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116 A P P E N D I X C Case Examples Interview Questionnaire Because of the complexity of closing out a highway project, it is not unusual for the completion of a project to take months or years. The challenges to closing out a project can include change of personnel, migration of information (paper to electronic), and competing responsibilities. Not closing out a project within an expected time frame can lead to additional costs to the owner, frustration to the contractors, and impediments to release of retention and/or final payment. The delay ultimately impacts internal and external relationships. While there are checklists and processes for closing out a project among some state agencies, a better understanding of factors that drive delayed project closeouts could help ensure timely conclusion of highway projects. The objective of this synthesis is to document state DOT practices for closing out highway projects. Information to be gathered will include but not be limited to: â¢ Reported durations of time to close out a project from substantial completion to final contractor payment and final closeout. â¢ Required documentation for closeout (e.g., as-built drawings, certifications of work, materials, test results, and other documents). â¢ Financial implications of not closing out a project. â¢ 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). â¢ Major factors influencing the delay of project closeout, including internal processes and external stakeholder influences. â¢ Successful practices as reported by DOTs. Agency: Interviewee(s): Time and Date:
Case Examples Interview Questionnaire 117Â Â CONSTRUCTION PROJECT CLOSEOUT 6. What metrics does your DOT use to measure construction project closeout performance and outcomes? 7. What documents does your DOT require for construction project closeout (e.g., As-built drawings, final payment applications, inspection reports, certifications, etc.)? Which documents are the most difficult to obtain? Which documents are the easiest to obtain? 8. How are contract incentives/disincentives used with contractors to make construction project closeout more efficiently? TECHNOLOGIES AND INNOVATION 9. What project closeout practices, processes, procedures, or innovations has your DOT implemented that has helped to make project closeout more efficient? 10. How has e-Construction impacted project closeout? 11. Besides, e-Construction, what other technologies are being used for project closeout, and how have they been used? FINANCIAL PROJECT CLOSEOUT 12. Please explain the financial closeout process for highway projects that use federal funding. Please explain the financial closeout process for highway projects that do not include federal funding. 13. What metrics does your DOT use to measure financial project closeout performance and outcomes? 14. What documents does your DOT require for financial project closeout? Which documents are the most difficult to obtain? Which documents are the easiest to obtain? GENERAL INFORMATION 1. How does construction project closeout differ from financial project closeout at your DOT? 2. What are the challenges/barriers that delay closing out a highway project? Is it construction related? Is it the financially related? Is it both? Please explain. 3. What project stakeholders seem to delay project closeout more than others? 4. How does your DOT train personnel for closing out projects? 5. What consultants or third-party firms does your DOT use to assist with project closeout?
118 Practices for Closing Out Highway Projects from Substantial Completion to Final Payment PROJECT CLOSEOUT FOR FEDERALLY FUNDED PROJECTS 18. What are the policies within your DOT for the amount of time, in days, that it should take to closeout a federally funded highway project? 19. How many days, on average, does it take your DOT to closeout a federally funded highway project? 20. When a federally funded project is not closed out successfully or within a certain timeframe, what are the implications for your DOT? FINAL THOUGHTS 21. What are some lessons learned that you can share regarding project closeout? 22. What would you like to see implemented that can improve project closeout at your DOT? PROJECT CLOSEOUT FOR STATE-FUNDED PROJECTS 15. What are the policies within your DOT for the amount of time, in days, that it should take to close out a state-funded highway project? 16. How many days, on average, does it take your DOT to close out a state-funded highway project? 17. When a state-funded highway project is not closed out successfully or within a certain timeframe, what are the implications for your DOT?
Abbreviations and acronyms used without definitions in TRB publications: A4A Airlines for America AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACIâNA Airports Council InternationalâNorth America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FAST Fixing Americaâs Surface Transportation Act (2015) FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration GHSA Governors Highway Safety Association HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers MAP-21 Moving Ahead for Progress in the 21st Century Act (2012) NASA National Aeronautics and Space Administration NASAO National Association of State Aviation Officials NCFRP National Cooperative Freight Research Program NCHRP National Cooperative Highway Research Program NHTSA National Highway Traffic Safety Administration NTSB National Transportation Safety Board PHMSA Pipeline and Hazardous Materials Safety Administration RITA Research and Innovative Technology Administration SAE Society of Automotive Engineers SAFETEA-LU Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (2005) TCRP Transit Cooperative Research Program TDC Transit Development Corporation TEA-21 Transportation Equity Act for the 21st Century (1998) TRB Transportation Research Board TSA Transportation Security Administration U.S. DOT United States Department of Transportation
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