Civil Engineering Responsibilities in Special Inspection

Transcription

1 Civil Engineering Responsibilities in Special Inspection Presented at: The ASCE Joint Conference of the Texas Section and the Construction Institute, Friday, November 9, 2012 Chuck Kanapicki, P.E. 1 Danny L. Kahler, P.E. 2 ABSTRACT The International Building Code contains requirements for detailed structural inspection of buildings that are critical for public safety, or exceed a certain threshold for occupancy. These requirements are detailed in Chapter 17, Structural Tests and Special Inspections. This type of activity, the verification that the constructed work conforms to the approved plans and specifications, is part of the practice of engineering as defined by NCEES Model Law and the statutes of most States. However, the implementation of Special Inspection varies widely across jurisdictions across the country. In some cases, local certification for Special Inspectors allow vocational practitioners to be responsible for this activity, without being licensed as either a Professional Engineer or Registered Architects. The issue of civil engineering responsibility in Special Inspection of critical structures was a factor in the recent half billion dollar controversy involving the Harmon Hotel in Las Vegas. This session will cover some of the history of special inspections, an overview of the responsibilities established within the building code, and it s implications on the responsibility of civil engineers to protect the public health, safety, and welfare. This session will not be a detailed description of all of the tasks involved in Special Inspection, but will focus on the larger professional practice issues. 1 Chuck Kanapicki, PE, Original Author, American Bridge/Fluor Enterprises Inc., 375 Burma Road, Oakland, California 94607, (510) , ckanapicki@abfjv.com 2 Danny L. Kahler, PE, Supplementary Author and Presenter, Kahler Engineering Group, 1244 Derby Drive, Suite 100, Dallas, Texas (512) danny.kahler@kahlerengineering.com Page 1

2 WHAT IS SPECIAL INSPECTION? Special Inspections (SI) are mandated by the International Building Code to verify that work considered critical to life safety and property protection is being or has been constructed according to the approved plans and specifications. This work is primarily structural in nature or work that could affect the structure. A project specific program for Special Inspection is developed by the design professional in responsible charge and it is executed by an SI firm through in-process monitoring of the materials and workmanship that are critical to the integrity of the building structure. To prevent conflicts of interest, the owner or owner s agent is responsible for funding the SI services. The contractor building the project is prohibited from hiring the SI firm. The building official is the only one with the legal authority to enforce the SI provisions of the code and retains the right of approval for the above. BACKGROUND AND HISTORY The concept of SI appears to have originated in the 1927 edition of the International Conference of Building officials (ICBO) Uniform Building Code (UBC) as Special Engineering Supervision. (1) This practice was most likely established after investigations of earthquake related failures in southern California found that a combination of poor workmanship and inadequate design standards led to many failures. It is interesting to note that Special Engineering Supervision predates the requirements for engineering licensure in the State of California by two years. It appears that the former was in response to what was deemed a failure on the part of the construction industry while the later, as a result of the St. Francis dam failure, was in response to what was deemed as a failure of the engineering profession. SI is not typically performed on major public works projects (non-occupied fixed works such as highways, dams, transit systems and the like). These projects are typically not under the jurisdiction of the building official and the public works agency usually follows other regulations to provide the required testing and inspections services. In other words, if you have to obtain a building permit from a jurisdiction s building department then you probably will be subject to SI. SCOPE OF SPECIAL INSPECTION From the Model Program for Special Inspection issued by the ICC (2) we have the following: There are several areas of construction regulated by the International Building Code (IBC) where Special Inspection is mandatory. These inspections are to verify that work that is considered critical to life safety and property protection is being or has been constructed according to the approved plans and specifications. Page 2

