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360 FW 4
Construction Management
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FWM#: 456
(Supersedes 360 FW 4, 06/10/03, FWM 423 and Director’s Order 171, 05/21/04)
Date: November
22, 2004
Series: Engineering
and Construction
Part 360: Engineering
and Construction Management
Originating Office:
Division of Engineering
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PDF Version
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4.1 What
is the objective of this program? To manage and inspect construction projects
to ensure Service facilities are built as designed.
4.2 What
are the authorities for this program?
A. 485 DM 24 (Contractor Safety and Health).
Specifies
the Department of the Interior (DOI) requirement to use Federal Acquisition
Regulations in preparing and enforcing safety and health requirements for contractors
within Service construction contracts. The applicable safety contract clause
for Service construction projects is the Code of Federal Regulations (48 CFR), Federal
Acquisition Regulation (FAR) Accident Prevention Clause 52.236-13, and,
when appropriate, Alternate I (see paragraph 4.5B). The FAR provides the
rationale for using Alternate I and requires the contractor to submit and have
in place a safety plan before construction activities begin when the contract
involves work of a hazardous nature (e.g., explosives, demolition, hazardous
wastes, derricks/cranes) or when the Government technical representatives
advise that special safety precautions are appropriate.
B. 29 CFR 1926 (Safety and Health Regulations
for Construction) and 29 CFR 1910 (Occupational Safety and Health Standards). The
applicable safety standards to which a contractor must adhere are OSHA’s Safety
and Health Regulations for Construction (29 CFR 1926) and General Industry (29 CFR 1910). Additionally, the contractor must
abide by any applicable State and local safety/health/sanitation/construction
codes and standards. If OSHA regulations and other State or local standards
conflict, the more stringent will govern.
C. 29 CFR 1960 (Basic Program Elements for
Federal Employee Occupational Safety and Health Programs and Related Matters). Subpart D
provides general provisions for the conduct of pre-occupancy inspections of
Service facilities and is the basis for such inspections specified in 485 DM 6.
4.3 What definitions apply to this chapter? In addition to the
definitions below, the definitions in 360 FW 1 and 2 apply to this chapter.
A. Change Order. Used to make changes in work
requirements within the general scope of the contract. The Contracting Officer
(CO) can make a unilateral modification to a contract under authority of the
"changes" clause, with price and time changes negotiated at a later
date as necessary. A bilateral modification (after receiving and negotiating a
proposal from the construction contractor) is a "supplemental
agreement."
B. Construction
Inspector (CI). A Service employee (or contracted inspector) who inspects
construction sites for the Government or who serves as a site representative at
a construction site to ensure that all construction complies with contract
requirements. The CI has knowledge of and experience with a wide variety of
construction standards and inspection procedures. Typically, the CI works on
large, complicated construction projects (e.g., visitor centers, hatchery
buildings, or large dikes or dams) with significant electro-mechanical, HVAC,
or structural complexity, but the CI also may assist the Field Inspector on
smaller projects. The Contracting Officer will appoint the CI in writing before
construction begins. The Service’s
Construction Inspection Handbook (SCIH) lists the CI’s specific
responsibilities and duties.
C. Construction Management and Inspection. Typically includes on-site inspection
of the contractor’s construction activities and the preparation of daily
inspection reports to ensure compliance with the contract; review of contractor
progress schedules; review of product literature and shop drawings that the
contractor submits; evaluation of modifications proposed by the contractor;
preparation of documents for change orders including, but not limited to,
sketches, drawings, specifications, and maintenance manuals; review of as‑built
drawings for any projects when construction is complete; and review/approval of
Value Engineering proposals that the contractors submit.
D. Contracting Officer (CO). A Service employee who has the authority to enter
into, administer, or terminate contracts. The CO is responsible for ensuring
performance of all necessary actions for effective contract administration,
ensuring compliance with terms of the contract, and safeguarding the interests
of the Government.
E.
Contracting Officer’s Representative (COR). A Service employee that the CO
officially appoints as an authorized representative of the Government to make
certain commitments, such as accepting or rejecting a contractor’s work and
providing technical/administrative support throughout the contract administration
process. The SCIH
lists specific responsibilities and duties of the COR.
F. Field Inspector (FI). On small, straightforward
construction jobs, the COR/CI may direct field station personnel to observe and
monitor construction activities. We refer to these personnel as Field
Inspectors so they are not confused with the professionally trained CI. Under
the guidance of the COR/CI, FIs inspect and observe such construction
activities as building framing, concrete work, and earthwork/excavation. The CO
will appoint the FI in writing before construction begins. The SCIH lists the FI’s responsibilities and
duties.
