Chapter 14 Project Incidents and Complaints

Chapter 14 Project Incidents and Complaints 1-1401 Reporting Complaints and Damage or Injury Claims Complaints or claims for personal injury or damage to property because of project details or the operations of the contractor may be received by the Inspector, Project Engineer, the District Office, or the main office of the Bureau. When complaints or claims are received, the following steps must be taken to minimize future involvement of the Department and to improve public relations. If the complaint or claim is made by telephone or in person, the complainant should be advised to submit the complaint or claim in writing. The Inspector must document all pertinent information in the project records. The individual taking the complaint or claim should get complete details and notify the District or another office (Maintenance, Permits, etc.), if appropriate. The individual should send a follow-up transmittal of the written details immediately. For complaints or claims involving construction work, the Project Engineer should be notified of the incident immediately. Complaints or claims for apparent damage to private property may be satisfied by an explanation of the final product or an explanation of already planned corrective work. Early correction of an unsatisfactory condition may avert future complaints. If the complainant persists on subjects beyond the scope of the construction work, advise the individual to submit the claim in writing. The written complaint or claim should be acknowledged. The District should investigate the claim and file a report of the findings in the project records. Photographs should be taken whenever possible to show physical features. Copies of all claim correspondence and the results of any claim investigations should be forwarded to the Director of Documents Processing. The file on the complaint or claim should be kept open, and timely checks should be made to ensure that the complaint or claim is not being ignored. 1-1402 Telephone Complaints Telephone complaints usually involve inconvenience, displeasure, concern, or the like, but not property damage or bodily injuries. When you receive a telephone complaint you should be courteous and document the call and all pertinent information paying particular attention to the location and exact nature of the complaint. Don t make any promise that you can t personally guarantee. Don t transfer the call to another office or unit without confirming someone is there and able to assist the complainant. And don t ignore the complainant. Advise the complainant their complaint will be investigated and someone will get back to them. If they want a follow-up call provide the individual with your name and telephone number or the name and telephone number of the individual who will be investigating the complaint. If you don t know who will be responding, offer to call the complainant back when Project Incident and Complaints ver. 2.2 (Aug 2010) 1-14.1

you find out. Make sure that you follow through on what you promise and advise your supervisor of the nature of the complaint you received and action taken or being taken. The proper handling of complaints will save us time and provide a positive image of the Department. 1-1403 Property Owner Complaints All complaints from property owners that are received by project personnel must be investigated by the Project Engineer and Chief Inspector and discussed with the property owner for resolution at the project level. Any additional work necessary to satisfy the property owner must be cleared with the Office of Rights-of-Way to ensure that the property owner has not already been compensated for the additional work. The right-of-way agreements list the items in the settlement, including any damages for which the property owner was compensated. If the property owner is not satisfied and desires to pursue the complaint, the Project Engineer should instruct the property owner to send a letter to the District Engineer, with information substantiating the complaint. The District Engineer and Assistant District Engineer review the complaint, investigate it, and meet with the property owner, if necessary. Then they reply by letter to the complainant with the Department's position. 1-1404 Improprieties Allegations of improprieties by State staff or contractor and subcontractor personnel must be taken seriously. Any field employee who receives an allegation of impropriety from a citizen should follow the procedures listed below. Obtain and record as much information as possible from the person making the allegation. Be objective in compiling the information. Do not argue that the incident could not have occurred. Ask for the complainant's name, address and telephone number where the person can be contacted by Department security personnel. Inform the complainant that the information will be held in confidence. Immediately inform the Transportation Construction Administrator or the Construction Division Chief of the allegation. Do not attempt to conduct an investigation unless directed to do so. The Office of Construction will notify Management Services of the allegation and will notify the District of any actions to be taken. If the complainant does not wish to be identified, provide the person with the telephone number of the Office of Management Services. Again, assure the caller that the information will be kept confidential. Under no circumstances is the complainant to be advised to call any office other than Management Services with the allegations. 1-1405 Motorist Claims District procedures for handling motorist claims of damage caused by road conditions are summarized below. Each District designates an individual in the administrative office to be responsible for receiving and reviewing motorists' claims. 1-14.2 ver. 2.2 (Aug 2010) Project Incidents and Complaints