3 Also Special Inspection is the monitoring of the materials and workmanship that are critical to the integrity of the building structure. It is the review of the work of the contractors and their employees to assure that the approved plans and specifications are being followed and that relevant codes and ordinances are being observed. The special inspection process is in addition to those conducted by the municipal building inspector and by the registered design professional in responsible charge as part of periodic structural observation. The regulated areas of construction include: Inspection of fabricators Steel construction Concrete construction Masonry construction Wood construction Soils Pile foundations Pier foundations Wall panels and veneers Sprayed fire-resistant materials Exterior insulation and finish systems (EIFS) Special cases Smoke control Special inspection for seismic resistance and wind requirements ROLES AND RESPONSIBILITIES Again from the Model Program for Special Inspection issued by the ICC we have the following: Duties of Special Inspectors and/or Inspection Agencies include the following: General requirements Special Inspectors shall review approved plans and specifications for Special Inspection requirements. Special Inspectors will comply with the Special Inspection requirements of the enforcing jurisdiction. Signify presence at jobsite Observe assigned work Report nonconforming items Provide timely reports Submit final report Duties and Responsibilities of the Project Owner Page 3

4 The project owner, the registered design professional in responsible charge, or an agent of the owner is responsible for funding Special Inspection services. The Special Inspector/Agency shall not be in the employ of the contractor, subcontractor or material supplier (see IBC Section ). In the case of an owner/contractor, the Special Inspector/Agency shall be employed as specified by the building official. Duties and Responsibilities of the Design Professional in Responsible Charge The design professional in responsible charge has many duties and responsibilities related to special inspection, including the following: Prepare Special Inspection program Respond to field discrepancies Review shop drawings and submit revisions to approved plans Duties and Responsibilities of the Contractor Notify the Special Inspector Provide access to approved plans Retain special inspection records Duties and Responsibilities of the Building Official Of all the team members involved in the construction process, the building official is the only one with the legal authority to enforce the special inspection provisions of the code (see IBC Section 104.4). The employment of a special inspector or agency shall not relieve the building department of responsibility for special inspections required by the code. The specific duties and responsibilities of the building official relating to special inspection include the following: Review submittal documents for compliance with special inspection requirements Approve special inspection program Approve special inspectors/inspection agencies Monitor special inspection activities Review inspection reports Perform final inspection LAWS, CODES AND STANDARDS (OTHER THAN IBC) THAT AFFECT CONSTRUCTION INSPECTION From various state laws and professional engineering acts we have: CALIFORNIA Professional engineer defined Professional engineer, within the meaning and intent of this act, refers to a person engaged.., and supervision of construction for the purpose of securing compliance with specifications and design for any such work. Page 4

5 Supervision of construction defined Supervision of the construction of engineering structures means the periodic observation of materials and completed work to determine general compliance with plans, specifications, and design and planning concepts. However, supervision of construction of engineering structures does not include responsibility for the superintendence of construction processes, site conditions, operations, equipment, personnel, or the maintenance of a safe place to work or any safety in, on, or about the site. For purposes of this subdivision, periodic observation means visits by an engineer, or his or her agent, to the site of a work of improvement. FLORIDA (7) "Engineering" includes the term "professional engineering" and means any service or creative work,.. the inspection of construction for the purpose of determining in general if the work is proceeding in compliance with drawings and specifications, NEVADA NRS The practice of professional engineering includes, but is not limited to: (a) Any professional service which involves the application of engineering principles and data, such as surveying, consultation, investigation, evaluation, planning and design, or responsible supervision of construction or operation in connection with any public or private utility, structure, building, machine, equipment, process, work or project, wherein the public welfare or the safeguarding of life, health or property is concerned or involved. (b) Such other services as are necessary to the planning, progress and completion of any engineering project or to the performance of any engineering service. NOTE: The above paragraph is interpreted to mean the inspection and testing of construction falls within the practice of professional engineering. (3) TEXAS Practice of Engineering (c) The practice of engineering includes: (9) Engineering for review of the construction or installation of engineered works to monitor compliance with drawings or specifications; From ASTM E Standard Specification for Agencies Engaged in the Testing and/or Inspection of Materials Used in Construction (4) we have: The testing and inspection services of the agency, that provides the quality control or quality assurance program, or both, as related to construction practices or materials, or both, shall be under the direction of a person charged with Page 5

