Civil Engineer s Handbook of Professional Practice

Civil Engineer s Handbook of Professional Practice

Civil Engineer s Handbook of Professional Practice Karen Lee Hansen and Kent E. Zenobia John Wiley & Sons, Inc.

This book is printed on acid-free paper. 1 Copyright # 2011 by John Wiley & Sons, Inc. All rights reserved Published by John Wiley & Sons, Inc., Hoboken, New Jersey Published simultaneously in Canada No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, 222 Rosewood Drive, Danvers, MA 01923, (978) 750-8400, fax (978) 646-8600, or on the web at www.copyright.com. Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, (201) 748-6011, fax (201) 748-6008, or online at www.wiley.com/go/permissions. Limit of Liability/Disclaimer of Warranty: While the publisher and the author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. The advice and strategies contained herein may not be suitable for your situation. You should consult with a professional where appropriate. Neither the publisher nor the author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages. For general information about our other products and services, please contact our Customer Care Department within the United States at (800) 762-2974, outside the United States at (317) 572-3993 or fax (317) 572-4002. Wiley also publishes its books in a variety of electronic formats. Some content that appears in print may not be available in electronic books. For more information about Wiley products, visit our web site at www.wiley.com. Library of Congress Cataloging-in-Publication Data: Hansen, Karen Lee. Civil engineer s handbook of professional practice/karen Lee Hansen and Kent E. Zenobia. p. cm. Includes index. ISBN 978-0-470-43841-1 (cloth), ISBN 978-0-470-90161-8 (ebk.); ISBN 978-0-470-90162-5 (ebk.); ISBN 978-0-470-90164-9 (ebk.); ISBN 978-0-470-95004-3 (ebk.); ISBN 978-0-470-95164-4 (ebk.); ISBN 978-0-470-95186-6 (ebk.) 1. Civil engineering Handbooks, manuals, etc. I. Zenobia, Kent E. II. Title. TA151.H295 2011 624.023 dc22 2010031086 Printed in the United States of America 10987654321

Preface xv Acknowledgments xvii Contributing Authors xix Contributing Editors xxiii List of Abbreviations xxvii Chapter 1 Introduction 1 Background 3 The Need for Accreditation 3 ABET Outcomes 4 American Society of Civil Engineers 5 21st Century Engineer 11 Goal of This Book 11 Readers' Guide 12 Summary 14 References/Further Reading 14 Chapter 2 Background and History of the Profession 17 Background 19 Civil Engineering as a Profession 19 Civil Engineering's Historical Inheritance 21 v

vi The Ancient Engineers 23 Persian Engineers 27 Greek Engineers 28 Roman Engineers 30 Indian Engineers 34 Chinese Engineers 35 African Engineers 37 American Engineers 38 Engineering in Medieval Times 42 Engineering in the Renaissance and the Age of Enlightenment 45 The Industrial Revolution 46 Modern Civil Engineering 51 Civil Engineering Education 55 Civil Engineering Careers 57 Summary 60 References 61 Chapter 3 Ethics 63 Introduction 65 Defining the Engineer's Ethical Code 65 The American Council of Engineering Companies Ethical Conduct Guidelines 67 The ACEC Guidelines 67 The American Society of Civil Engineers Code of Ethics 70 The ASCE Code of Ethics 70 Guidelines to Practice under the Fundamental Canons of Ethics 71 National Society of Professional Engineers Code of Ethics 76 The NSPE Code of Ethics for Engineers 76 The International Federation of Consulting Engineers 81 Important and Relevant Policy Statements by ASCE and NSPE 83 ASCE Policy Statement 376 Continuing Education in Ethics Training 83 ASCE Resolution 502 Professional Ethics and Conflict of Interest 84 ASCE Policy Statement 433 Use of the Term Engineer 85 NSPE Position on Potential Incidents of the Unlicensed Practice 86 Case Studies 87 Citations Issued to Board Licensees 88 NSPE Ethics Case Study 90