G. Force Account
Construction. Construction, rehabilitation, repair, or
maintenance work that Service field station personnel accomplish. See section 4.6 for more information on Force Account
construction.
H. Pre-Occupancy Inspection. An on-site
physical survey of a space scheduled for occupancy by Service employees or
members of the public. The purpose of the inspection is to address hazards,
deficiencies, or violations of OSHA regulations and other applicable standards,
such as the National Fire Protection Association’s Life Safety Code, National
Electrical Code, etc.
4.4 What
are the training requirements for the Contracting Officer Representative (COR),
Construction Inspector (CI), and Field Inspector (FI)? The Department of the Interior Acquisition Regulation
(DIAR) 1401.670-3, Certification Requirements, specifies training
requirements for the COR. The DIAR training requirements also apply to any
individual acting as an authorized Service representative in the administration
of the contract, including the CI. Before beginning their construction
inspection duties, the CORs/CIs/FIs must successfully complete the Service’s Construction Safety Training
Course (SAF 4000), which the National Conservation Training Center (NCTC)
offers online, or one of the following OSHA Training Institute/Education
Center’s construction safety courses: Nos. 200, 200A, 500, or 510. Contact the
Regional Safety Office for additional information about these courses. The SCIH
includes additional information about training and reference materials
available for the FI.
4.5 What are the requirements and procedures for construction contract
administration, management, and inspection? Adherence to the contract
administration, management, and inspection procedures detailed below will
ensure that Service projects are constructed in accordance with engineering
designs and specifications to achieve a quality structure or facility.
A. Safety contract language. The CO will
incorporate safety contract language into the contract using FAR references
(e.g., Accident Prevention Clause 52.236-13) and special provisions. An example
of general language may include the following: “The contractor is responsible
for ensuring that all on-site activities, equipment, and facilities constructed
by the contractor, subcontractor, or supplier conform fully with the standards
of the Department of Labor, Occupational Safety and Health Administration
(OSHA) 29 CFR 1926 and 1910 and DOI and
Service policies. The contractor, subcontractor, and suppliers must not require
any employee working in the performance of the contract to engage in on-site
work under conditions that are unsanitary, hazardous, or dangerous to an
employee’s health or safety, whether such conditions are addressed herein or in
referenced codes, standards, or statutes.”
(1) Safety
contract language should also specify the contractor’s responsibility for
accident reporting/investigation and include the rights of Federal, State, and
local agencies to conduct investigations if needed. The CO will incorporate
such safety clause language in the contract as necessary for the
construction
job.
(2) In addition,
the CO should consider a contractor’s safety record before awarding a contract.
COs can evaluate a contractor’s past safety performance by accessing inspection
and accident investigation data available from the OSHA website. The CO should consult with the
Regional Safety Office staff for guidance in obtaining and determining the
applicability of the data collected.
B. Safety Plans. In complying
with Alternate I of FAR Clause
52.236-13 for all contracts involving work of a hazardous nature
(e.g., explosives, demolition, hazardous wastes, scaffolding, derricks/cranes),
or when the Government technical representatives advise that special safety
precautions are appropriate, the contractor will submit a safety plan for
review and acceptance by the Service before beginning work. The CO/COR and the
Regional Safety Office will work together to determine the need for and
evaluate the plan. The CO will consult with the Service’s project engineer when
determining the complexities and hazards of the project. The scope of a
contractor’s safety plan will depend on the project’s complexities/hazards, and
may extend to the development of a complete on-site safety program. At a
minimum, the plan must provide procedures for controlling hazards associated
with the major phases of the work. The CO/COR will notify the contractor when
they accept the safety plan, or if the plan needs revisions. Acceptance of the
contractor’s safety plan does not relieve the contractor of the responsibility
to comply with all contract requirements, applicable laws, and regulations.
C. Planning and Start-up. Only the CO can obligate contract funds,
including starting, changing, modifying, or suspending work. The CO delegates
certain responsibilities in writing to the COR/CI to ensure the contractor
meets all requirements of the contract. The COR makes recommendations to the CO
on acceptance or rejection of work, contract modifications, etc. 360 FW 2 (Project Planning and Engineering
Design) provides specific guidance on construction project planning and the
engineering design process.
