3.0 Pre-Construction


3.1 Pre-construction Activities

3.1.1 Purpose and Definitions

The purpose of the Pre-Construction Activities is to prepare for the start of construction by all parties involved including the Authority, the Contractor, the CEI, utility companies, City, County, FHWA, Coast Guard, police, Highway Patrol, Sheriff, Department of Environmental Protection, each agency issuing a permit of any kind for the work, etc.

The following definitions are referenced in this section:

Pre-Bid Meeting: a meeting between the prospective bidders and the Authority to review any unusual aspects of the plans and specs, to answer clarification questions for all bidders, and to

Provide an open forum for all project participants to discuss the requirements of the project.

Pre-Award Meeting: a meeting between the selected contractor and the Authority prior to contract award to review the contract documents and reach an understanding concerning the scope and schedule requirements.

Preconstruction Conference: A meeting held between all interested parties prior to beginning any construction work on the project. The Contractor's representatives, Authority representatives and all other parties having an interest in the project are expected to attend.

3.1.2 Pre-Bid Meeting

The Pre-Bid Meeting is held after the Advertisement has been made and before the construction bid due date.  The CEI manages the meeting with the assistance of the GEC and the Authority if requested.  The meeting is sometimes called a Bid Clarification Meeting because one of its main purposes is to answer questions and clarify any misunderstandings concerning the scope, schedule, or specifications concerning the construction bid.  This meeting is not recorded; however, questions should be answered in writing.  A Typical agenda would include:

1)     Opening Remarks/Sign-in/Introductions

2)     Project Description/Organization

3)     Instruction to Bidders (incl. Bid Requirements, Pre-Award Meeting, M/WBE Requirements, Bid Security)

4)     General Specifications (incl. fuel price adjustments)

5)     Technical Specifications

6)     Special Provisions

7)     Project Specifics

8)     Questions from Bidders

9)     Open Floor/Questions

3.1.3 Pre-Award Meeting

The Pre-Award meeting is held after the Contractor is selected but before award of the contract.  At this meeting, the plans, specifications and other Contract Documents, which were used by the Contractor in preparing their offer, is reviewed.   Items that could be the cause of potential claims are identified and the Authority makes corrections and interpretations, as the Authority deems necessary to reflect the intent of the plans and specifications.

The Project Engineer will request that the Contractor submit a list of plan errors, omissions or ambiguities and any other items that need to be discussed at the pre-award meeting to clarify the Plans and Special Provisions. In addition, the Project Engineer will ask the contractor if they intend to request any alternates or substitutions for material items included in their bid.   The Special Provision concerning Owner Direct Purchase of Materials (ODPM) Option will be discussed.  A Memorandum of Agreement is signed at the pre-award meeting to document all clarifications discussed at the meeting.

3.1.4 Preconstruction Conference

A meeting held between all interested parties prior to beginning any construction work on the project. The Contractor's representatives, the Authority representatives and all other parties having an interest in the project are expected to attend.

Affected Parties, Including But Not Limited To:

1)     Utility Companies

2)     City

3)     County

4)     Federal Highway Administration

5)     Police, Highway Patrol, Sheriff

6)     Florida Department of Transportation District Representatives

7)     Contractor Representatives

8)     Subcontractor Representatives

9)     Contractor Supplier Representatives

10)  Special Interest Representatives

11)  Engineer of Record

12)  The Authority/CMC

13)  Any agency having permitting authority

14)  Emergency Medical Personnel

15)  Dispute Review Board

The Project Engineer shall schedule and conduct a preconstruction conference after receipt of a copy of the Notice of Award and prior to any work beginning. The scheduled date of the conference shall be selected to accommodate the interests of all affected parties. Notice of the scheduled date must include a brief description of the project. The project description must be written in terms easily understood by the general public.

A utility coordination meeting will also be held with the Contractor and all utility companies. This meeting should be held as soon as possible after receipt of a copy of the Notice of Award. The purpose of the meeting is to determine the utilities' progress/status of proposed relocation.

