Practices for Closing Out Highway Projects from Substantial Completion to Final Payment (2021)

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92 A P P E N D I X A Survey Questionnaire Dear AASHTO Committee on Funding and Finance Member: The Transportation Research Board (TRB) is preparing a synthesis on Practices for Closing Out Highway Projects. This is being done for the National Cooperative Highway Research Program (NCHRP), under the sponsorship of the American Association of State Highway and Transportation Officials (AASHTO), in cooperation with the Federal Highway Administration (FHWA). The objective of this synthesis study is to document state DOT practices for closing out highway projects. The scope of the study includes: • Reported durations of time to close out a project from substantial completion through final financial closeout • Required documentation for close out (e.g., certifications of work, materials, test results and other documents) • Financial implications of not closing out a project • Policies, processes, tools and metrics agencies use to control the duration required to close out projects (e.g., milestones, agency goals, monitoring and tracking mechanisms) • Major factors influencing the delay of project closeout, including internal processes and external stakeholder influences • Successful practices as reported by DOTs The objectives of this questionnaire are to: (1) identify the current state of closing out highway projects; (2) determine strengths and weaknesses in closing out projects; (3) recognize opportunities to improve project closeout; and (4) identify barriers that DOTs have experienced in trying to successfully close out projects in a timely manner. Your expertise and experience are critical to the success of this important project. Your individual privacy will be maintained in all published and written data resulting from this study. We thank you in advance for your time and thoughtful consideration. The final report of this project will be provided to your agency. If you are not the appropriate person at your state DOT to complete this questionnaire, can you please forward it to the correct person?

Survey Questionnaire 93   Thank you very much for your time and expertise. Christofer Harper, Ph.D. Assistant Professor Colorado State University Department of Construction Management I consent to participate in this survey questionnaire on project closeout. Yes, I consent No, I do not consent PROJECT CLOSEOUT INFORMATION 1. Does your Agency have a formal process that is used to close out highway projects? Yes No 2. On average, at what percent complete of construction does your Agency beginning [sic] planning for project closeout? Prior to construction beginning 0-20% 21-40% 41-60% 61-80% 81-100% Not sure Please complete and submit this survey by March 18th, 2020. We estimate that it should take approximately 15-20 minutes to complete. If you have any questions, please contact our principal investigator Dr. Chris Harper by phone: 970-491-4021 or email: chris.harper@colostate.edu. In addition, any supporting materials can be sent directly to Dr. Chris Harper by email or at the postal address shown at the end of this page.

94 Practices for Closing Out Highway Projects from Substantial Completion to Final Payment e-Construction Real Time Kinematic (RTK) handheld devices for inspections Radio Frequency Identification (RFID) for tracking purposes Unmanned aircraft vehicles (UAVs or Drones) Building information modeling (BIM) for infrastructure AASHTOWare Internal DOT project management/closeout application Other (Please specify): _________________________________ Program Manager Vendor Supplier Manufacturer Fabricator Other (Please specify): _________________________________ 4. What documents are required by your Agency for highway construction project closeout? Please select all that apply. Final payment application Contractually required project financial information for final payment All change orders approved and completed Material testing results Certificate of substantial completion Final inspection reports Certifications of work Material certifications Operations and maintenance manuals As-built drawings Punch list report acknowledging all corrective work is complete Right-of-Way Maps Other (Please specify): ________________________________ 5. What technologies does your Agency use for project closeout that help streamline the process? 3. Which of the project agencies/stakeholders are typically involved in the project closeout process? Please select all that apply. State DOT US DOT/FHWA General Contractor Subcontractor Construction Manager

Survey Questionnaire 95   Electronic review of project closeout documents Electronic signatures for approval of contractual project closeout documents Other (Please specify): ________________________________ Not sure 7. How is building information modeling (BIM) for Infrastructure used for project closeout at your Agency? (Question only shown to participants that select “BIM for Infrastructure” in Question 5) 4D BIM for scheduling project closeout As-Built BIM Sharing project closeout information electronically Verifying punch list work Other (Please specify): ________________________________ Not sure DURATION OF PROJECT CLOSEOUT Project Closeout Duration is defined as the number of calendar days between substantial completion and final financial closeout of a highway construction project. 8. Please state the goal your Agency has for the average number of days needed to close out highway construction projects. Then, please state the actual average number of days needed to close out highway construction projects. Average Project Closeout Duration – Goal Average Project Closeout Duration – Actual Highway Construction Projects 9. How was the goal for the number of days to close out a project set at your Agency? Policy/legislation Experience Internal Analysis Research Other (Please specify): ________________________________ Not sure 6. How is e-Construction used for project closeout at your Agency? (Question only shown to participants that select “e-Construction” in Question 5) Electronic documentation sharing for project closeout