When a claim is received, it is reviewed to determine liability, either the construction contractor or maintenance. If the investigation indicates that the liability or responsibility is the contractor's, a standard claim letter is sent to the contractor by certified mail. See Figures 1-14.1 and 1-14.2 for copies of a sample letter to the contractor, and a sample letter to the claimant. Copies of the claim and letters are sent to the contractor's insurance company by certified mail. If there is no response from the contractor within 30 days, a second letter is sent requesting a response. CERTIFIED MAIL (Contractor) (Address) Gentlepersons: Figure 1-14.1 Sample Letter to Contractor Regarding Claim from Motorist Subject: Project No: F.A.P. No.: Claim No. and/or File No.: Insurance Claim: Claimant: Address: (Current Date) In a letter dated, a copy of which is attached, has notified us concerning a claim of as a result of (explain: paint overspray, roadway debris, etc. be as specific as possible). Under the terms of your contract with the State, you are required to carry Public Liability and Property Damage Insurance, including Contractual Liability Insurance, as required by the Standard Specifications for Roads, Bridges, and Incidental Construction, Form, Article 1.03.07-2. As the contractor you furthermore agree, under the terms of your contract and Standard Specifications, Form, Article 1.07.10, to indemnify and save the Stat harmless from claims of this description. Please keep this office informed of the action you take to resolve this matter. A response is required within 30 days. You should also notify of the Department s Office of Property and Facilities, as to the status or resolution of this claim. The address is: State of Connecticut Department of Transportation Office of Property and Facilities Room 2442 SW 2800 Berlin Turnpike, P.O. Box 317546 Newington, CT 06131-7546 Very truly yours, cc: (Insurance Company) (Address) (Certified Mail Number) (Name) District Engineer Bureau of Engineering and Construction Writer/Typist bcc: Construction Administrator Construction Division Chief Office of Property and Facilities District Engineer Assistant District Engineer (Principal Engineer) Supervising Engineer Project Engineer Chief Inspector File Project Incident and Complaints ver. 2.2 (Aug 2010) 1-14.3

Figure 1-14.2 Sample Letter to Claimant LETTER TO PERSON MAKING THE CLAIM (Current Date) (Claimant) (Address) Dear: Subject: Project No.: F.A.P. No.: Claim No./File No.: Insurance Claim Town: This is in response to your letter dated concerning damage to allegedly caused by (paint overspray, debris in road, etc. be specific as possible) on the above noted project. This construction is being performed by an independent contractor and the terms of the contract require that he hold the State harmless in matters of this nature. The contractor and his insurer are being advised of this matter; however, if you feel it appropriate to contact them yourself, for your information, the following are the names and addresses of the contractor and his insurer: CONTRACTOR INSURER Very truly yours, (Name) District Engineer Bureau of Engineering and Construction Writer/Typist cc: Construction Administrator-Construction Division Chief Office of Property and Facilities District Engineer Assistant District Engineer (Principal Engineer) Supervising Engineer Project Engineer Chief Inspect Inspector File 1-14.4 ver. 2.2 (Aug 2010) Project Incidents and Complaints

If the claimant writes or calls the District directly, the District Engineer's Office assigns a file number to the claim. The first digit is the District number, the second two digits are the year, and the following digits are the number of claims received by the District for the year. For example, file number 104106 would be the 106th claim received in 2004 in District 1. When a response is received from the contractor, the information is entered on the Notice of Motorist Claim form, and a copy is again sent to the Office of Property and Facilities. The Project Inspector must review all roadways affected by construction daily and notify the appropriate parties of the need for any repairs. The contractor is responsible for repairing potholes that develop within a contractual overlay, whether temporary or permanent, until relief of responsibility is granted or anywhere within the project limits if the contractor is in the area. Repairs must be made as soon as possible. If the contractor is not in the area, Maintenance should be contacted. If potholes or other hazards are discovered within the travelway in a construction area, the first priority is to correct the problem. The construction staff should coordinate with Maintenance to determine who can respond to the problem more quickly. 1-1406 Other Property Damage and Personal Injury Claims All claims of property damage and personal injury except motorist claims must be forwarded to the Commissioner of Transportation. If the claim letter is received in the District Office, the original is forwarded to the Commissioner's Office, a photocopy is retained, and an investigation is initiated. If it is determined that the claim is within the project limits, letters similar to Figure 1-14.1 are sent to the contractor and the insurer notifying them of the claim. A letter similar to Figure 1-14.2 will also be sent to the claimant acknowledging receipt of the claim and notifying the claimant that any future correspondence should be directed to the contractor or the insurer. 1-1407 Claims Against the State Claims against the State of Connecticut, Department of Transportation, should include the following information: name, address and telephone number of the claimant; and an account of the accident or occurrence that led to the claim, including the date, the time of day, the precise location, the cause, and the property damage and bodily injuries. The claim should be made in writing within 90 days of the date of occurrence and directed to: Commissioner Department of Transportation Administration Building 2800 Berlin Turnpike PO Box 317546 Newington, Connecticut 06131-7546 ATTENTION: Claims Division Project Incident and Complaints ver. 2.2 (Aug 2010) 1-14.5