The preconstruction conference notice shall contain the date, time and the location of the meeting. The notice shall be sent to the parties known to have an interest in the proposed project. The notice addressed to the Contractor shall contain a list of items  they  are required to bring to the conference or submit prior to the conference such as;  erosion control and storm water pollution prevention plans, maintenance of traffic plan, proposed work schedule, certificate for maintenance of traffic supervisor, vehicle registration affidavit, Quality Control Plan, etc.  The Project Engineer will prepare an agenda similar to one shown below. The agenda should include certain submittal requirements as required per the Contract.

The minutes of the preconstruction conference shall be reduced to typewritten form as soon as practical. A copy of the completed minutes shall be sent to all attendees of the preconstruction conference and any other interested parties within fourteen (14) days from the date of the meeting with a request that any errors  and  omissions  in  the  minutes  be  returned  to  the  writer  within  fourteen  (14)  days.  All preconstruction construction dialogue must be recorded by tape recorder or video. The tape recording will be retained as part of the project records.

3.1.5 Sample Preconstruction Conference Agenda

1)     Project Description.

2)     Delineation of lines of authority.  Names and emergency telephone numbers for the Contractor, the Authority and others will be entered into the record.

3)     Proposed Starting Dates - Contractors and subcontractors -- flextime (selected projects) - lead-in time and number of shifts or extra hours they propose to be working, etc.

4)     Each utility representative to give an up-to-date report of the status of utility adjustments, relocations, removal and new installation. In addition the utility representative shall furnish the  names  and  phone  numbers  of  contact  persons  who  will  be  available  on  call.  A Contractor/utility meeting schedule shall also be established.

5)     Maintenance of traffic plans review and discussion.  Discuss if Contractor plans to use the Authority designed TCP or will submit an alternate TCP for approval.

6)     Construction schedules, progress chart submittals. When appropriate, establish meeting schedules (weekly-monthly) and locations to discuss job progress and to determine controlling work items for the next review period.

7)     Business and Community Impact Plan.

8)     Emergency Management Manual for hurricanes or other emergency evacuation plans should be discussed (i.e., securing project, responsibilities, etc.). Project-specific evacuation plans should be developed as soon as possible and give details as to phases or major activities that could possibly be affected.

9)     Partnering session with approved facilitator if required.

10)  Dispute Review Board.

11)  Insurance policy requirements.

12)  Contractor’s Vehicles registered in State of Florida. The Contractor’s affidavit is due on the first working day of the project.

13)  Erosion control and storm water pollution prevention plans and discussion.

14)  Environmental permits review and discussion. NPDES Requirements.

15)  Establish agreement to the accuracy of the existing ground elevations to be used to calculate earthwork quantities.  CEI will follow-up with formal letter to contractor.

16)  Special requirements when the Contractor is required to furnish borrow pits (if applicable).

17)  Contractor's request for an endangered species biological investigation (if applicable).

18)  Discuss the monthly estimate procedure, and required submittals for each estimate.

19)  CEI or materials testing – procedures, relationships, responsibilities

20)  For Mass Concrete elements that are identified in the project plans, the Project Engineer will establish the following:

a)     The Contractor shall submit proposed Mass Concrete Temperature Control Plans for review  and  acceptance  by  the  Authority  at  least  ten  working  days  prior  to  the proposed Mass Concrete placement.

b)     Rejected Plans must be resubmitted, addressing the Authority's comments.  A re- submittal of the Plan may require an additional ten working days for review and acceptance by the Authority.

21)  When a project includes bridge construction or drilled shaft, the following items are to be considered:

a)     Level II Concrete Plan

b)     Pile Installation Plan.

c)     Drilled Shaft Installation Plan.

22)  Shop drawing submittal procedure:

a)     Structural

b)     Nonstructural

c)     Toll Plaza

23)  Unusual or important specs or project features.

24)  Copy of the QP–2 Certification for the Contractor performing any lead-based painting work (prime or sub-contractor).

25)  The requirements of the Quality Control (QC) Plan, the identification of key personnel from the Contractor, QC firm and the CEI, and the establishment of lines of Communication.

26)  A discussion on QC testing requirements for Concrete, Embankment, Structural Backfill, Stabilized Subgrade, Limerock Base and any other specific testing requirements.