96 Practices for Closing Out Highway Projects from Substantial Completion to Final Payment Design-Build (DB) Progressive Design-Build (PDB) Construction Manager/General Contractor (CMGC) Public Private Partnership (P3) Alternative Technical Concepts (ATCs) Other (Please specify): ____________________________ 11. Please state the goal your Agency has for the average number of days needed to close out highway construction projects using the delivery methods listed. Then, please state the actual average number of days needed to close out highway construction projects using the delivery methods listed. If your agency does not use a delivery method listed or you are unsure of the duration, then please leave the space blank for that row. Average Number of Days to Closeout a Project – Goal Average Number of Days to Closeout a Project – Actual Design-Bid-Build (DBB) Design-Build (DB) Progressive Design-Build (PDB) Construction Manager/General Contractor (CMGC) Public-Private Partnership (P3) Use of Alternative Technical Concepts (ATCs) Other (Please Specify): ___________________________ 12. What are any lessons learned that you can think of that are related to project closeout duration for highway projects at your Agency? 10. Which of the following delivery methods does your Agency use for delivering highway projects? Please select all that apply. Design-Bid-Build (DBB)

Survey Questionnaire 97   SUCCESS FACTORS AND BARRIERS TO PROJECT CLOSEOUT 13. Which of the following Factors has your Agency experienced that led to successfully closing out highway construction projects? Please select all that apply. Cooperation between state DOT and contractor Cooperation between state DOT and US DOT/FHWA DOT training of staff for project closeout Clear and comprehensive contract specifications in terms of closing out the project Knowledgeable and experienced DOT project closeout staff available Awarding contractors that have extensive experience with the DOT Using contractual incentives to encourage timely project closeout Use of e-Construction and other technologies to streamline the closeout process Implementing performance measures during project closeout DOT hiring third-party consultant to assist with project closeout No claims/litigation occurring on a project Other (Please specify): _________________________________ 14. Which of the following barriers has your Agency experienced in closing out highway construction projects? Please select all that apply. Limited DOT staff availability Limited DOT staff with project closeout experience Delayed billing from third-party vendors Changes in DOT project personnel Changes in contractor project personnel Claims/litigation between DOT and contractor Limited cooperation between DOT and FHWA Limited cooperation between DOT and contractor Did not establish project closeout milestones Migrating paper-based document to electronic/digital files External stakeholders delaying the closeout process Punch list/corrective actions taking too long to complete Difficulty in receiving required closeout documentation Insufficient as-built drawings Missing material testing reports/results Missing inspection reports Missing certifications Other (Please specify): _________________________________

98 Practices for Closing Out Highway Projects from Substantial Completion to Final Payment chris.harper@colostate.edu 15. What are the impacts of delays in project closeout realized by your Agency? Please select all that apply. Negatively impacts the DOT-Contractor relationship Financial burden placed on the general contractor for an extended period of time Perception from traveling public that highway projects are never finished Difficulty allocating DOT resources to subsequent projects Additional costs to the DOT Reduction in the number of projects your DOT can complete annually Results in claims/litigation Lack of proper archiving of documents Other (Please specify): ________________________________ PROJECT CLOSEOUT RESOURCES 16. Does your Agency have a manual or document(s) that specifically describes the process or processes used to close out highway projects? Yes No Not sure If the answer is “Yes”, Please email any project closeout documents you have from your Agency to or provide a website link below: 17. Are you willing to discuss your Agency’s practices for construction project closeout of highway projects with the synthesis team in a structured interview? Yes No If the answer is “No”, can you please direct us to someone else in your Agency? Contact name: Phone number: E-mail:

Survey Questionnaire 99   18. Do you have any other information or final thoughts that you would like to share with the synthesis team regarding project close out at your Agency? GENERAL INFORMATION 19. Please provide your contact information: First Name: Last Name: Phone Number: E-mail: Agency in which you are employed: Current Position Title: 20. How many years of experience do you have in closing out highway projects for your Agency? 0-5 years 6-10 years 11-15 years 16-20 years 21-25 years More than 25 years