Construction Program Management and Inspection Guide

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Documentation Division offices should document the effectiveness of their construction management programs. Documentation should include observations, findings and resolutions, and any special reports. This evaluation should also discuss quality management initiatives and summarize the capability and performance of the STA in carrying out its Federal-aid construction program. Additional detail is provided in the sidebar to the right. Objectives of Inspection Inspections, either at the project or program level, are the primary method used by FHWA for fulfilling its construction program oversight responsibilities. Oversight represents the compliance or verification component of FHWA’s stewardship activities. Project oversight requirements may be different depending upon the stewardship agreements, but the general objectives of construction inspections are the same. Although STAs may be delegated the authority to administer the program within the scope of 23 USC and related Federal laws, FHWA retains the responsibility to assure that projects are being administered in full compliance. Specific objectives are as follows: 1. Obtain assurance that the project has been completed in reasonably close conformity with plans and specifications including authorized changes and extra work. Provide a basis for acceptance of the project and reimbursement of project costs with Federal-aid funds. 2. Acquire information on problems and construction changes. Provide an opportunity for timely remedial action where applicable. Provide documentation of solutions to problems or commitments. Encourage other STA units’ involvement and awareness of problems to avoid future reoccurrence. 3. Assess the State’s abilities and effectiveness in managing and controlling Federal-aid construction projects with respect to items such as these: ▼ Qualifications—training, certification, written guidance ▼ Staffing, equipment, and facilities ▼ Performance ▼ Project documentation, including inspection diaries, test reports, etc. 4. Promote the development and implementation of quality management programs. Construction Program Management CONSTRUCTION PROGRAM MANAGEMENT AND INSPECTION GUIDE (5/01/04) Construction Management Report Possible Items Suitable for Inclusion Number and value of contracts awarded by type. Number and value of active projects by type and area. Field engineer workload—project complexity. Number of inspections and reviews made by type and area. Process/Statewide Reviews by phase. Selected Emphasis Reviews by phase. Summary of reviews—objectives, findings (including frequency and significance), conclusions, recommendations, and disposition or actions taken. Overall review of accomplishments as they relate to the division’s “risk analysis.” Program modifications with supporting explanations. – Impact of the construction inspection program: Does it make a difference? – Productivity of reviews: What is effective? Areas of concern: construction improvements needed or achieved. – Adequacy of specifications and plans. – Adequacy of construction supervision: manpower management, construction workload. – Comments on State’s construction manual. – Comments on construction practices attributed to contract documents or bidding practices. – Number of documented concerns with resolution. – Program developments, such as materials sampling and testing by contractor, experimental projects and recycling, new methods and equipment, new specifications. – Project cost or time creep trends. – Environmental mitigation measures accomplished during construction. Areas needing added emphasis—future construction inspection program needs. Suggested program changes—program management, directives, etc. Use of quality-level analysis. Frequency and documentation of project contacts. Activities that are not project-specific, such as State, district, or laboratory contacts and relationships. Construction-related promotional activities. Training received by State employees and its effectiveness and usefulness (not restricted to FHWA training). FHWA and State organizational changes—functions and individuals. Final assessment of the acceptability of the State’s construction program. Recommendations for reviews to be considered in the next fiscal year’s risk analysis. 3–3
3–4 Construction Program Management CONSTRUCTION PROGRAM MANAGEMENT AND INSPECTION GUIDE (5/01/04) 5. Offer technical and procedural advice. Recommend improved construction techniques and engineering supervision. 6. Report on special or innovative construction materials, methods, procedures, new equipment, and other technological innovations. 7. Professional development of FHWA and State review personnel. 8. Other items, such as these: ▼ Establish contact and communications with project staff. ▼ Become familiar with project. ▼ Attend partnering workshops and project progress meetings. ▼ Monitor and evaluate progress of work. ▼ Provide support and encouragement for project personnel. ▼ Focus division resources on critical construction features and practices. ▼ Follow up on previous inspection findings. ▼ Lessons learned. Purposes of Construction Inspection Reports Document Project History and Compliance Construction inspection reports fulfill four basic requirements: ▼ Provide permanent file evidence that inspections are being made as required by Federal regulations. ▼ Provide a basis for acceptance of completed work. ▼ Document field conditions, contractor performance, and the State’s project management. ▼ Document FHWA’s role, observations, findings, resolution of identified problems, claims, and any other topics of interest. FHWA project files are generally maintained through formal final acceptance before being stripped and sent to the Federal Record Center; however, FHWA reports are generally maintained in STA records for several years longer. Field inspection reports should be considered historical project records. To establish timeframes for record maintenance, consult the Office of Management and Budget policy contained in Circular No. A-130, Revised (Transmittal Memorandum No. 4) and