Guidance for Engineers Performing Site Observation Services

Introduction

Construction phase services are a very important element of the total range of
services provided by design professionals. This final, or near final phase, of project
delivery services is perhaps the last opportunity to endeavor to see that the client
receives a project that meets the stated objectives. It is also during this phase that
the design professional has a final opportunity to anticipate and address design and
constructability concerns in advance of the actual construction being put into place.

In general, construction phase services involve two separate, but important,
elements: (1) construction contract administration, and (2) on-site observations.
On-site observation may be conducted by project representatives visiting the project
on an intermittent basis, or they can be conducted on a more continuing basis by
one or more resident project representatives. The terms of the professional service
agreement should define when construction phase services are to be provided, and
the extent to which these services are to be delivered. Generally speaking, the
greater the size and complexity of the project, the greater the involvement of design
professional in providing construction phase services.

This document is intended to address specifically those services that may be
associated with site observation responsibilities of design professionals, and to
provide basic guidance to design firms in structuring their services for this
particular portion of their professional practice. It is essential that the project
resident representative be a keen observer, a tactful communicator, knowledgeable
of the provisions of the Contract Documents and a responsible and ethical person.
The project resident representative must have a clear understanding of the firms
policies, procedures and culture. A new employee should be given a copy of the
procedure manual if the firm has a written manual, or at a minimum, an orientation.
The orientation could be on an individual basis or a group course. Good practice
dictates that refresher courses should be given annually. Exhibit A is an outline of
an orientation course. This outline could serve as a basis for a manual should the
firm desire to prepare one. Each firms needs and procedures are different, and the
outline must be modified to fit the firms requirements. In fact, the needs and
requirements many vary from project to project. This outline is intended to serve
only as a guide.

Many resources are available to help the design firm to develop construction phase
Service. Some are listed below. In addition, several firms have developed
construction phase service manuals and are willing to share the information.



References

Duties, Responsibilities and Limitation of Authority of the Architects Project
Representative, AIA Document B352

Duties, Responsibilities and Limitation of Authority of the Resident Project
Representative, Exhibit D, EJCDC Document 1910-1

Understanding and Managing Risk - Level 1 Student Booklet, Chapter 1.7,
Victor O. Schinnerer & Company, Inc.

Project Representatives Manual - A Guide to Preparing A Construction
Administration Manual for Design Professionals, Professional Liability
Agents Network, 8811 Colesville Road, Suite G106, Silver Springs, MD
20910 (available on disk)

A Manual for Project Representatives, David W. Lakamp, ProNet Practice
Notes, July 1989

Construction Specifications Institute, www.csinet.org
Manual of Practice (1996)

CA/010 Construction Contract Administration

CA/040 Construction Observation and Inspection,

CA/100 Developing a Construction Administration Guide (AG

Introduction to Construction, a course, modular text-based course,
American Public Works Association, www.apwa.net. P. O. Box 802296,
Kansas City, MO 64180-2296. (641)472-6100

Public Works Inspectors Manual, American Public Works Association,
www.apwa.net. P. O. Box 802296, Kansas City, MO 64180-2296. (641)472-
6100

Construction Project Administration & Claims Avoidance, a 10 hour
videotape course, course, American Society of Civil Engineers, ASCE
Continuing Education, P. O. Box 79536, Baltimore, MD 21279-0536

Several Manuals, U. S. Corps of Engineers



EXHIBIT A
CONSTRUCTION PHASE SERVICES

ORIENTATION COURSE FOR FIELD PERSONNEL


Overview of Orientation Course
An overview of the role of field personnel on a project - their duties and
responsibilities and their limitation of authority. In addition a discussion of the
relationships between the field personnel and office personnel, client,
contractors, suppliers and others

Review of Resident Manual (or Field Procedures Manual) and QC/QA Manual

Members of the Team
A/E Project Team (Design Team and Construction Services Team)
Project Manager
Project Design Group
Construction Contract Manager (or Administrator)
Submittal Coordinator
Surveyors
Client
Project Manager (clients representative)
Contractor
Superintendent (or project manager, contractors option)
Suppliers - no direct contact

