Practices for Closing Out Highway Projects from Substantial Completion to Final Payment (2021) / Chapter Skim
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8 Introduction This chapter summarizes information collected from relevant literature for project closeout of highway construction projects. The objective of this chapter is to set the background and context for the findings from the survey and case examples presented in Chapters 3 and 4, respectively.
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Literature Review 9 duration goals along with the project closeout time period for different state DOTs collected from project closeout documentation, construction manuals, and administration operation reports. As shown, the durations to close out a project vary from DOT to DOT, as the definition for the time period of project closeout varies across state DOTs.
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10 Practices for Closing Out Highway Projects from Substantial Completion to Final Payment plans and submitting a "red-lined" set before project closeout (Connecticut DOT 2020a)
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Literature Review 11 Project Closeout Delays and Implications When a project experiences delays in the closeout process, these delays hamper completion of the construction work and contract administration tasks as well as closing financial accounts and making and receiving final payments. Previous research in transportation project closeout reveals that delays in project closeout are typically attributed to claims, dispute resolution, and cost overruns (Parker et al.
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12 Practices for Closing Out Highway Projects from Substantial Completion to Final Payment Limited leadership of the project team Barriers in the flow of communication Financial Owner directed change order Delay by owner for payment of work before substantial completion Contractor penalties for delayed project completion Technical Technical expertise LEED/commissioning requirements (certification) Lack of planning and resource allocation Unclear directives for closeout in specifications and contract Accidents to people/equipment after substantial completion or acceptance Procedural inexperience of owner representative or design team Administrative Improper/untimely contractual closeout documentation Subcontract closeout requirements Multiple punch lists Shortage/late arrivals of resources State and municipal regulatory requirements Federal regulatory requirements Source: Kaul 2014.
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Literature Review 13 resources and staff (Parker et al.
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14 Practices for Closing Out Highway Projects from Substantial Completion to Final Payment work has been completed. Furthermore, the Ohio DOT uses physical work complete to denote substantial completion and that the project is ready to begin being closed.
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Literature Review 15 proceed with final billing and final documentation of the project and submit a request to FHWA to close the project. The request to close a project to the FHWA must occur within 90 days of the project agreement end date.
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16 Practices for Closing Out Highway Projects from Substantial Completion to Final Payment If the project manager determines that corrective work is needed, the contractor will be advised to perform required corrective work. The corrective work performed is documented, and upon satisfactory completion, the notification of completion and letter of project completion will be submitted to district engineer.
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Figure 2. Nebraska DOT final review process flowchart (2017)
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18 Practices for Closing Out Highway Projects from Substantial Completion to Final Payment Figure 3. New Jersey DOT five-stage project closeout process (2016)
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Literature Review 19 After issuance of the construction final letter, program finance receives a copy along with the final estimate package to initiate the financial closeout process. The Utah DOT financial closeout process (see Figure 4)
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20 Practices for Closing Out Highway Projects from Substantial Completion to Final Payment 02R Construction Punchlist 03R Contractor Paperwork 06R Resident Engineer Paperwork 04R Materia ls Database Closeout 07S Region Paperwork 08E Final Estimate Packet Approval MS2 Construction Closeout MS3 Financial Closeout MS4 Project Close END 12P Issue Termination of Authority R-77 16C Prel iminary Final Voucher 18P Initial Funding Reconciliation 22C Reconcile FINET 26C Prepare & Distribute Final Voucher 28P Final Funding Reconciliation 29P Close Systems (FINET, ePM, FMIS) START MS1 02Z Close Consultant Contracts 04Z ROW Status Meeting 10E Close Utility Agreements 01A Audit 09R Utility Closeout Paperwork 14C Close ROW Resident Engineer (R)
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Literature Review 21 agreements are closed, and relevant Utah DOT systems are closed. Project closeout officially ends for a Utah DOT highway construction project when all contract obligations are met and the project is closed out in ePM, FINET, and the FHWA FMIS (Utah DOT University 2012)
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22 Practices for Closing Out Highway Projects from Substantial Completion to Final Payment The construction project closeout process used by Wyoming DOT is shown in Figure 6. After the contractor notifies Wyoming DOT of substantially completing the physical construction work, the district engineer conducts a final inspection of the project.
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Figure 6. Wyoming DOT project closeout process flowchart (2020)
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Figure 7. Wyoming DOT budget project closeout process flowchart (2020)
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