27)  A brief discussion should be held regarding asphalt placement, and the requirement for a pre-paving meeting to be held in accordance with the specifications. Additional information regarding this meeting is available in ACPAM Section 4.8

28)  A discussion on payment for stock piled materials, Certification and Request for Payment for Stockpiled Materials

29)  Requirements for submitting requests to sublet, specialty work, Certification of Sublet Work, and Notice of Rental Agreement.

30)  Submittal procedure and notice requirements for time extensions, claims, and extra work.

31)  Contract  time  extensions  requests  -  adjustments  -  initiating  time  extension  requests  - justifications  for  time  extensions  (controlling  work  items  affected  -  conditions  beyond Contractor's control, no weather-related-justifications, etc.).

32)  Discuss actions to be taken if an unpaid bill letter is received by the Authority.

33)  If a Consultant is providing the construction engineering and inspection or materials testing; discuss the procedures, relationships and responsibilities that exist between the Consultant, the Authority and the Contractor.

34)  Warranties, Warranty/Maintenance Bond, Guaranteed Specifications, if required.

35)  Third party claims and the process of using an independent reviewer of the claims.

36)  (If  applicable)  Provide  a  copy  of  the  specific  procedures,  along  with  applicable  forms, concerning Owner Direct Purchase Materials.  Notify contractor that procedures and forms are through the CMC.

3.1.6 Initial Survey and Control Points

The Authority provides control points and benchmarks as identified in the Plans along the line of the Project to facilitate the proper layout of the work.

1)     The CEI will accompany the Contractor when the Contractor’s surveyor takes initial x-sections.

2)     The CEI will verify that the Contractor is taking shots in appropriate places.

3)     The CEI will accompany the Contractor and the Surveyor-of-Record to uncover or reset control points.

3.1.7 Initial and Final Project Condition Reports

Prior to the start of construction, a joint review will be performed with representatives of Maintenance and Construction. This review will determine and document the condition of items such as highway lighting, signing, striping, drainage, pavement surface and turf prior to construction.  The review should extend beyond the construction limits to include adjacent features that may be damaged during construction.

Any items that are not in the construction scope to be repaired or replaced must also be identified and the condition documented such that the condition at final acceptance of the project can be verified to match the condition prior to construction. The CEI will generate an Initial Project Condition Report and provide a copy to Maintenance, the Contractor and include a copy in the Final Closeout Manual.


3.2.1 Purpose and Definitions

The project schedules required on each project should be working documents used by the Contractor to plan and direct the construction project. The Contractor must coordinate their own work with that of the Subcontractors and utilities. The schedule is a management and communications tool that will be used to anticipate and prevent problems from occurring.

The following definitions are referenced in this section:

Baseline Schedule: The required schedule of work activities that is initiated by the Contractor. This  schedule  defines  the  Contractor's  plan  to  complete  the  construction  project  within  the allotted time consistent with the contract documents.

Controlling Work Items: Refer to Section 1 of the Standard Specifications. In a Critical Path Method Schedule, these work items or activities are on the critical path.

Preliminary Schedule: The barchart schedule submitted at the Preconstruction Meeting that details the contractors activities for the first 120 days of the project.  The bar chart does not have to be CPM generated.

Updated Schedule: A schedule is updated by the addition of actual start dates, actual finish dates,  percent  complete  to  activity  data,  added  activities,  changes  in  sequence,  and  project duration.

3.2.2 Contractor's Schedule Review

The Contractor submits his Preliminary Schedule during the Pre-Construction Conference.   The Preliminary Schedule details the contractor’s planned work for the first 120 days of the project and shows summary  activities  for  the  remainder  of  the  work  covering  the  entire  scope  of  the  project.    The Preliminary Schedule does not need to be CPM generated and does not need to show critical paths.  The

CEI should review the schedule to check that all scope for the project is included and that the correct schedule milestone dates are shown.

Within 90 days of the Notice to Proceed, the Contractor prepares a Baseline Schedule in accordance with contract documents. The Contractor's schedule is submitted to the Project Engineer. The Project Engineer, reviews  the  schedule,  and  if  it  meets  contract  requirements,  submits  a  letter  of  acceptance  to  the contractor. If the schedule does not reflect a reasonable or feasible plan to construct the project in then authorized contract time or the schedule is not prepared according to the specifications, the schedule will be returned to the Contractor for modification.