Technical and J ob Knowledge and On Site Quality Assurance
Define role according to type of project
Knowledge of Contract Documents - General Conditions of the Agreement,
plans, specifications, etc.
Review of forms
Notification Procedures for such issues as defective work, safety conditions,
behind schedule, quality of construction, etc.
Shop Drawings and samples review procedures - contractor to certify review
and approval prior to submission
Laboratory testing and record keeping
Knowledge of construction schedules
Knowledge of schedule of values, cost control records, pay estimate procedures
Construction quality
Contractors application for payment
No revision without prior approval of design team
Substantial completion and final inspections
Contract Documents requirements
Copy of State, Federal and local codes, ordinances and other requirements
Copy of A/E-Owner Agreement as it relates to Construction Phase Services
Building permits
Building inspection requirements
Other permits required to construct the project

Planning
Pre-Bid Conference - should attend if available
Pre-Construction Conference - see Exhibit B
Look-ahead schedules
Site Meetings with Contractor, Client, Project Team, etc.
Review of Contract Documents prior to the start of work

Documentation and Record Keeping
AIf it did not in writing, it didnt happen
Contract Documents (plans, specifications, addenda, etc.)
Daily Diary
Files for correspondence, shop drawings, change orders, field orders, etc.
Applications for Payments
Record Documents (or verify Contractor is maintaining documents)
Reports (progress reports, site meeting reports, etc.)
Instructions or clarifications to Contractor
Permits
Request for Information from Contractor and response
Change Orders
Field Orders
Work Directives
Establish appropriate lines of communication (cc recipients, etc.)
Keep clear, concise and easily receivable records
All parties should confirm electronic communications procedures (i.e.,
software, emails, addresses, etc.)

Communications
All instructions should be in writing
Communications must be timely
Letters, transmittals, memoranda, etc.
Memoranda, minutes, etc. to be made of all meeting, telephone calls, etc.
Correspondence to be concise, clear and legible
Correspondence to be distributed as appropriate

Conduct at Project Site
Maintain professional demeanor
Being polite and courteous
Showing respect
Follow proper lines of communications

Construction Observation
Contract requirements
Field representatives responsibilities
Limitation of field representative responsibilities
Clients responsibilities
Contractors responsibilities
Working relationship between field representative, client and contractor
Conduct on project site
Project site safety (see Safety)
Accidents (see Safety)
Tolerances and clearances
Defective and nonconforming Work
Delivery, storage and protection of material to be incorporated into project
Photo/video taping
Stop work vs. reject work

Administration
Support provided by A/E office personnel
Support provided by client
Equipment provided by A/E
Equipment provided by client
Equipment provided by contractor
Manual and references Method of handling conflicts
Construction claims process

Problem Solving and Conflict Resolution
Keep communications open with office personnel, contractor, client
Seek a win/win solution
Ask questions in order to have a full knowledge of situation
Dont let problems/conflicts get out of hand before advising construction
manager

Safety
How is safety handled on the project?
How to respond when observing and recognizing an unsafe/life threatening
condition
Moral/ethical responsibilities
Incident notification procedure
Safety equipment on site and how used
Review the A/E firms Safety Policy and Procedure Manual
Incident reporting procedures
OSHA Training

Accident Procedures
Review A/E firms procedures to follow
Take pictures
Records facts
Dont offer opinions
Notify A/E project manager

Construction Completion
Substantial completion - punch list
Warranties and Guarantees - verify all have been submitted to client
Clean up
Final inspection - punch list
Verification all items on punch list resolved
Acceptance of Work
Liquidated damages
Application for final payment
Record drawings

Post Construction
Defects resolved during correction period
Inspection prior to end of correction/warranty periods

EXHIBIT B
NAME OF OWNER
NAME OF PROJECT
PRE-CONSTRUCTION CONFERENCE
AGENDA


A Pre-construction Conference is scheduled for [TIME],[DATE] at [LOCATION].

