Construction Program Management and Inspection Guide

D–2
Appendix D: Inspections-in-Depth
CONSTRUCTION PROGRAM MANAGEMENT AND INSPECTION GUIDE (5/01/04)
General
Purpose of Inspections-in-Depth
The need for and purpose of making inspections on Federalaid
highway construction projects can be found in 23 United
States Code (USC). Representing the Secretary of
Transportation, we are charged with certain responsibilities.
23 USC 114 states:
The construction of any highways or portions of
highways located on the Federal-aid system shall be
undertaken by the respective State transportation
departments or under their direct supervision.…such
construction shall be subject to the inspection and
approval of the Secretary.
This responsibility is further clarified in memoranda dated
June 22, 2001, Policy on the Stewardship and Oversight of
the Federal Highway Programs, and January 8, 2003,
Stewardship and Oversight of the FHWA Construction
Programs (see Appendix A).
It is recognized that because of staffing and time
limitations, it will not be possible to make thorough
inspections of all active projects with FHWA oversight.
From time to time, however, the division field engineer
should designate a number of representative projects upon
which comprehensive, thorough, complete, and detailed
inspections and analyses of a selected phase or phases of the
construction and engineering are to be made. The primary
purpose of an inspection-in-depth (IID) and analysis of the
findings is to evaluate the accuracy, adequacy, and
effectiveness of procedures, methods, controls, and
operations used by the contractor and the State to assure
high quality construction, accurate determination of
quantities, and correct payment in accordance with the
contract provisions. Should the findings on these inspections
disclose the need for additional controls, supervision, or
improvements, a statewide process review/product
evaluation (PR/PE) should be conducted.
Intent of Guide
IIDs, like PR/PEs, are a tool to support the State
transportation agency’s (STA’s) construction management
program. This guide is intended to provide assistance to field
engineers in the performance of IIDs. It is neither practicable
nor desirable to specify precisely each step to be taken on an
IID because of the many variations encountered on different
projects and the specific reasons for making a particular
inspection. It is expected that divisions may supplement this
guide by adding material applicable to the conditions in their
particular jurisdictions.
Scope of Inspection-in-Depth
IIDs may be specific or broad in nature. Steps presented
herein are intended to facilitate the inspection of the more
common types of work and to obtain a reasonable degree of
uniformity. This guide is not a substitute for the exercise of
good judgment, especially in determining the scope and
depth of the inspection.
Refer to the generic inspection guidelines linked to the
FHWA headquarters Construction and Maintenance Web
page (www.fhwa.dot.gov/construction/reviews.htm).
Basis of Evaluation
Base the engineering evaluation of construction work on the
approved plans, specifications, special provisions, contract
provisions and applicable agency standards, instruction
manuals, and operating procedures. Ensure that program or
project concerns are brought to the attention of the
appropriate officials with a recommendation for effecting
desirable improvements on present and future work.
Responsibility of Inspecting Engineer
The field engineer is directly responsible for all work in his
or her assigned area. Make the IID as defined in the division’s
operating procedures. If specialized knowledge of the
construction project work is necessary, ensure that the IID is
a team effort with the appropriate technical specialists as
team members.
Reach agreement with State personnel on corrective
action that will be taken to address findings, and establish a
time frame for implementing the action. Elevate the
discussion to the STA’s resident engineer, district office, or
central office if required. Notify the FHWA division office if
a condition or deficiency requires immediate attention and
resolution cannot be obtained on-site. In situations where
immediate attention is not required, the following
approaches are available to assure the appropriate action is
taken:
a. Transmit the inspection report by letter requesting
appropriate corrective action (this should always be the
first step when resolution cannot be resolved at the
project level).
b. Make the affected item of work nonparticipating.
c. Suspend Federal participation in progress payments
(49 CFR 18.43).
d. Make the project nonparticipating.