The following items should be checked:

1)     The schedule reflects the phases in the MOT plan.

2)     Activities are broken-out by phase.

3)     Phases are in correct sequence.

4)     Order of the activities is logical.

5)     The schedule contains all milestones specified.

6)     Utility work is shown and is consistent with relocation schedules supplied by the utilities.

7)     Activity durations appear reasonable.

8)     Level of detail reflects the complexity of the project.

9)     Complete and concise description of the Contractor's Construction Plan.

10)  The submittal is complete as per the contract documents and contains preparation (Contractor's time) review and approval, and fabrication and delivery (manufacturer's/supplier's time) activities for each category of submittal required.

11)  Activities include procurement time for material including shop drawing submittal and approval process.

12)  All non-workdays are shown.

13)  Check constrained activities.

If the schedule submitted by the Contractor shows an early completion date, the schedule should be reviewed thoroughly. The early completion date shown on the schedule could be attributable, in whole or in part, to errors in logic, unrealistic production rates, or the absence of critical activities. A schedule may not be rejected solely on the basis of having a completion date earlier than that shown on the contract.

All schedule rejections should be in writing detailing the reasons for rejection. Schedule acceptance must be in writing.

3.2.3 Baseline Schedule Acceptance and Updates

After acceptance, this schedule becomes the baseline schedule. This baseline schedule is the progress schedule by which progress of the project is gauged. Copies of the baseline schedule will be kept in the Project Engineer's Office.

When the contract specifies a CPM Schedule, the schedule should be updated on a monthly basis to coincide with the progress payment period. These updates should include all approved time extensions, and supplemental agreements.   The schedule update process should include updating the activity actual start and finish dates, percent completion, remaining duration, and adjusting schedule logic to correct for activities being performed out of sequence.   The Contractor should not change an activity original duration for any reason.  The updates should be reviewed for accuracy and any significant revisions in logic or duration from the baseline schedule must be addressed in writing when found to be in conflict with the contract.  Copies of updates will be kept at the Project Engineer's Office.

3.2.4 Revisions to the Baseline Schedule

When the contract time is significantly altered by time extensions or supplemental agreements, the Authority may request the Contractor to submit a revised schedule. Requests for revised schedules should be in writing and their subsequent acceptance must be in writing.

The Contractor’s proposed revision shall include all transmittals, reports, diagrams, and bar charts listed in the specifications, unless the Authority requests otherwise in writing.  In its required narrative report, the Contractor shall state whether or not the proposed changes affect the longest path of the accepted baseline schedule or the proposed updated baseline schedule, which contains progress.

The CEI has 15 calendar days to review and transmit a written notice of acceptance or rejection of the Contractor’s proposed revision.  If the CEI rejects the proposed revision, he needs to state the reasons for rejection in the written notice.   The Contractor shall have 5 calendar days to re-submit the proposed revision to the Authority.  Upon acceptance of the proposed revision to the accepted baseline schedule, the proposed revision to the baseline schedule shall become the accepted baseline schedule.   The Contractor should incorporate the revision into the next scheduled updated baseline schedule.

3.2.5 Required Schedule Submittals

Preliminary Schedule and Narrative

The Baseline Schedule Submittal should include the following documents:

1)     Transmittal

2)     Schedule Narrative

3)     Longest Path Bar Chart

4)     Area Code Bar Chart

5)     Activity ID Report showing Predecessors and Successors

6)     Cash Flow Curve

7)     Tabular Revenue Report

8)     Primavera Schedule Backup

The Schedule Updates submitted each month should include the following documents:

1)     Transmittal

2)     Schedule Narrative

3)     Longest Path Bar Chart

4)     Area Code Bar Chart

5)     Primavera Schedule Backup

The Contractor needs to submit a Two-Week Look Ahead Schedule produced weekly using a spreadsheet program.  This will be submitted weekly at the weekly project progress meeting.

