1.

6 CHAPTER ONE

Mechanical Drawings. Mechanical drawings designate the heating, ventilating,

and air-conditioning (HVAC) systems; electrical distribution requirements; fire and
security systems; sprinklers and the necessary plumbing requirements. These draw-
ings generally contain the ductwork sizes and locations and designate required
openings in the structure for their paths. Flowcharts and riser diagrams are pro-
duced for electric conduit runs and plumbing lines including sprinkler-piping sys-
tems. Drawings are prepared for the mechanical equipment rooms indicating the
selected equipment, the operating weights of the machinery, and weights of heavy
piping which are detailed to be hung or floor-mounted.

Tables 1.1 through 1.3 are helpful “checklists” prepared by CASE which can
be used by the forensic engineer to assist in establishing the available basic design
information for the investigation.

Design Drawing Phases. The most common design drawing process has four dis-
tinctive phases.

1. Concept sketches (CS)

The architect, generally in concert with the structural engineer, initiates a
design which in some cases may require alternate structural framing systems
as well as stability and constructibility schemes. This phase normally consti-
tutes 10 percent of the total effort for the proposed project and consists of plan
dimensions, general column locations, and architectural features including
probable façade materials. This information is presented to the owner in the
form of professional sketches or drawings, and occasionally it includes a ren-
dering of the project.
2. Preliminary design (PD)
Upon approval of the CS by the owner, the design enters the preliminary phase,
wherein a selected scheme is developed into a more defined scope with the
structural and mechanical consultants. In this phase, outline specifications for
materials and their use in the construction are noted, from which preliminary
budgets for financing requirements, scheduling, and construction are derived.
The end of this phase normally is considered as 25 percent of project design
completion and is presented in the form of hard-lined drawings (CAD) repre-
senting the basis of the project.
3. Design development (DD)
The project now begins to take shape. The structural systems are finalized, the
mechanical requirements are defined, the façade and interior finishes are
being selected and incorporated, and the project cost estimates are more
firmly defined. The end of this phase now represents 50 percent of project
design completion. At this stage, drawings from the design team (architect,
structural and mechanical engineers) provide sufficient information to profes-
sional estimators for them to evaluate costs within the owner’s project bud-
getary guidelines.
 CHAPTER TITLE 1.7

4. Construction document (CD)

All the disciplines of the design team are in the stage of finalizing, coordinat-
ing, and detailing their work toward 100 percent completion of the designs, in
preparation for bids. However, with respect to the total project, the end of this
phase represents 75 percent of the total design. The remaining 25 percent is
assigned to the construction phase, also known as the construction adminis-
tration phase. There are projects that terminate at the construction document
phase. Therefore, coordination of the project drawings among the design dis-
ciplines is absolutely paramount when the architect or engineer, as the prime
professional, assumes the responsible role of heading the team.
Technical specifications are finalized in this phase by each discipline and are
added to the general conditions including bid forms for distribution to prospective
qualified bidders.
After the design bid documents are released for bidding and subsequent
addenda, if any, are issued, the design portion of the project is complete, and
the project enters into the construction administration phase.
5. Construction administration phase (CA)
When a contract is signed by the owner, or agency authorized to act on behalf
of the owner, for the construction of the project, the design document termi-
nology is changed to construction documents or sometimes called a set of con-
formed documents which includes addenda during the bid stage.
This distinction is made because the contract for the construction of the project
may have conditions or exceptions to the design documents. A conformed set
of design drawings is issued with the approval of the prime designer (architect
or engineer) which reflects the contract “conditions” so that all parties are
working from the same set of contract documents.
In the construction administration phase, the prime designer reviews the con-
tractor’s submittal of shop drawings, equipment, and material specification
submittals; performs site visitations; attends meetings with contractors;
responds to the contractor’s request for information (RFI), and issues clarifica-
tion sketches and owner-initiated changes to the project. (This process is dis-
cussed in greater detail later in this chapter.)
It is important to note that there are many situations, particularly on govern-
ment-generated projects, in which the project construction administration is
performed by another design team or by a government agency, such as the
Department of State or the General Services Administration.

