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6 CHAPTER ONE
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.
Technical Specifications
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
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:
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:
EXISTING CONDITIONS
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
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
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.
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
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
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-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