6 engineering managerial responsibility. The person shall be a licensed professional/registered engineer and a full-time employee of that agency. The person shall have at least five years engineering experience in testing and inspection of construction materials. The organization may consist of one or more separate facilities providing inspection or testing services or both. A licensed professional/registered engineer may have engineering managerial responsibility for one or more facilities within the organization. IMPLEMENTATION MODELS AND EXAMPLES Interpretative Guides The Council of American Structural Engineers (CASE) and the Structural Engineers Association of Northern California (SEAONC) have published guidelines for implementation of a Special Inspection program from the standpoint of the structural engineer of record. CASE in their guide (5) has issued a position statement on Special Inspection as follows: The interests of the public, clients, and the AE community are best served when materials and workmanship critical to the structural integrity of structures are monitored through the Special Inspections process by the Structural Engineer of Record (SER). The extensive on-site presence of the SER through the Special Inspections process is the best means to protect the public, control claims and losses, and improve quality of the completed project. The SER is the only member of the design team with the expertise and intimate knowledge of a particular building's Structural System and, therefore, is the best qualified to recognize and respond to site conditions that require the application of structural engineering judgment. As the Special Inspector, the SER is able to communicate required corrections or Owner-directed changes before they are built into the structure, provide prompt responses to contractor's field questions, expedite corrective measures to address contractor errors, help build and maintain team communication and working relationships with the contractor, and minimize misinterpretation of the structural design intent. The SER should serve as the Special Inspector wherever possible and practical. The State of Florida s requirements for structural inspections on threshold buildings appears to support this philosophy in part (see the section on Regional Implementation Examples below). The Structural Engineers Association of Northern California (SEAONC) has taken a slightly different stance in their guideline (6) : Page 6

7 The registered design professional in responsible charge ( The RDP ) is identified in CBC Appendix Chapter 1 Section [IBC Chapter 1 Section ] as the entity whose duties are reviewing and coordinating submittal documents prepared by others...for compatibility with the design of the building. This same section requires that the project owner make this designation as part of the permit application. Thus there is only one RDP in responsible charge for each project, and, except on certain types of projects, the architect will generally perform that role. There are of course other registered design professionals involved in the project, including the structural engineer, civil engineer, and mechanical, electrical and plumbing engineers. The structural engineer may assume the role of The RDP on small projects with little or no architectural elements or on seismic retrofit projects. There may also be projects where the civil, mechanical, or electrical engineer could assume the coordinating role. In most cases however, the architect, as The RDP, would be technically responsible for preparing the statement of special inspections (SSI). Even so, the structural engineer should be the primary decision maker regarding the inspection and observation requirements for the purely structural items involved as well as the structural anchorage of non-structural elements. This document is written with the assumption that the engineer responsible for the structural design is working closely with the architect assigned the coordinating role in preparing the statement of special inspections and in monitoring the special inspections and observations. Regardless, if the SER chooses to be the Special Inspector they may be subject to the same accreditation requirements imposed on agencies engaged in the testing and/or inspection of materials used in construction as described in ASTM E329. The requirements include but are not limited to: Be accredited; Establish and maintain a documented quality system appropriate to the type, range, and volume of inspections and testing activities it undertakes that is available for use by the agency s personnel; Have managerial staff with the authority and resources needed to discharge their duties; Have arrangements to ensure that its personnel are free from any commercial, financial, and other pressures that might adversely affect the quality of their work; Have a technical manager (however named) who has overall responsibility for the technical operations; Have a quality manager (however named) who has the responsibility for the quality system and its implementation; and Have a field supervisor shall have at least five years inspection experience in the type of work being supervised. Regional Implementation Examples Page 7