1-1408 Claims Against the Contractor If a written complaint or claim that involves the contractor is received, a copy of the complaint or claim should be forwarded to the contractor and the contractor's insurer. When the letter acknowledging the complaint or claim is sent, the claimant should be advised that the contractor and the contractor's insurer have been sent a copy of the written claim or complaint. The letter to the complainant should include the addresses of the contractor and the contractor's insurer. The contractor and the insurer must be requested to advise the Department of the action taken and the disposition of the claim or the complaint. 1-1409 Prompt Payment Complaints All claims against contractors for labor or material payments are answered by notifying the claimant of the name and address of the contractor's bonding company. Letters are also sent to the contractor and bonding company notifying them of the claim. For prequalification purposes, the District Engineer should notify the Engineer of Contracts about claims against a contractor for unpaid debts, unless the claim has been resolved by the contractor in a timely manner. Prompt payment complaints are taken seriously by the Department. Each District and the Office of Construction is to keep a log of the prompt payment complaints they have received for any contractor (prime or sub) working on a Department project. One person at each District and the Office of Construction will be designated as a clearinghouse for prompt payment complaints. This person shall maintain the Quarterly Prompt Payment Complaint Log depicted in Figure 1-14.3. Figure 1-14.3 Prompt Payment Complaint Log Whenever a complaint is received (verbal or written) at any level, information is to be collected and forwarded to the designated individual as quickly as possible. The information should include date of complaint, Project No., name of contractor accused of non payment, name of prime contractor, name of complainant and firm representing, how complaint was received (verbal/written), and date work was performed. If the complainant also provides a description of the work and date(s) performed, the Project Engineer is to be contacted and asked to provide the 1-14.6 ver. 2.2 (Aug 2010) Project Incidents and Complaints

Estimate No. the work was paid on and the date payment was made. Although, little information may be provided, anonymous complaints are also to be reported and logged; this information can be valuable in identifying problems. The prime contractor is to be notified, in writing, of any prompt payment compliant except those that are anonymous. It is the responsibility of the designated individual to have prepared a standard prompt payment letter to the contractor. A copy of this letter is shown in Figure 1-14.4. If the Contractor does not respond to the first letter within the time frame requested the designated individual is to have a second letter prepared and sent to the contractor by certified letter and clearly labeled SECOND REQUEST. The bonding company is to be copied: on the second letter. If the prime contractor fails to respond to the second letter the Office of Construction is to be contacted for further instructions. Figure 1-14.4 Standard Prompt Payment Letter to Contractor Subject: Project No. FAP No. Prompt Payment Complaint (860) 823-3204 The Department has been contacted by regarding your alleged failure to make prompt payment for all work performed by them during. Under the terms of your contract (Section 1.03.04 of the Standard Specifications) and Connecticut General Statutes, Section 49-41a-c, you are required to make payment to your subcontractors/suppliers within 30 days of payment to you by the State. Please review the status of your account with to determine the reason(s) for this apparent lack of prompt payment. If there is a bona fide reason for withholding payment from the subcontractor, you are required by CGS 49-41c to notify the subcontractor/supplier and the Department of the reason(s) for withholding payment. Your prompt attention to the issue is required. Please respond no later than with the results of your findings and/or the reason(s) for withholding payments from this subcontractor/supplier. Very truly yours, cc: Subcontractor Carl E. Nelson, P.E. District Engineer Bureau of Engineering and Construction / bcc: Construction Administrator-Construction Division Chief Contract Compliance (if DBE) District Engineer-Assistant District Engineer Project Engineer Project Project Incident and Complaints ver. 2.2 (Aug 2010) 1-14.7