available at www.whitehouse.gov/omb/circulars/ a130/print/a130trans4.html#1. The FHWA Files Management and Manual Records Disposition schedules are available on the FHWA Web site at www.fhwa.dot.gov/ legsregs/directives/orders/m13241.htm. The inspecting engineer should be aware that FHWA inspection reports are subject to Freedom of Information Act requirements, as described in Circular No. A-130. Potential readers can be from the general public, and inspection reports can be used in litigation. These possibilities underscore the importance of reporting only facts, observations, and professional recommendations, and not unnecessary personal opinion. More information is available at www.fhwa.dot.gov/foia/index.htm. Convey Information to the Reader The report writer should take into consideration a variety of potential readers. To be comprehensive and coherent, the report should cover these areas: ▼ Activities taking place on the project during the inspection. ▼ Observations and actions taken regarding quality and progress of work. ▼ Comments on the adequacy of the project administration by the contracting agency’s representatives (staffing, supervision, documentation, measurement and payment of contract items, material issues, etc.). ▼ Adequacy of addressing traffic control, safety, and environmental issues. ▼ The STA’s handling of change or extra work including proper justification for the work and adequacy of supporting documentation. ▼ Information on special or unusual technical topics. ▼ Follow ups from previous reports. All reports should be clear, concise with facts, and free of unnecessary personal opinions, and should include positive and constructive observations. Above all, reports should be accurate and specific since the content may be used in evaluating or refuting contract claims. The original report should be filed in the division’s project file, a copy sent to the STA, and a copy circulated to the program technical specialist and appropriate management in the division office. Reports should be made available to headquarters and the FHWA Resource Center as appropriate.
Page 1 and 2: Construction Program Management and
Page 3 and 4: Notice This publication is dissemin
Page 5 and 6: iv Contents CONSTRUCTION PROGRAM MA
Page 8 and 9: List of Acronyms AASHTO American As
Page 10: 1. Introduction The Federal Highway
Page 13 and 14: 2-2 Background CONSTRUCTION PROGRAM
Page 15: 3-2 Construction Program Management
Page 19 and 20: 3-6 Construction Program Management
Page 28: 5. Summary ▼ Construction program
Page 31 and 32: A-2 AppendixA: Policy Memoranda Reg
Page 40 and 41: SAMPLE Appendix B: Quality Assuranc
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Page 44 and 45: SAMPLE Outline of Contractor Qualit
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Page 60 and 61: SAMPLE ▼ Rock Excavate - Earthwor
Page 62 and 63: SAMPLE 2.2 - Qualified Off-Site Pro
Page 64 and 65: SAMPLE 3.0 Quality Control Laborato
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SAMPLE 4.1.2 - Roadway Embankment M
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SAMPLE Material Source Characteriza
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SAMPLE 4.2.2 - Mix Designs Earthwor
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SAMPLE 5.4 - QC Sampling and Testin
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SAMPLE 5.4.3 - Embankment Material
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SAMPLE 5.4.5 - Backfill Material fo
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SAMPLE 6.0 Production Facility Mana
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SAMPLE 6.4 - Production Facility Co
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SAMPLE Earthwork Item Placement Equ
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SAMPLE Step J. - If the PWL for Con
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SAMPLE 7.5 - Placement Control Char
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SAMPLE ▼ Once the cause of the fa
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SAMPLE 8.6 - Application of Enginee
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SAMPLE Appendix C: Process Review/P
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SAMPLE V. Overview of the Program R
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SAMPLE Special Emphasis Areas Desig
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SAMPLE Criteria Assessment Review F
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SAMPLE input. It is recommended, th
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SAMPLE The guidelines should also b
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SAMPLE weeks should be adequate. Th
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SAMPLE cases where there is no spec
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SAMPLE Appendix C: Process Review/P
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SAMPLE Summary of Duties Process Re
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D-2 Appendix D: Inspections-in-Dept
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D-10 Appendix D: Inspections-in-Dep
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Appendix E: Technical References an
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Shallow Foundations (training cours
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Appendix F: Examples of Reporting P
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Progress and Quality of Work Report
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Materials and Quality Control Repor
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Construction Operations and Feature
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Subcontracting Report Item Names of
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Appendix F: Examples of Reporting P
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Staffing and Project Control Report
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Evaluation of Design and Potential
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G-2 Appendix G: Project Implementat
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