3.2.6 Withholding Progress Payments

Specifications for project schedules allow the withholding of a portion of the progress payments to the

Contractor if the Contractor fails to finalize either the initial or a revised schedule in the time specified in the specifications. If a Contractor is making a good faith effort at developing a schedule, withholding payments may not be appropriate. If a Contractor is not making a good faith effort, the project personnel can use withholding payment to convince a Contractor that the Authority is sincere in its desire to have a good schedule. A good schedule implies good coordination and good communication.


3.3.1 Purpose

Certain  materials  require  production  under  an  approved  Quality  Control  Plan  to  ensure  that  these materials, whether manufactured or processed, or procured from suppliers or subcontractors, meet the requirements of the contract.     For these materials, the Contractor must submit a Quality Control Plan (QCP) within 21 calendar days after the award of the contract in accordance with Section 105 of the Technical Specifications for approval to the CEI.

3.3.2 Review and Approval

The CEI has a total 21 calendar days from the date of receipt of the QCP by the Project Engineer to respond to the Contractor.  The CEI must provide the Contractor with a detailed explanation of all items that are not accepted in the plan of any exist. No phase of work covered under the QC program can begin until the Project Engineer or designee has approved the QCP for that phase of work. If a portion of the QCP is in compliance, the Contractor may begin work for that phase, but not for phases that are non- compliant.

3.3.3 Disapproval

The following conditions may result in the disapproval of the QCP, in part or all inclusive:

1)     Failure to comply with the requirements of Section 105 of the Standard Specifications.

2)     Repeated failure of materials to meet Specification requirements.

3)     Failure to take immediate corrective action relative to deficiencies in the performance of the QC program.

4)     Notification from the Authority or CMC of disapproval of a QCP.

The  CEI or  designee  shall  notify  the  Contractor  within  2  working  days  of  finding  a  condition  or conditions warranting the disapproval of the QCP.   Notification of such disapproval shall clearly state area(s) of concern and non-compliance with the Specifications and requirements of the Contract.

If at any time the Contractor is not in compliance with the approved Quality Control Plan, or a part thereof, affected portions of the plan will be disapproved.  The contractor must cease work in the affected operations, and submit a revision to the CEI.  If the QCP, or any part, must be revised, the Contractor must submit the revision to the CEI.  The CEI will review the revision, forward to the CMC, and respond within seven calendar days of receipt.

3.3.4 Quality Control Plan Review Checklist

105-4.2 Personnel:

Does the plan list qualified people with their Training Identification Numbers (TIN) for all technicians performing sampling, testing, and inspection for both field and laboratory test.?  Are all qualified personnel along with their qualifications listed? The PE should check the database on CTQP website for validation of qualifications on a random basis.

Does the QC Plan list a Quality Control (QC) Manager who has full authority to act as the Contractor’s agent to institute any and all actions necessary for the successful implementation of the QC Plan?   Confirm that the designated QC Manager has the required qualifications, speaks and understands English, and is either on the jobsite daily, or is available within four hours notice to administer the QC Plan.

105-4.3 Raw Materials

105-4.3.1 – Sources

Does the QCP identify the suppliers of raw materials?   Are the locations and plant and pit numbers supplied when appropriate?

105-4.3.2 – Certification

Does the QCP describe the methods of verifying compliance of certification with the specifications?

105-4.3.3 - Disposition of Failing Materials

Does  the  QCP  incorporate  the  system  for  controlling  non-conforming  materials,  including procedures for identification, isolation, and disposition?

105-4.4 – Storage Facilities for Raw Materials

Does the QCP describe the measures and methods, including bedding details, for preventing segregation, contamination, and degradation?

105-4.5 – Production Equipment

Does  the  QCP  describe  calibration  frequencies,  maintenance  schedule  and  procedures  for production equipment?

105-4.6 – Plant Requirements

105-4.6.1 – Plant Identification

Does the QCP identify the plants and incorporate the Plant’s mailing address, physical address including county and X-Y coordinates of the plant, telephone and fax numbers, E-mail address, primary contact at the plant, responsible person in charge, approved facility number provided by FDOT, Owner information, and Vendor Number and other information as required? Is the Plant is listed on the approved list. This information can be referenced from the QCP.