vii Summary 92 References 93 Chapter 4 Professional Engagement 95 Introduction 97 Qualifications-Based Selection The Federal Government Process 99 Development of a Short List 99 Interviews/Discussions with Firms 103 Ranking of the Top Three Firms 103 Negotiation with the Top-Ranked Firm 107 Fee-Based Selection 107 The 6 Percent Fee Limitation on Federal Design Contracts Excerpts from ACEC 107 Writing Engineering Proposals 108 Problem Identification 109 Background Knowledge, Teamwork, and Scope of Work 110 Client Requirements and Constraints 111 Clear Communication 111 Technical Alternatives 111 Alternative Evaluation 112 Design, Plans, Specifications, and Cost Estimates 112 Construction Assistance, Monitoring, and Management 112 Start-Up and/or Operations and Maintenance Assistance 113 Scheduling 113 The Contract 114 Budgeting 120 Enhancing the Engineering Firm's Probability for a Successful Professional Engagement 121 Working Examples of RFPs 121 Typical Civil Engineering Example RFP 123 Summary 123 References 124 Chapter 5 The Engineer's Role in Project Development 125 Background 127 Participants in the Process The Players 127

viii The Flow of Work 133 Predesign 133 Design 141 Design Process 142 Design during Bid and Construction 148 Postconstruction Activity 150 Summary 154 References 154 Chapter 6 What Engineers Deliver 157 Background 159 Contract Documents 160 Drawings 162 Specifications 169 Specification Format 170 Methods of Specifying 175 Drawings and Specifications Final Thoughts 177 Technical Memos and Reports 177 Calculations 178 Other Deliverables 180 Summary 181 References 181 Chapter 7 Executing a Professional Commission Project Management 183 Introduction 185 Project Management Background 185 A Discipline, But Not a Theory 186 The Basics of Project Management 193 Definition of a Project 193 Scope/Schedule/Budget Triangular Relationship 194 The Major Parties on a Project 195 The Owner's Role 195 The Designer's Role 195 The Contractor's Role 196 A Brief Summary of the Basics 196 Project Sectors 196 Project Teams 198 Project Initiation 199 Project Estimates 200

ix Early Estimates 200 Project Budget Estimates 203 Project Management Plan Components 206 Plan Purpose 206 Staff Selection Guidelines for the PM 208 Project and Client Needs 209 Staff Availability 209 Previous Experience and Qualifications 210 Staff Development 210 Project Budgets and/or Staff Rates 210 The Project Manager's Responsibilities 211 The PM's Time Commitment 211 Work Breakdown Structure 212 Tracking Methods 215 Project Risk Management 217 Design Coordination 218 Team Management 219 Evaluation of Design Effectiveness 219 Summary 224 References 224 Chapter 8 Permitting 227 Introduction 229 Accept the Requirements for Permits 229 Respect the Staff Implementing the Permits 230 Initiate the Permitting Processing Early 231 Managing Permits 237 Streamlining Permits 239 Sample Permit Table 241 Summary 241 References 246 Chapter 9 The Client Relationship and Business Development 247 Introduction 249 The Foundation of a Lasting Relationship 250 Building upon the Relationship The Superstructure 252 Maintaining the Relationship 254 Cultivating Business Opportunities 256 Business Development 258 Conflict Management 260 The 4 Cs of Conflict Management 261

x Summary 262 References 263 Chapter 10 Leadership 265 Introduction 267 Leadership Styles 267 Autocratic Leadership 267 Democratic Leadership 268 Delegative Leadership 268 Tools for Leadership and Management 270 Planning 271 Organizing 271 Leading 271 Controlling 271 Four Quadrants of Effective Leadership 272 Strategic Leadership 273 Financial Leadership 275 Technical Leadership 276 Marketing Leadership 277 Public Service (for Government Employees) or Marketing Leadership (for Consulting Engineers) 278 Secret Recipe for an Effective Leader 279 Summary 279 References 280 Chapter 11 Legal Aspects of Professional Practice 281 Introduction 283 U.S. Legal System 283 Statutes 284 Common Law 285 Tort Law 286 Negligence 286 Strict Liability 288 Warranty 288 Deceit 288 Defamation 288 Unfair Competition 289 Statutes of Limitation and Repose 289 Contract Law 290 Contract Formation 290 Contract Wording 292