Technical Specifications

Common use in the design profession is the Construction Specifications Institute

format, which is basically divided into three parts for each trade or product: gen-
eral, materials, and execution.
1.8 CHAPTER ONE

Brief highlights of the three parts are as follows:

Part 1—General
Consists of the general description of the scope of work for the section, or
trade, for which the specifications are written.
Lists applicable codes and standards.
Lists and describes the required submittals, i.e., shop drawings, engineering
calculations for items designed by the contractor, product specifications, and
guarantees/warrantees.
Defines the contractor’s quality assurance (QA) and quality control (QC)
procedures.
Part 2—Materials
Describes the materials to be used in the construction.
Describes the equipment to be used in the project.
Part 3—Execution
Fabrication requirements and conditions.
Material delivery and protection prior to use.
Installation procedures and tolerances.
Testing requirements during fabrication and installation of specified items.
Specifications are and should be prepared by the project design disciplines
and/or in conjunction with a professional specification (CSI) consultant for the
particular project and not submitted as an off-the-shelf item. Each project is dif-
ferent and has its own unique qualities.

Pertinent Questions

Since the drawings and specifications are an integral part in the investigation of
distressed structures, the forensic engineer should ask the client the following
minimum questions regarding the construction documents:
Are the latest drawings available?
Are the drawings signed and sealed by a professional engineer/architect?
Are as-built drawings available?
Do they depict the constructed structure?
Do the specifications indicate materials for the project?
Are the specification performance-type specifications?
Were there sufficient quality control requirements performed, such as special
inspections during shop and field fabrication of materials, and results of mate-
rial testing for the project?
 DESIGN-CONSTRUCTION PROCESS 1.9

Bid Package

The project construction bid package consists of the following major parts:
Invitation to bid: A sample bid form similar to or the same as that in
“Recommended Competitive Bidding Procedures for Construction Projects,”
EJDC 1910-18, by the Engineers Joint Contract Committee. The term invita-
tion to bid is sometimes used interchangeably with specifications, but note that
they are two distinct sections of the project documents.
Qualification of bidders: This requires documentation of the prospective bid-
der’s and contractor’s financial capability, construction bonding ability, suffi-
cient insurance coverage—both general and property, listing of similar project
experience, adequate supervision, and ability to meet the owner’s schedule and
budget.
Unit price schedule: Unit prices are stated by the contractor for alternates in the
bid package and/or “add” and “deduct” in-place costs for authorized changes
during the construction.
General conditions of the contract for construction: The commonly used doc-
ument is Standard AIA A201-1997.
Supplementary conditions: These include additions or deletions to the general
conditions of the particular project.
Design drawings: These are drawings, details, and instructions prepared by the
design team for the construction of the project.
Technical specifications: They define the scope of work, materials or equip-
ment usage, and their implementation for each trade.

SHOP DRAWINGS

Shop drawings reflect the contractor’s understanding and interpretation of the

construction documents for the fabrication and installation of the various compo-
nents used in the construction of the project. These drawings are detailed to indi-
cate the sequence of assembly of various components of the project as well as its
final form or position within the project.
Shop drawings are submitted to the design team for review prior to the actual
fabrication or assembly of construction components. Since time is of the essence,
return of the shop drawings within a specified time is essential to the contractor.
Delays in approval of shop drawings may impact the construction schedule and
further prevent other trades from continuing their work. For example, the
American Institute of Steel Construction Code of Standard Practice, Section 4
Shop and Erection Drawings, paragraph 4.2 states: “The fabricator includes a
maximum allowance of fourteen (14) days in his schedule for the return of shop
drawings.” If the architect or the structural engineer does not take exception to the
1.10 CHAPTER ONE

above during the bid period, then the architect/engineer (A/E) must abide by the
above or take the risk of receiving a delay claim from the contractor.
There has been much discussion regarding the party who is legally responsible
for steel connection detail during the review/approval process of the shop draw-
ings, following the Hyatt Regency walkway collapse in Kansas City, MO, in 1981.
The generally accepted version is that the structural engineer of record (SER) is
responsible for the entire structure and its component parts unless the designer
specifically provides sufficient information on the contract documents and
instructs the contractor (detailer) to assume the responsibility for the design of cer-
tain designated connections and/or members. Further, the SER would be prudent
to stipulate that items not so designed by the SER be designed by a professional
structural engineer registered in the state where the project is constructed and that
engineering calculations be submitted for the SER’s review.
Table 1.4 is a checklist prepared by CASE and can be used by forensic engineers
in their investigation. Figure 1.2 illustrates a typical shop drawing review stamp
used by various structural engineering consultants upon the recommendation of
insurance carriers, in particular DPIC. Figure 1.3 is a sample of a stamp used by a
consultant to designate responsibility that is assigned to the contractor regarding
“the means and methods of construction,” which generally include the following:

Underpinning of existing adjacent structures

Design of formwork for concrete construction
Bracing, shoring, and reshoring of concrete work
Construction loads imposed on the structure during construction
Temporary bracing of the structure during construction for wind and other lat-
eral loads
Loads imposed on the structure during construction such as cranes, storage,
and temporary equipment loads

ARCHITECT’S AND ENGINEER’S LOGS

It is important for the design team to establish an ongoing record of the project for
possible claims initiated by the contractor or even claims by the design team due
to contractor’s errors or owner changes. The architect’s and structural engineer’s
documentations, often referred to as logs, for a project are basically similar. These
logs should be organized and maintained in a safe and secured area and should
include the following:

Design logs and records

Agreement and conditions between the design professional and the client.
Client’s approval of the needs and criteria of the project.
 DESIGN-CONSTRUCTION PROCESS 1.11

FIGURE 1.2 Typical shop drawing review stamp.

FIGURE 1.3 Sample stamp by consultant designating

responsibility for “means and methods of construction.”
1.12 CHAPTER ONE

Government applications and approvals.

Design calculations.
Correspondence, records, minutes of meetings, dates of all submittals to client
and consultants.
A record copy of drawings and specifications of each design stage submittal
(PD, DD, and CD documents).
Shop drawing submittals
A log of each drawing submittal, when received, when reviewed and released
with appropriate actions. Table 1.5 is a sample of a consultant’s log for record-
ing shop drawings received from the contractor.
A record of product and sample submittals.
Minutes of meetings and personnel in attendance.
Construction administration
Results of construction material tests.
Written report of each site visit, distributed to interested parties.
Log of all field office memos (FOMs).
A log of all contractor’s requests for information, when received, when and
how responded.
Minutes of meetings.
A record of authorized change orders (COs) and bulletins.
What is the time duration for keeping records? The National Society of
Professional Engineers (NSPE) publication 4046 explains the differences between
statutes of limitation and repose as follows: “Statutes of limitation bar actions
against design professionals after a certain period of time following the date of
injury or discovery of the deficiency. Statutes of repose bar actions against design
professionals after a certain period of time following the completion of services or
the substantial completion of construction.”
In the United States, 48 states have statutes of repose with certain local limita-
tions and conditions. Two states, New York and Vermont, have not adopted a
statute of repose for design professionals. New York State does have a statute of
limitation that takes effect 3 years after the date of discovery.

EXISTING CONDITIONS

In many instances the structural engineer is retained to perform analytical investi-

gations of existing structures. The engineer must be prepared to perform his or her
investigation in a manner similar to a detective pursuing answers to questions in
order to understand the behavior and facts of the case before a verdict can be rea-
 DESIGN-CONSTRUCTION PROCESS 1.13

sonably readied. At a minimum, the following items should be on the structural

engineer’s checklist:

Acquire the latest structural drawings and/or shop drawings.

Perform a site visit.
Confirm and/or take measurements of pertinent structural components.
For concrete structures investigate the size and location of reinforcing, initiate
a program for concrete core sampling and testing.
For steel structures check beam sizes and connections; and, if required, ascer-
tain the type of steel in the structure by a program of test coupons recovered
from selected beams for testing.
For masonry structures check the type of block or brick, whether cells are
grouted and/or reinforced, mortar type and strength, bond beams, and joint
reinforcement.
For timber structures check size, type, and grade of members; check moisture
content and connections.
For foundations, probes or borings may be required to ascertain the size of foot-
ings and in some instances the soil-bearing capacity.
Observe and define the existing load path of the structure under investigation.

The engineer should be cognizant of the fact that it is always beneficial to take
more field measurements and make more sketches than may be deemed necessary
at time of the field investigation, since “paper is cheaper” than the revisit site time.
Also, field notes should be transferred to hard office drawings or CAD as quickly
as possible.