105-4.6.2 – Process Control System

Does the QCP incorporate the methods and measures established to ensure Contract compliance for the produced materials that are supplementary to the Quality Control sampling and testing program described in the Contract.  Do these methods and measures include inspection schedule, additional sampling and testing, maintenance schedule, etc.?

105-4.6.3 – Loading and Shipping Control

Does  the  QCP  incorporate  Producer's  methods  and  measures  for  preventing  segregation, contamination, and degradation during loading and shipping operations.

105-4.6.4 – Types of Products Generated

Does the QCP describe the products the plant is approved to produce under FDOT guidelines?

105-4.7 – Other Requirements

105-4.7.1 – Copy of Certifications

Does the QCP incorporate examples of certifications issued by the plant/Contractor approved by the Authority and does it identify the individual who would provide these certifications?

105-4.7.2 – Statement of Compliance

Does the QCP include a statement of compliance with all quality requirements set forth by the Authority including Contract Documents and FDOT manuals?

105-4.7.3 - Information on Producer's Quality Control Plan

Does the QC Plan incorporate approved Producer's QC Plans?

105-4.7.4 – Describe Documentation Procedure

Does the QCP identify the location of document storage to enable Authority review?       The document storage  should  include  quality  control  charts,  qualification/accreditation  records, inspection reports, and other pertinent/supporting documents for the approved QC Plan.

105-4.8 – Final Manufactured Product – Plant Operations

105-4.8.1 – Storage

Does the QCP describe the methods and duration for storage when storage of produced materials is required?  It should describe measures and methods for preventing segregation, contamination, and degradation during storage.

105-4.8.2 – Disposition of Failing Materials

Does the QCP describe the methods and measures for identifying and controlling the failing materials?

105-4.9 – Final Manufacture Product – Field Operations

105-4.9.1 – Transportation

Does the QCP describe the method of delivery from the point of production/storage to the point of placement?

105-4.9.2 – Storage

Does the QCP describe the methods and duration for storage when storage of produced materials is required?  It should describe measures and methods for preventing segregation, contamination, and degradation during storage.

105-4.9.3 – Placement

Does the QCP describe the methods and identify the type of equipment used in incorporation of materials into the project?

105-4.9.4 – Disposition of Failing Materials

Does the QCP describe the methods and measures for identifying and controlling the failing materials?

105-4.10 – Testing Laboratories

Does the QCP identify all testing laboratories to be used on the contract and do these laboratories comply with the Laboratory Qualification Program?


3.4.1 Purpose

The purpose of this procedure is to provide for uniformity in the use of Dispute Review Boards (DRB).

3.4.2 Member Selection

Projects with contract specific DRBs require the appointment of the three members. The process of appointing the three members should be completed early enough that the members can attend the pre- construction meeting.  The RE will select an appointee from the Authority’s list of candidate members.

The name of the proposed DRB member selected by the RE should be reviewed by the Authority prior to submitting to the Contractor for review. In selecting a member, keep in mind, we are not looking for someone who will take the Authority’s side, but someone knowledgeable of the type of work that will understand the issues that may come up and who is able to knowledgeably evaluate a dispute. The RE should review the resume and disclosure statement, other DRB workload (recommend 10 days per month or fewer that are committed to DRB meetings) and availability of the members, the Contractor selected member  and  the  proposed  chairperson.  Copies  of  these  resumes  should  also  be  forwarded  to  the Authority.  When the Contractor submits its appointee, the RE should seek the advice of the Authority before approving the appointment. When the two members, already appointed, appoint a third, the RE should again seek the advice of the Authority before approving the third member.  In both cases, the RE and the Authority should carefully review the resume of the appointee and solicit references if unknown.

3.4.3 Three-Party Agreement

A contract specific DRB requires a three party agreement be executed before the preconstruction meeting. This document is included in the construction contracts and the RE should take the lead in getting this agreement executed. The DRB and Contractor should execute 2 copies of the agreement. The copies should then be sent to the Authority for execution. The agreement will be returned to the RE for distribution, one original retained by the Authority, the other original to the Contractor, and one copy each to the DRB members.