8 As Special Inspection (SI) is a Building Official (BO) driven process its implementation is similar to that for plan review or obtaining building permits in that one must obtain the approval on a jurisdiction by jurisdiction and case by case basis. Jurisdictions of large metropolitan areas such as New York City or Los Angeles County can level the playing field somewhat in that uniform requirements for SI agencies and inspection/testing personnel are established across a large geographic market area, making it easier for SI agencies to comply with BO requirements and expectations. Los Angeles County has even established a Deputy Inspector program where the BO licenses the person performing SI and makes that inspector solely responsible to the BO in the performance of their duties, presumably because they see the SI as an extension of the BO. These Deputy Inspectors are typically not licensed professional engineers; rather they are paraprofessionals with specialized skills in inspection and testing. Some regions of the country also realize the benefit to all parties in a uniform approach. Washington State has established the Washington Association of Building Officials (WABO) to achieve this uniformity statewide (7). SI agencies and their inspection/testing personnel must respectively be accredited to ASTM E329 and certified in accordance with International Code Council (ICC) special inspection requirements. On a cautionary note, the San Francisco Bay Area at one time had a Special Inspection Committee (SIC) that function in the same manner as the WABO discussed above. The local BO along with representatives from an organization of the SI services providers forged out a set of requirements and an approval process for both parties to follow. Once the SIC approved an SI agency they were free to work in any of the SIC jurisdictional areas. However, the SIC was legally challenged and the committee disbanded leaving the BO and SI agencies to go through a jurisdiction by jurisdiction and case by case basis approval process. No discussion would be complete without mentioning the State of Florida s requirements for structural inspections on threshold buildings (8). In 1983, the Florida Legislature passed the engineering construction oversight law, known as the Threshold Inspection Law, to provide guidance and define roles and responsibilities of owners, architects/engineers of record and contractors involved in the construction of threshold buildings. In this case all applicants must be Professional Engineers, in good standing, licensed in the State of Florida. In addition they must: 1. Have had experience on at least three threshold type buildings. 2. Demonstrate completion of three years of experience in performing structural field inspections on threshold buildings, and two years of experience in the structural design of threshold type buildings. The beginning dates of projects shall be no older than ten years prior to the date of the application. 3. Submit three letters of recommendation from Professional Engineers whose principal practice is structural engineering in the State of Florida, one of whom must be certified special inspector. Page 8

9 A Threshold Building is defined in Section (7), Florida Statutes, as 1. Any building greater than three stories or 50 feet in height OR 2. A building having an Assembled Occupancy which exceeds 5,000 sq.ft. and has a occupancy content of greater than 500 persons. This Florida program is different from the previous examples in that it is a state law and as such falls under their professional practice act even though the SI is statutorily responsible to the BO (9). However, as one Florida PE cautions, Inspections performed by the Special Inspector should not serve as a surrogate in carrying out the responsibilities of the building official, the architect, or the Engineer of Record. The threshold inspection plan and the work of the Special Inspector should not be relied upon to replace a comprehensive quality control program established by the contractor. Therefore, the contractor's contractual or statutory obligations are not relieved by the presence or any action of the Special Inspector (FS (5)a). (10) DISCUSSION Professional Responsibility versus Regulatory Requirement From the Model Program for Special Inspection issued by the ICC we have the following: Also Of all the team members involved in the construction process, the building official is the only one with the legal authority to enforce the special inspection provisions of the code (see IBC Section 104.4). The employment of a special inspector or agency shall not relieve the building department of responsibility for special inspections required by the code. Although Section of the IBC requires the owner or the registered design professional acting as the owner s agent to provide for specially qualified inspectors, the approval of these inspectors is solely the responsibility of the building official. Yet as discussed in the sections above state engineering practice acts and ASTM E329 requires that a licensed professional engineer be in responsible charge of activities that verify construction is in compliance with plans and specifications. So, is Special Inspection engineering or is it regulatory agency responsibility? There are two clearly defined roles defined in Chapter 17 of the IBC for the civil/professional engineer, that of the design professional and that of the SI agency s technical manager. Other roles may such as that of the BO, the SI or the contractor may be but are not required to be a professional engineer with the exception of for the state of Florida s threshold buildings. State engineering practice acts typically have statements concerning the engineer s role in assuring compliance with plans and specifications but do not go into specifics. Page 9

