years or more should be stored electronically as permanent records to ensure the preservation and availability of information for the required retention period.
Retention Period: The period of time necessary to retain records before they have outlived their administrative, legal, fiscal, or historical usefulness.
6.4.2 List of Deliverables
The CEI needs to assemble the following Permanent Records for submittal to the Authority after final acceptance, and after the Final Estimate and the Document Summary Manual have been completed.
1) Final Plans with inserted Shop and Erection Drawings, attach any RFI’s pertinent to a page revision to the back of the affected plan sheet for clarity. Provide at a minimum two copies of these records, one delivered to the GEC and one for the Authority. Provide any additional copies as directed by the Authority.
2) Field Books (Pile Driving Records, Bridge Deck Thickness Records (screed demonstrations (“dry” and “wet” runs)), Drilled Shaft Logs, Structural Bolt and Welding Inspection Records and any other inspections documented in a permanent field/log book)
3) Final Measurement Items
4) Final As-builts
5) Any Plan Quantity Revisions due to plan changes/revisions and/ or plan errors
FINAL ESTIMATE Computation Books
Field Books used as site source records for inspections or payment.
Reference Pay Item Files (for items needing complex calculations, backup, or adjustments)
Contract Time Folder (Contract Time Log, Final Acceptance, NTP, and time adjustments) Supplemental Agreements, Field Supplemental Agreements Work Orders and/or Field Work Orders
1) The Project Material Certification Letter
2) A Project Administrator’s Material Statement
3) Material Acceptance Manuals (
4) Material Acceptance Letters (Including NFTR/DDM forms and or logs if applicable)
5) Earthwork Density Log Book
6) Certifications for pre-stressed concrete units, including piling, beams, etc.
7) Toll Plaza Material and Equipment Acceptance Manuals (if required)
8) Dynamic Message Sign Documentation Manuals
1) Document Summary Manual (as described in ACPAM Section 6.3)
2) Complete set of final Construction Documents, with addendums
3) Construction Daily/Weekly Reports (Originals)
4) Aerial Photos (Photos and/or Photo CDs)
5) Final certification by the CEI stating that the project was completed in accordance with the contract, project plans, and Specifications.
6) Include the final acceptance letters of the ITS/Lighting/Signalization from the Authority or any other maintaining agency.
6.4.3 Boxing and Labeling
All project closeout documentation (as listed above) is to be submitted to the Authority following each project's completion. Please use the following type of boxes, box inventory form and labels to comply with the Authority’s file storage procedures:
Box Type for files: Box size 1.2 (Letter, with interior dimensions: 10”x12”x15”) with lift-off lid.
Box Type for oversized documents: Box size 2.4 (Legal, interior dimensions 10”x24”x15”) with lift-off lid.
Box Inventory Form: The Authority will supply the Box Inventory Form. Contact the CMC Contract
Support Specialist for current Box Inventory Form and to arrange for a final inspection of the boxes in your office. After the final number of boxes is confirmed and the CEI has completed all of the Box Inventory Forms, the CEI is to e-mail a copy of these Box Inventory Forms to the CMC Contract Support Specialist . The Box Inventory Form is to be included inside each box with a copy of the form taped to the top of the box.
Contact the Authority or CMC prior to delivery of boxes. The boxes will be delivered to the Authority’s office at 4974 ORL Tower Road Orlando, Florida..
6.4.4 CEI File Retention Duration Requirements
The CEI is responsible for maintaining, storing, and retrieving the records for such period as specified in the FDOT General Records Schedule GS1-L for Local Government Agencies. These may be but are not limited to Duplicate (or Convenience) Records, Inactive Records, or Drafts and Working Papers.