3.4.4 Meeting

Meeting frequency should be determined on a project-by-project basis. Meetings should be held monthly at least for the first six months to familiarize the DRB, as problems often become apparent in the early part of a project. If the project is behind schedule, or the Contractor is submitting numerous Notices of Intent to Claim, monthly meetings may be necessary. Projects that are running smoothly with few claims and on schedule should evaluate the meeting frequency. When possible, DRB meetings should be scheduled to coincide with regular periodic progress meetings. DRB meetings are scheduled well in advance. RE must assure that these meetings occur when scheduled. The RE should not cancel a meeting without adequate notice. On a contract specific DRB, all three members should attend each scheduled periodic meeting. In the event that one member of the Board is unable to attend a regular scheduled meeting, the Chairman should attempt to reschedule the meeting. Should rescheduling not be possible, the other two members may attend the meeting without the third member. Only the members attending should be compensated. No hearing will be conducted without all three members present. The CEI will take minutes of the regular periodic meetings, including that portion devoted to DRB discussion.

3.4.5 Use of the DRB

On all matters that relate to Dispute Review Boards, communicate only with the Chairman.  All personnel on the project should understand that there should be no communication with any DRB member outside of a meeting. The only exception is communication between the parties and the DRB Chairman relating to scheduling meetings or administrative matters relating to a hearing.

On rare occasions, the Authority or the Contractor may bring an issue that is unusually complex or request that a detailed analysis be developed. In this instance it may be appropriate for the DRB to request additional compensation.

It is important that there be agreement among all parties as to what the expectations and compensation will be as it relates to the number of days the DRB members are to be compensated and level of detail of the recommendation, prior to presenting the issue to the DRB.  The default of a Contractor does not terminate the Three Party Agreement. The Dispute Review Board is still in existence and all parties have the same responsibilities as existed prior to a default.  If a Contractor refuses to participate in a hearing, they should be reminded that the hearing is a condition precedent to any other forum of resolution. The hearing should then take place absent the Contractor. The Authority will not refuse to participate in a hearing unless determined appropriate after consultation with appropriate legal consultants. The only exception would be if all parties agree that the issue is one over which the Authority has no jurisdiction or the issue involves a third party which cannot come before the DRB. An issue should only be brought to the DRB for resolution after a claim has been received by the contractor and been denied, or partially denied.

3.4.6 Payment

The Authority and Contractor share the fees of all three Board Members for services rendered under the Three Party Agreement.  An allowance pay item has been established in the Contract for the Contractor’s share of the fees.  Funds remaining in the pay item, if any, at the completion of the Project, will belong to the Authority.  The Contractor pays the members of the DRB in total and the Authority reimburses the Contractor for the Authority’s share using this pay item. Invoices must be prepared by the DRB Chairman and submitted to the Contractor, with a copy sent to the Project Engineer showing the date and nature of the services provided and support and document the quantity for the estimate, particularly when the services provided were not in attendance at a regularly scheduled meeting. Normally the pay quantity for a meeting is 1.0, however, the pay quantity recorded as a percentage. No payment is made until the Three Party Agreement is executed.  It is possible that a DRB meeting could occur after the Contractor has submitted a qualified acceptance letter. In that case, the RE will process another estimate to reimburse the Contractor for payments to the individual members.


3.5.1 Role of the CEI

The Authority has representation in administering construction projects through Professional Services contracts. Hence, the CEI Resident Engineer and CEI Project Engineer act and speak as the Authority’s representative when managing the construction projects on a day to day basis.

3.5.2 Pre-Service Phase

A pre-service conference is required on all CEI contracts following execution of the CEI contract and prior to the pre-construction conference. Generally, those in attendance will be representatives of the Authority and the Consultant CEI Engineer to discuss administration of the Consultant contract. The Authority will be responsible for the meeting. The pre-services meeting can be optional if the Firm is already performing services for the Authority and the Authority does not believe the pre-services meeting is needed.

Subjects covered at the conference will include, but not be limited to:

1)     The  Authority’s  lines  of  authority  concerning  administration  of  the  CEI  contract  and  the administration of the construction contract.

