Due Diligence for Insurance Coverage in Transportation Construction Contracts (2015)

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A-1 APPENDIX A—SURVEY Survey On NCHRP 20-6, Study Topic 20-04, Due Diligence for Insurance Coverage in Transportation Construction Contracts You are being asked to respond to this survey to obtain information on your agency’s current practice and to learn what problems, if any, the agency is experiencing with its administration of construction contractor insurance. The survey contains a request for insurance policies that your agency has obtained from its construction contractors. We ask that one of the policies selected be in compliance with your insurance requirements or specifications and the other policy submitted either be non-compliant or non-traditional in some way. The survey contains questions that should be directed to your legal counsel as well as the individual(s) responsible for construction contract administration. Your cooperation in completing the following survey is appreciated. Please respond to all questions that apply to your state, city, or multi-jurisdictional agency. Please return your responses by May 10, 2014 to: Terry Parker Parker Corporate Enterprises, Ltd. 1922 N Twain, Nixa MO 65714 tparkerlaw@aol.com 417-839-5119 Feel free to use and attach additional comments if space is not sufficient below. However, if the requested insurance documentation is voluminous, please send it on a disc or contact Terry Parker at the above address to use the “dropbox” program. If you have additional questions, please feel free to contact Terri Parker, at the above number. Agency Name _____________________________________________________________________________________________ Name of Employee _____________________________________________________________________________________________ Job Title______________________________________________________________________________________ Contact Number _______________________________________________________________________________ Email Address_________________________________________________________________________________

A-2 Number of years in this job. _______________________________________________ ****************************************************************************** 1. What types of insurance must a contractor carry in order to do road construction work for the agency, i.e., general liability, worker's compensation, excess coverage, etc.? Please include amounts of coverage. _____________________________________________________________________________________________ _____________________________________________________________________________________________ ________________________________________________ 2. Is the contractor required to name the agency either as an additional insured or additional named insured? If your answer is “yes”, please indicate which designation is required? _____________________________________________________________________________________________ _____________________________________________________________________________________________ ________________________________________________ 3. Is the contractor required to indemnify and hold the agency harmless? ____________________________________________________________________________ 4. Has the agency been in litigation with a contractor in the past five (5) years over the contractor's failure to provide the insurance coverage required by the agency? ____________________________________________________________________________ 4(a). If your answer is “yes”, please provide details. _____________________________________________________________________________________________ _____________________________________________________________________________________________ ________________________________________________ 5. How does the contractor provide proof of insurance, i.e., the entire insurance policy, a certificate of insurance, or another document? 5(a) Does the contractor or insurance company have to affirm that they are providing the coverage required by the agency? _____________________________________________________________________________________________ _____________________________________________________________________________________________ ________________________________________________ 6. Does proof of insurance have to be provided before work can begin on the construction project? ____________________________________________________________________________

A-3 6. (a). If your answer is “yes”, how much time typically elapses between the award of the project and the notice to proceed with work? _____________________________________________________________________________________________ _____________________________________________________________________________________________ ________________________________________________ 7. Please provide the names, positions, and job descriptions of employees that review the information provided by the contractor if not the person named above. _____________________________________________________________________________________________ _____________________________________________________________________________________________ ________________________________________________ 8. Do you use a checklist during the insurance review process? _____________________________________________________________________________ 8(a). If your answer is “yes”, please provide a copy. 9. How frequently is excess or umbrella coverage used for these projects in order to comply with project requirements? _____________________________________________________________________________________________ _____________________________________________________________________________________________ ________________________________________________ 9(a). Where used, have issues been encountered when claims are presented as to defense and indemnity? If so, please describe. _____________________________________________________________________________________________ _____________________________________________________________________________________________ ________________________________________________ 10. Do you have suggestions, based on your training and experience, as to what form(s) might be used to avoid disputes as to coverage (both for defense and indemnity) when a claim arises? _____________________________________________________________________________________________ _____________________________________________________________________________________________ ________________________________________________ 10(a). If there is no form that you have found particularly useful, is there language you would propose to avoid disputes when claims are presented? ______________________________________________________________________________ 10(b). If your answer is “yes”, please provide the language.

A-4 _____________________________________________________________________________________________ _____________________________________________________________________________________________ ________________________________________________ 11. Is insurance is purchased on the state’s behalf? ______________________________________________________________________________ 11(a). If your answer is “yes”, is sovereign immunity waived? ______________________________________________________________________________ 12. Please provide a copy of the specification or contract provision that outlines the insurance coverage required for contractors. 13. Please provide copies of two (2) road construction insurance policies that have been received by your agency recently. One of the policies selected should be in compliance with your insurance requirements or specifications and the other policy submitted either be noncompliant or nontraditional in some way. ****************************************************************************** THANK YOU FOR YOUR TIME AND INTEREST IN THIS PROJECT!