10 State of Nevada Board of Professional Engineers and Land Surveyors Task Force Recently, the State of Nevada Board of Professional Engineers and Land Surveyors appointed a Task Force (3) to revisit and possibly revise the language in the NRS (Nevada Revised Statutes) to specifically address special inspector duties of Engineer Manager in responsible charge for these services, and requested that the Task Force issue a whitepaper of its finding to the Board. The Task Force determined that inspection and testing of construction falls within the practice of professional engineering. They also found that it is common in the inspection and testing fields for subordinates to possess expertise that the professional engineer does not, but it remains the engineer s responsibility to supervise this individual and orchestrate expert services, whether by a subconsultant or subordinate, within the overall inspection and testing program to develop an engineering opinion regarding the compliance of work with the design documents or codes. The above lead to a discussion concerning the basic organizational approaches for providing inspection and testing services. These are: 1. The Engineer in Responsible Charge (EIRC) performs the work 2. The ERIC is the immediate supervisor of the person performing the work 3. The EIRC manages though a chain of command Cases 1 and 2 clearly satisfied the requirements for responsible charge. Case 3 proved to be complicated and therefore more difficult to determine if this case satisfied the requirement for responsible charge. It was however determined that an engineer actively engaged in providing inspection and testing services within the general boundaries of the standards listed below (ASTM E329 and others) will be in responsible charge for those services. Qualifying Experience for Professional Licensure Finally, it has been the experience of some that SI or construction inspection in general is not considered qualifying experience for professional licensure by some state boards (11). In these cases design is considered the necessary qualifying experience while inspection is characterized as an activity that does not require engineering judgment. Certainly the state of Florida with their threshold inspection program and CASE in their position paper appears to support this position. Regardless, the profession, legally and ethically, requires that one practice engineering within their area of competence. Quality Program Finally, from a quality program point of view is Special Inspection quality assurance (QA) or quality control (QC)? For the purposes of this publication we define these as follows: QA All those planned and systematic actions necessary to provide confidence that a product or service will satisfy given requirements for quality. QC All contractor/vendor operational techniques and activities that are performed or conducted to fulfill the contract requirements. Page 10

11 The language, requirements and responsibilities found in Chapter 17 of the IBC would lead one to believe that Special Inspection is quality assurance in that the contractor s role is limited to notification, providing access and the like. However, in comparison to contractor quality control (CQC) projects, where the contractor is responsible for performing the required tests and inspections, the owner s quality assurance takes on a different role. On CQC projects the owner typically uses the 10% spot check rule of thumb to assure themselves that the contractor s QC function is performing as required. Looking at Special Inspection from this point of view we find that Special Inspection probably is a hybrid of owner/design professional/regulatory agency oversight (QA) and contractor in-process testing and inspection (QC). SI practitioners have expressed that the SI program often becomes the default contractor QC program, in other words the only documented project quality program. CONCLUSIONS As stated in the State of Nevada Board of Professional Engineers and Land Surveyors Task Force Whitepaper (3) the intent was to determine if the system was broken It may not be broken but may need some improvement. Professional Practice and Risk The authors believe that testing and inspection activities meant to establish compliance to plans and specifications, especially plans and specifications that are required to be prepared by a licensed design professional, fall under the requirements of professional practice acts for civil engineers and have the professional liabilities associated with that work. However, the authors acknowledge that the BO has a publicly mandated duty as well and is charged with the sole responsibility for key aspects of the SI program. However the special inspector does not enjoy certain sovereign immunities that the BO does. Further, the special inspector although answerable to the BO is not employed by the BO. These potential conflicts need to be addressed and reconciled. Quality Assurance versus Quality Control The authors believe that SI is a QA activity independent from the contractor s quality control. Regardless, recent headlines cite the existence of significant construction defects as evidence of failure of the SI process. This cause and effect representation could lead one to believe that the SI process controls the contractor s means, methods, schedule, sequence, choice of materials, and skill of tradesmen. These factors are not under the control of the special inspector and this need to be clearly understood, especially with respect to BO and other stakeholder expectations. RECOMMENDATIONS Recommendation: At a minimum, statues and regulations regarding the roles and responsibilities of the registered civil engineer should be brought into alignment with the SI process as described in Chapter 17 of the IBC and ASTM E329. Page 11