VALUE ENGINEERING

In the early 1980s the term value engineering became a part of the construction
industry vocabulary, probably and partly because “construction managers” needed
outside opinions and consultation from building design professionals to optimize
project costs and schedules.
During the latter part of 1980 (the stock market “drop”), large general business
corporations started to use the term reengineering for the corporate system, which
has basically similar goals to value engineering: to decrease costs for the same
work and to do it in less time.
Value engineering pertains not only to engineering but also to architecture and
construction. The value engineer (VE) must be experienced in the respective dis-
cipline to serve as a nonadversarial participant in this process.
1.14 CHAPTER ONE

Note that peer reviews and value engineering reviews are opinions of outside
professionals, and their recommendations may or may not be accepted by the
project design professional. If the recommendations are accepted and imple-
mented in the project, the design professional is still solely responsible for the
work.

PEER REVIEW

At the 1983 Structural Failures Conference in California, suggestions were made

by the participants to find means to reduce structural distress in major buildings
and to prevent catastrophic failures. Thus, a peer review was conceived initially to
be a voluntary process which would be performed by an independent structural
consultant, and the review would be done upon completion of the contract docu-
ments, but prior to bid or construction.
Recently, it has been found that the peer review process could be more benefi-
cial to the project if the process were started during the design development phase.
Note that the concept of a peer review is not a substitute for value engineering.
It is important to note that the reviewing engineer is not responsible for the
structural design and does not supplant the duties of the engineer of record (EOR).
The review is intended to verify the design load criteria, local building code com-
pliance, and that no major errors are apparent with respect to concept in the design,
the load path, or in pertinent calculations.
The City of Boston, Massachusetts, and the State of Connecticut presently
require peer reviews of large and special structures.

INSPECTION AND TESTING

Although the inspection and testing terms are used synonymously in the con-
struction field, they have distinct roles in the building world.
Inspections during construction are required to be performed directly by a reg-
istered professional engineer or by an engineer under the supervision of a regis-
tered professional engineer.
Inspection during construction is presently a requirement of the following rec-
ognized building codes: BOCA (Building Officials Construction Association),
UBC (Uniform Building Code), and SBC (Standard Building Code). Certain
major populated cities such as New York City advocate local special inspection
requirements that are generally visual and may be accompanied by mechanical
and/or electronic aids.
The definition of inspection varies with the building code in effect at the time
of construction. The following is a list of building codes that require inspection of
structural components during construction.
 DESIGN-CONSTRUCTION PROCESS 1.15

Authority Inspection nomenclature

Building Officials Construction Association Special inspections

Uniform Building Code Special inspections
Standard Building Code Threshold inspection (Florida)
Administrative Building Code, New York City Controlled inspection

Project specifications should require at least the following minimum require-

ments for inspection and testing of the subgrade, concrete, steel, masonry, and
timber structures.

Subgrade. The following inspection and testing of the subgrade should be car-
ried out:
Borings
●Subsurface investigations are a requirement for major structures. Alternatively,
a “judgment call” may be made by the structural engineer of record or the geo-
technical engineer of record (GER) for minor structures, particularly if evi-
dence of the subgrade conditions is available at adjoining sites.
●National building codes require at least one boring for 2500 ft2 for all buildings
which are more than three stories or 40 ft in height. Whenever it is proposed to
use float, mat, or any type of deep foundation, there shall be at least one
exploratory boring to rock or to an adequate depth below the load-bearing strata.
●Some building codes, such as that of New York City, require the soil boring
investigations to be under the supervision of a licensed professional engineer
(preferably a geotechnical engineering consultant) registered in the State of
New York.
●The standard test borings should be taken in accordance with ASTM D-1586.
●Subgrade investigations should ascertain the presence of the elevation of nat-
ural groundwater through the installation of piezometers for observation.
Inspections
● A geotechnical engineer should perform physical and laboratory tests to ver-
ify the safe soil bearing value for the specified foundation design.
● A geotechnical engineer should also perform inspection of the preparation of
the subgrade prior to the foundation concrete pours.
● Pile driving operations and installation of caissons and other deep founda-
tions should be done under the observance of a geotechnical engineer.
Testing
● It may be necessary to validate the safe bearing value of the subgrade by a soil
bearing plate test method. The New York City Building Code, subchapter 11,
article 5, provides the requirements and interpretation of a soil load-bearing test.
● Sieve analysis, plasticity, moisture content, and other tests should be per-
formed by a qualified testing laboratory.
1.16 CHAPTER ONE

● Pile loads tests, when required, should be performed per ASTM D-1143.
● Inspection of caisson bottoms should be conducted either visually by a soils
technician or by use of TV equipment.
● Compaction tests during backfill operations should be done in accordance
with ASTM D-1557.