2)     CEI's schedule (with datelines determined) for establishing field offices, assigning personnel and equipment.

3)     Terms of the CEI contract (e.g., approval of CEI's personnel qualifications, approval of personnel and equipment assignments, rates, etc.). Clarify any portions of the CEI Scope of Services which are unclear to any parties.

4)     Invoice procedure.

5)     The  coordination  between  the  Authority  and  Consultant  CEI  for  processing  CEI  supplemental amendments and CEI invoices.

6)     Review the  process  for  the  CEI to  contact  the  Design  Consultant  for  post-design  services  and clarification or correction of plans and specifications.

7)     Discuss Disadvantaged Business Enterprise (DBE) and On-the-Job Training (O.J.T.) monitoring and documentation submission requirements.

8)     The CEI Performance Evaluation Procedure.

9)     Partnering concept and method of reimbursing Contractor.

10)  Action required by CEI prior to start of construction.

11)  Review of the critical items for successful administration of the construction contract.

12)  Consultant CEI's Quality Control (Q.C.) Review process. A complete and concise record (including the names, titles, addresses, and telephone numbers of all participants) of the proceedings of the meeting shall be prepared by the CEI and approved by the Authority. Record of the meeting shall be distributed to all participants and other interested parties within 2 weeks following adjournment of the meeting.

3.5.3 Personnel Approvals

Although  the  CEI’s  are  contracted  to  provide  full-time  construction  contract  administration  and inspection, the Authority is to be in responsible charge of the project(s) at all times.  The Authority administers the CEI Contract(s) and monitors the activities of the CEI(s) engaged in construction contract administration.

The Authority shall compare the personnel proposed by the Consultant with the Technical Proposal for any changes in personnel.  Replacements for the original personnel must have  equal  or  better qualifications than the personnel being replaced. The Authority reviews and approves all subsequent additions and deletions to CEI staffing of a project and all salary increases.  The Authority shall approve actual required overtime worked when invoices are approved each month. All approvals are subject to the terms of the CEI contract. All salary and personnel approvals shall be in writing.

3.5.4 Office Space and Equipment

The CEI Office and equipment shall be approved by the Authority in accordance with the CEI contract. The CEI will make every reasonable attempt to locate their office near the contractor’s field office.

3.5.5 Invoices

The Authority shall review and process CEI monthly and final Invoices.  The invoices need to include timesheets, documentation of expenses, and should include all approved amendments.   Total invoiced value cannot exceed the current CEI contract value.

3.5.6 CEI Performance Evaluation

The Authority shall maintain a continuing overview of Consultant performance of duties by periodic reviews of records, inspection procedures, testing procedures, sampling procedures, etc. Any and all concerns  with  the  CEI’s  performance  will  be  provided  through  written  communication  from  the Authority/CMC detailing the items of concern. Once the areas have been addressed, the Authority/CMC will re-review the corrections and provide a finalized report of the corrections provided that they are approved. Any remaining issues will also be documented.

The review areas of each CEI contract may consist of but not limited to:

               Personnel - The Authority shall review Consultant staffing to determine if the individuals assigned to the project are those identified in the technical proposal, and that project staffing is in accordance with the approved staffing plan. All replacement personnel shall have been properly approved and be equally or better qualified to perform in their respective positions, and their rates of pay must be in accordance with the CEI contract requirements.

               Equipment - The Authority shall check to insure all equipment as required in the CEI contract has been provided, is in proper operating condition, is being maintained and calibrated, and is adequate for ongoing and projected construction activities.

               Field Documentation and Record Keeping – The Authority shall review earthwork, concrete and asphalt records throughout the life of the project to ensure that the record keeping practices being used by the CEI and the Contractor’s Quality Control are acceptable.

               Construction Contract Administration - The Authority shall determine if the CEI staff has the appropriate construction contract, plans, specifications, design standards, Department procedures, and other pertinent documents available in the project office and that the Consultant is complying with material testing, inspection, documentation, and contract administration requirements.

The Authority shall prepare and submit a final evaluation on the Consultant CEI's work performance within 30 days after completion and acceptance of basic services.  The CMC cannot perform this action since they are a consultant as well, and should not rank other consultant.