1. Meeting purpose and goals.

2. Introduce meeting participants. Complete meeting attendance record.

3. Owner and engineer personnel involvement.
a. Owner's project organization and agent of authority.
is the authorized agent for the Owner and is authorized
to execute Change Orders and authorize payment to the contractor.
is the Owner's representative for the project and is to be
the first point of contact for the Engineer and Resident Project Representative.
b. Engineer's project organization and agent of authority.
is the Principal in Charge for the Project and has overall
responsibility to the Owner for the Project.
is the Project Manager for the Project and is responsible
for the day to day management of the project and in particular the design aspects of
the project.
is the project engineer and is responsible for the review
of technical information related to the design intent and any modifications made to
the design.
is the Construction Engineer for the project and will
serve as the agent of authority for the engineer. He will make recommendations
regarding payment requests and contract modifications. He is the point of contact
in the engineers office for all communications, including requests for information,
contract modifications, submittals and payment requests.
is the Resident Project Representative (RPR) and will be
at the project site daily. The RPR will be the first point of contact for the Owner
and Contractor on all field matters. All communications from the field must be
through the RPR.



4. Contractor personnel.
a. Contractor's project organization and agent of authority.
is the Contractor's project manager and is authorized to
sign Change Orders and submit payment request. Checks for payment are to be sent
to at the following address:





is the Project Superintendent and has full authority to act
as agent for the Contractor on all field matters.

b. Proposed sub-contractors and major suppliers.

5. Review the scope of the project.
a. Overview of project.
b. Special construction requirements.
c. Shutdowns of existing facilities.
d. Coordination with others.
e. Materials furnished by Owner.
f. Salvageable and excess material.

6. Distribution of Documents
a. Status of executed documents.
b. Status of insurance certificates and review by Owner.
c. Furnishing conformed documents for construction.

7. Periodical payment estimates.
a. Cost breakdown and payment estimate forms.
b. Schedule of payments.
c. Date for end of payment period is the of each month.
d. Procedures for determining percent work complete (in place
quantities).
e. Procedures for payment of materials on hand.
f. Procedures for preparation and submittal of forms for payment.
g. Payment procedures and anticipated time frame for payment.


8. Changes in the contract (Design, Contract Amount or Time).

a. Field Orders.
b. Owner/Engineer initiated changes.
c. Contractor initiated changes/claims.
d. Procedures for approval of Change Orders.
e. Acceptable claims for delay.

9. Progress schedules and sequence of construction.
a. Need to submit schedule.
b. Special sequence of construction.
c. Need to update schedule.
d. Move-in and commencement of work. The date of the Notice to
Proceed is to be . The contract completion dates are as shown in the
supplemental conditions and liquidated damages have been established at $ per
day.
e. Schedule for periodic progress meeting schedule. Periodic meetings
are to be held on a basis on the of each month.

10. Minimum wages scales (and need for checking certified payroll).

11. Shop drawings.
a. Contractors review.
b. Review and submittal procedures.

12. Record drawings.
a. Procedures for recording changes on drawings.
b. Review of record drawings.

13. Layout and survey work.
a. Responsibility for surveying.
b. Determination of location and types of controls.
c. Schedule for surveying. Base line and bench mark surveys are to be
provided by the following date:



14. Quality Control
a. Quality control is the contractor's responsibility.
b. Owner's quality assurance activities.
c. Coordination of testing.
d. Testing and reporting requirements.


15. Control of project site.
a. Safety is contractors responsibility. Engineer's policy on site safety.
Safe access required for observation and payment. Reporting accidents.
b. Subcontractors and suppliers.
c. Security, access to site and parking sites.
d. Field office and yard storage needs.
e. Use of public utilities.
f. Sanitation facilities.
g. J ob site cleanliness and disposal of waste.
h. Barricades and traffic control.
i. Project signs.

16. Permits and code inspections. For code inspections the contractor is to
contact at [phone number ].

17. Payment for Overtime of Resident Project Representative.

18. Regulatory requirements.

19. Other business or questions.


Adjourn