xi Typical Contract Formats 292 Contract Interpretation 298 Contracts in Project Delivery 303 Project Delivery Systems 303 Procurement Method 306 Contract Format 307 Risk Management 309 Dealing with Risk in General 310 Establish a Risk Management Program 311 Insurance and Bonds 320 Professional Liability Insurance Industry 321 Liability Insurance Coverage 321 Bonds 323 Dispute Resolution 324 Civil Litigation 325 Alternative Dispute Resolution 331 Mediation 331 Arbitration 334 Mini-Trial 335 Dispute Review Board 336 Affirmative Action, Equal Opportunity, and Diversity 337 U.S. Anti-Discrimination Laws 337 Enforcement of Anti-Discrimination Laws 338 Affirmative Action Requirements 338 Summary 338 References 339 Chapter 12 Managing the Civil Engineering Enterprise 341 Introduction 343 The Influence of Economics on Project Development 343 The Go/No-Go Decision Process 344 Overhead and Direct Labor 344 Multipliers 346 Financial Reporting 349 Income Statement (Profit and Loss) 349 Statement of Financial Position (Balance Sheet) 351 Professional Human Resources Management 353 Career Planning and Execution 354 Specialization 355 Certification and Registration 356 Professional Services Marketing 357 Resume Updates 358 Project Descriptions 359

xii Business Planning 359 Professional Business Development 361 Professional and Trade Organization Activities 362 Voluntary Activities and Sponsorship 363 Summary 363 References 363 Chapter 13 Communicating as a Professional Engineer 365 Introduction 367 Communication Conduits 369 E-mail Usage and Limitations 371 Use Clear Subject Lines 371 Conflict Resolution 372 The 4 Cs of Conflict Resolution 373 Behaviorial Characteristics of Team Members, Friends, or Family 374 Typical Report Format 375 Typical Report Sections or Chapters 375 Useful Forms for the Engineer 377 Sample PowerPoint Presentation 382 Summary 382 References 383 Chapter 14 Having a Life 385 Introduction 387 The Mind 388 The Command Center of the Body and Our Inner Self 388 What About Stress? 389 The Stress Response 389 The Body 391 Eat Well The Balanced Diet 391 Sleep Well Save Space for Dreams 391 Exercise Well A Healthy Body Will Facilitate a Healthy Mind 392 The Spirit 392 The Effective Combination of Mind, Body, and Spirit 393 Laugh and Have Fun 394 Laughing Don't Be Too Serious 394

xiii Personalize Your Fun Time 394 Self-Assessment Test Please Challenge Yourself 395 Mind: What Do You Think, Really? 395 Body: How Does Your Body Feel, Really? 395 Spirit: How Do You Feel, Really? 395 Analysis of the Assessment Test 396 On a Scale of 1 to 10... 396 Summary 398 References 398 Chapter 15 Globalization 399 Introduction 401 The Globalization Process 401 Global Climate Change A World View and a State Perspective 403 Potential Global Impacts 404 Potential Impacts on California and the Western States 409 Preliminary Recommendations 413 Outcomes of Globalization and Climate Change 415 Summary 437 References 438 Chapter 16 Sustainability 439 Introduction 441 Sustainability Defined 441 Sustainable Engineering 442 Systems Thinking 444 Ecodesign 445 Toward New Values and Processes 447 Expanded Project Delivery Process 451 Integrative Approaches 452 Sustainable Design and Materials Strategies 454 Sustainable Design Strategy 454 Lifecycle Cost Analysis 457 Costs 458 Residual Value 458 Study Period 459 Discount Rate 459 Constant versus Current Dollars 459 Present Value 459