Concrete
Formwork inspection
Inspection of concrete work is particularly important because once the concrete
is hardened, correction of problems is extremely difficult and costly.
● Formwork should be checked for proper dimensioning and tolerances.
● Formwork bracing and shoring are the contractor’s responsibility; therefore
the designer is not involved.

Reinforcing steel inspection

●The size, amount, and location of rebars should be checked; and the lengths
and end termination requirements should be spot-checked.
●Tying and supports for the reinforcing steel are the contractor’s responsibil-
ity; therefore the designer is not involved.

Concrete material inspection

●Concrete mix and strength requirements should be verified from batch plant
tickets. Additives may have been added at the plant, or additives may be des-
ignated to be added in the field prior to the pour. Some states require inspec-
tion at the batch plant by a qualified testing laboratory.
●Concrete slump, air content, and temperature should be checked prior to the
pour in accordance with ASTM C-172 and C-173.
●Method for conveying concrete to the forms should be checked.
●Test cylinders are to be cast in accordance with ASTM C-31 and tested per
ASTM C-39.
●Sometimes “strip cylinders” are cast and cured adjacent to the pour location in
order to schedule a form stripping and reshore cycle for the project. Means and
methods of reshoring are the contractor’s responsibility; therefore the designer
is not involved since it is the contractor’s means and methods for construction.
●Curing methods should be in accordance with the project specifications or at
least conform to the American Concrete Institute Building Code
Requirements for Structural Concrete (ACI 318-99).

Posttensioned Concrete
● Size, amount, and locations of strands must be verified prior to the concrete
pour. “Deadend” anchor conditions must be checked.
● Tensioning equipment must be checked and calibrated.
● Concrete pour inspection is the same as under Reinforced Concrete.
 DESIGN-CONSTRUCTION PROCESS 1.17

● Concrete strength must be ascertained by standard test cylinders per project

specifications prior to strand tensioning.
● Tensioning must be observed and recorded by the testing agency.

Precast-Prestressed Concrete
● Plant fabrication is certified by the manufacturer.
● Field connections should be checked by the testing agency, similar to structural
steel inspection requirements, since generally connections of structural steel are
either bolted or welded.

Structural Steel
● High-strength bolts should be checked in accordance with ASTM A325/490.
This applies not only in the shop but also in the field.
● Many states require that inspection of welding procedures, and tests be performed
not only in the shop but also in the field and checked in accordance with Structural
Welding Code, AWS D1.1. The following is a recommended guide for inspection
of welds:
1. Welds should be prequalified in accordance with AWS. Weld preparation joints
that are not previously qualified require a test procedure as stated in AWS.
2. Welders should be certified and prequalified per AWS for the work they are
performing. Certification should have been established within the past six
months of the actual work performed.
3. Major through-thickness welds of 1.5 in or greater require a welding proce-
dure for the weld process which is generally submitted to the EOR for review
and approval.
4. Material for complete joint penetration (CJP) welds greater than 1.5 in in
thickness should be checked by ultrasonic methods for delaminations or
inclusions in the base material. This is particularly important for welds that
are subjected to tension forces.
5. All complete joint penetration welds should be 100 percent tested by either
ultrasonic or radiographic methods. Experience has indicated that ultrasonic
inspection can be interpreted more consistently than radiographic films.
6. Fillet welds are usually checked by either magnetic particle or dye-penetrate
test procedures. Unless otherwise stated in the contract documents, 10 to 15
percent of the lineal feet of weld should be checked.

Timber

● Size, location, and species of the members should be checked.