On a quarterly basis the designated individual is to forward to the Office of Construction the prompt payment log. If more than three complaints are received during any reporting period for any contractor, regardless of the number of projects they are working on, the Assistant District Engineer is to be advised. The Assistant District Engineer will investigate and discuss the matter with the Construction Division Chief. 1-1410 Major Project Incident Major project incidents include but are not limited to: a traffic accidents involving a lane closure of more than a 20-minute duration or serious or possibly fatal injuries; a construction accident, such as a crane tipping over, a form collapse, or a cofferdam collapse; a serious construction injury, such as a worker falling from a bridge, a worker being hospitalized, or a call to Lifestar; erection of a picket line; a fire or natural disaster impacting transportation facilities; a security threat to transportation facilities; or an incident significantly affecting the traveling public, such as detour being required, a lengthy delay or an incident that will not be cleared by peak traffic/commuting periods. If an incident occurs, the first and foremost action required of the project staff is the notification of emergency personnel and the safety and protection of the public and workers at the site. Once emergency personnel respond to the incident, project personnel must notify the District Office by telephone. Shown in Figure 1-14.5 is the Incident Notification Process. In most cases, this notification can and should be made within 30 minutes of the occurrence of the incident. When notifying the District of the incident, provide as much information as possible. The Report of Major Road Closure/Project Incident/Emergency Work form available in the Approved Forms folder shows the type of information that is required. The District personnel who receive notification of an incident must complete the Report of Major Road Closure/Project Incident/Emergency Work form and immediately provide the information by emails or fax to both the Office of Construction liaison engineers and the Highway Operations Center. If none of the Liaison Engineers are available, contact either the Principal Engineer in the Office of Construction, Construction Division Chief or Construction Administrator. In the event of serious injuries or a major road closure a telephone call confirming receipt of the incident report is required. Provide updates on progress of incident to Highway Operations and Office of Construction deemed necessary or as directed. Provide a report upon conclusion/clearing of the incident. 1-14.8 ver. 2.2 (Aug 2010) Project Incidents and Complaints

Figure 1-14.5 Incident Notification Process Figure 1-14.6 Deleted Project Incident and Complaints ver. 2.2 (Aug 2010) 1-14.9

If a major incident occurs after normal working hours, District supervisory personnel and the Highway Operations Center must be notified by both telephone and fax. Each District should have procedures in place for making the after-hours notification. The supervisory personnel receiving notification must determine if further notifications are required and, if they are, contact the District Engineer or the Assistant District Engineer. After-hours incidents that require higher-level notification include but are not limited to: a serious injury or fatality of a construction worker or Inspector; a construction accident resulting in a fatality; an incident resulting in complete closure of major routes; an incident that will not be cleared before peak traffic periods and therefore will result in public impacts; interruption of utilities; interruption of rail service: obstruction of major waterway; major environmental damage; an incident that results in media attention; third party incidents that have a major impact to transportation facilities security threats that impact transportation facilities or traffic; or natural disasters that impact transportation facilities.. The District Engineer (or Assistant District Engineer in his absence) is responsible for notifying the Construction Division Chief or Transportation Construction Administrator of the incident. In addition to the above after hours notification, a copy of the Report of Major Road Closure/Project Incident form must be faxed to the Office of Construction as soon as possible. 1-1411 Report of Burglary, Theft, or Vandalism of State-Owned Property The Inspector is responsible for reporting all incidents of burglary, theft or vandalism of State-owned property assigned to the project. The following procedure is used whenever any State-owned property has been stolen, damaged or vandalized. Immediately notify the local or State Police of the incident and as soon as possible notify CONNDOT security by phone at: 860-594-3333 Monday-Friday, 6:30 a.m. 8:30 a.m. 860-594-3053 Monday-Friday, 8:30 a.m. 4:30 p.m. If the incident occurs on the weekend or holiday CONNDOT security is to be notified by phone as soon as possible on the next business day. Within 24 hours of the incident a Report of Burglary, Theft or Vandalism form shown in Figure 1-14.7 should be faxed to the following: Type of Equipment Office FAX No. All Office of Construction 860-594-2678 All Security 860-594-3073 Computer Office of Information Systems 860-594-3590 1-14.10 ver. 2.2 (Aug 2010) Project Incidents and Complaints

Figure 1-14.7 Report of Burglary, Theft or Vandalism OFFICE OF CONSTRUCTION REPORT OF BURGLARY, THEFT OR VANDALISM Incident Information Date of Incident: (mm/dd/yy) (or Date Discovered) Time Discovered: Discovered by: Person's Phone #: Report Information Date of Report: Time of Report: Report Prepared by: Phone # of reporting person: Location of Incident Address: Building Name: Project No.: Contact Person with Title: Phone # of Contact Person: Description of Incident: DOT Unit No.: What Police Department was Notified? PD Case # Items missing, stolen or vandalized State Equipment # or Registration # Description of Property Contact the District Liaison in the Office of Construction and fax this form to the Office of Construction (860-594-2678) as soon as possible, even if all the information is not available. If the equipment involved is computer related the Office of Information Systems is also faxed the form (860-594-3590). CONNDOT Security MUST be notified by telephone at (860) 594-3053 after the incident is discovered. Project Incident and Complaints ver. 2.2 (Aug 2010) 1-14.11