12 Commentary: California has, in Supervision of construction defined, done this to a certain extent in that what they describe resembles Structural observation as defined in Chapter 17 of the IBC. However, the question of responsible charge with respect to the SI agency business practice model needs clarification. The State of Nevada Board of Professional Engineers and Land Surveyors Task Force Whitepaper (3) addresses this in their recommendations with the following suggestion: Delete the words responsible supervision of construction or operation and replace them with: observation, inspection, and testing of construction for the purpose of providing the client with a greater degree of confidence that construction complies with the project documents. Note that the above is not intended to discourage any state or jurisdiction for establishing additional requirements such as the state of Florida has for threshold projects. Recommendation: The risk exposure and liabilities of the special inspector need to be better defined and/or understood. Commentary: Special inspection is the sole responsibility and therefore special inspector and the special inspection agency are in some form or fashion agents of the building official. However, the building official enjoys certain immunities while the agents under their authority and control do not. Further complicating this arrangement is the fact that the special inspector must be paid by the owner or the owner s agent making the special inspector beholden to them. Recommendation: As IBC Chapter 17 is a national code requirement, it should be resolved, preferably at a national level, if special inspection experience qualifies as professional experience for state licensure. Commentary: With advances in design and construction technology come the ever increasing demand for establishing and maintaining one s competency in a given field. It may be time to reexamine existing assumptions and attitudes about construction inspection and material testing and see if it requires engineering judgment and as such has graduated to the level of professional practice. Recommendation: Establish IBC requirements for a contractor quality control program. Commentary: This recommendation may not be feasible for the majority of projects that require special inspection, but as with Florida s threshold program there should be a threshold dollar value or some other criteria that requires a contractor quality control program. Page 12

13 REFERENCES (1) John R. Henry, P.E., Special Inspection, Structural Observation and Quality Assurance under the 2000 IBC, Structural Engineer, April, (2) Model Program for Special Inspection: Based on IBC Chapter 17, International Code Council (2005). (3) State of Nevada Board of Professional Engineers and Land Surveyors Task Force Whitepaper on The Role of the Engineer in Responsible Charge of Inspection and testing Services, October 28, (4) ASTM E (2005) Standard Specification for Agencies Engaged in the Testing and/or Inspection of Materials Used in Construction, American Society for Testing and materials, West Conschocken, Pennsylvania. (5) Guide to Special Inspections and Quality Assurance, Council of American Structural Engineers (CASE), CASE Special Inspection Committee, Third Edition (6) Guidelines for Special Inspection and Structural Observation, In accordance with the 2007 CBC, Structural Engineers Association of Northern California (SEAONC), SEAONC Construction Quality Assurance Committee (2010). (7) Agency and Inspector Performance Qualification Standard 1701, Washington Association of Building Officials (WABO), revised January (8) Application for Special Inspector Certification Under Section (5)(a), Florida Statutes, Florida Board of Professional Engineers, Tallahassee, Florida. (9) Kevin P. Kelly, The Threshold Inspector: Champion of the Public Weal or Construction Industry Rogue? The Florida Bar Journal, July/August, 1999 Volume LXXIII, No. 7. (10) Nabil Hmeidi, P.E., Technical Threshold Inspection, Ellis and Associates, Inc., Jacksonville, Florida. (11) Charles J. Kanapicki, P.E., Special Inspections and the Structural Engineer of Record, ASCE Conf. Proc. 137, 102 (2004), DOI: /40700(2004)102 Page 13