● Special wood composite members such as glued laminated members and wood-
and-steel composites should be checked by reviewing the manufacturer’s shop
and mill certificates.
● Generally, special connections, bolting, and nail patterns require inspection.
1.18 CHAPTER ONE

PROJECT DELIVERY METHODS

To put into effect a proposed project, it is essential to first establish the method
by which the design team, architect/engineer, contractor, and subcontractors will
design and deliver the proposed project plan for use. Therefore, when one is par-
ticipating in the selection of the delivery method, it is important to know, among
other things,
● Established regulations for procurement when dealing with a public agency
● Who the owner is as well as her or his capability and experience to respond to
the needs of a proposed project delivery method (personnel and budget con-
straints, construction management understanding)
● Owner’s financial strengths and cash flow concerns
● Timely availability of all contract documents
● When use of premises is required
● Environmental and community concerns
● Special site conditions such as underpinning of adjacent structures and shoring
and sheeting availability of utilities

Once the above items have been determined, along with other pertinent project
requirements, the selection of the most suitable project delivery system can be
made. The most common project delivery methods used in the industry are
● Design-Bid-Build (DBB)
● Design-Build (DB)
● Design-Build-Operate-Maintain (DBOM)
● Construction management with or without guaranteed maximum price (GMP)

Design-Bid-Build (DBB). Under this scenario an owner retains a qualified archi-

tect/engineer to design a project for his or her needs and then submits the design
for bidding to qualified contractors for the construction.
In this process the professional designer has the responsibility to design the
project to the agreed requirements of the client in accordance with the local build-
ing code for the protection of the public. The contractor has the responsibility to
build the project in accordance with the requirements of the contract documents.
Although both the designer and the contractor have common allegiance to the
owner, the relationship between them may be trying at times.
Generally, the owner requires a statement from the design professional that the
project was built in accordance with the contract documents.

Design-Build (DB). In the 1980s a new idea of “one-stop” shopping entered the
construction industry. The owner now has the opportunity to contract with one
entity (responsibility) for the design, construction, and guarantee of the project.
 DESIGN-CONSTRUCTION PROCESS 1.19

Previously, DB projects were also known as turnkey projects. Normally in the DB

process a qualified contractor retains the design professionals and is in control of
both the design and the construction of the project. On occasion a qualified design
professional heads the DB process and retains either one general contractor or sev-
eral contractors as needed for the project. At the completion of the project, the
owner only requires certification from the design-builder. Many owners in the pri-
vate sector and some government agencies do not require an acceptance of the proj-
ect from design professionals because their contract is with the design-builder and
this entity is the responsible source. Any disputes between the designers and con-
structors become an internal matter among them, which does not involve the owner.
The owner requires certification from the design-builder that the project conforms
to the contract requirements. Note that the designer is not part of this process.

Design-Build-Operate-Maintain (DBOM). The DBOM process is a relatively new

way to construct a major public or utility project, with the idea being that the suc-
cessful qualified entity will also be contractually responsible to operate the build-
ing systems and maintain them for a designated number of years.
The design professionals, especially the architect and the structural engineer
and mechanical engineer must review the contractual requirements regarding their
role in the operational and maintenance conditions of the DBOM contract with the
design-builder, who is generally a contractor and the owner. Also, in this scenario
the design professional is responsible to the design-builder who has control over
the entire project.

Construction Management. A method evolved in the 1960s and 1970s whereby a

construction manager (CM) acts as the owner’s agent and advises upon the econ-
omy of the design systems. The overall project is grouped into trade contracts
which are competitively bid on by prequalified contractors. All contracts are
directly held by the owner. Subsequently the process evolved into CM at risk
where the CM holds the contract (with the subcontractors) and provides a general
maximum price (GMP) to the owner.
For a detailed review of the various delivery systems discussed above, refer to
the articles in the Proceedings of the ASCE Construction Congress V, Minneapolis,
Minnesota, October 4–8, 1997.

Partnering. Yet another form of establishing a relationship in the construction

industry is partnering, which occurs when all interested parties of the project,
including the owner, actually sign and agree to a statement or resolution (gener-
ally not legally binding) saying that all parties will respond to one another’s needs
in a timely, nonadversarial fashion in the interest of the project. The success of the
partnering program relies upon a dedicated point of contact from each discipline,
usually at the project management level, who is experienced in understanding
timely needs of the members of the partnering team.
The design professional should be confident in his or her areas of expertise
when agreeing to the partnering agreement.