D. Preconstruction Conference. The CO will hold a
preconstruction conference with the contractor (either on site or by telephone)
for all projects of $100,000 or more, and at the discretion of the CO, for
those less than $100,000. The CO will insert FAR Clause 52.236-26 in solicitations
for construction contracts meeting these parameters. The CO will notify the
COR/CI/FI and Regional Safety Office of the date, time, and location of the
scheduled conference and determine who needs to attend. During the conference,
the contractor must address respective project requirements, including safety
provisions pertinent to the work under contract. The CO will provide FWS Form 3-2199 (Preconstruction Safety Checklist) to the
contractor before the conference. The CO/COR uses the checklist to record the
safety portion of the conference (also see Exhibit 7.7 of the Construction Inspection Handbook).
E. Inspection. The CI/FI is the Government's
representative at a construction site and is responsible for reporting to the
COR all work that does not comply with contract documents. The CI/FI will
monitor, by inspections, the contractor’s performance to determine if progress
is meeting contract requirements. The SCIH describes the duties and responsibilities of the CI/FI
and provides detailed instructions for the technical inspection of construction
projects. The CO authorizes the COR to reject or disapprove obviously defective
or poor materials, equipment, and faulty workmanship, and to require the
contractor to correct or replace it at no cost to the Government. The CI/FI is
responsible for notifying the COR when an unauthorized employee attempts to
order a change in the contract.
(1) The CO/COR/CI will determine the frequency and
method for project inspection depending on the complexity of the project, as
well as other factors. The lack of project inspections due to unavailability of
Government personnel or funding limitations does not relieve the contractor of
compliance with applicable construction standards and safety requirements. However,
the COR/CI/FI should normally conduct an inspection before construction
activity takes place that permanently covers up any phase of work. The
COR/CI/FI should document such inspections in writing. Different types of
inspection records include daily logs; record of construction activity through
photographs or videotapes; or other reports, such as construction progress
reports, safety/accident reports, and final acceptance reports. The Regional
Engineering Office or Division of Engineering may develop and use special
report forms as necessary.
(2) As required by the Public Buildings Amendments Act
of 1988, the Service permits inspections by State and local building officials
during construction or alteration of a facility. The COR/CI will coordinate
these inspections with the project’s construction schedule. State or local
governments must provide the Regional Engineering Office or Division of
Engineering reasonable notice of their intent to conduct inspections.
(3) Service safety personnel and representatives from
Federal, State, and local safety enforcement agencies are authorized to visit
job sites to conduct inspections, investigations, and interviews. The
contractor, CO, COR, CI, and FI will cooperate with authorized personnel and
representatives during any evaluation of a contractor’s compliance with
applicable safety and health laws and regulations. Specifically, the CI/FI must
advise the Regional Safety Manager of all State or Federal OSHA on-site
inspections/investigations within 1 working day of notification; or if that is
not possible, at the time of, or as soon as possible after, the
inspection/investigation.
(4) Although the contractor is
directly responsible for the health and safety of his/her employees on the job
site as required by applicable contract clauses and specific provisions, the
COR/CI/FI is responsible for ensuring that Government employees and official
Government visitors adhere to the contractor’s safety requirements whenever
they are on the job site. During construction, if the CI/FI observes a
condition or practice that constitutes an imminent danger to contractor
employees, Service personnel, visitors, and/or property, the CI/FI will advise
the contractor to implement corrective action to bring the dangerous condition
into compliance. If not corrected, the CI/FI must immediately notify the CO/COR
of the observed hazardous condition or practice. If a hazard is an imminent
danger, the CI/FI can ask the CO to issue a “Suspension of Work” per FAR 52.242-14. The contractor is responsible for
any delay or cost resulting from a safety-related suspension of work. The
CO/COR/CI/FI should direct any questions about safety issues to the Regional
Safety Manager.
F. Accident/Incident. The
COR/CI/FI will follow guidance provided in Section 4.3 of the SCIH for contractor and/or construction
project-related accidents/incidents. The COR/CI/FI will record all significant
actions, oral or written, regarding an accident/incident in the Daily Log.
G. Archeological Material. If the contractor encounters unanticipated
archeological materials during construction, the CI/FI will notify the COR and
the Regional Historic Preservation Officer (RHPO). The COR notifies the CO, who
will suspend work on that part of the project until the RHPO evaluates the
materials, recovers appropriate data, and makes a determination about next
steps. For more information about our policy and responsibilities for
archaeological material, see 614
FW 1.
H. Payments. The CO will make all payments and retainages
according to FAR requirements.
I. Submittals. Before or during construction, the contractor will
provide submittals, such as Schedule of Construction, Lump Sum Breakdown, Shop
Drawings, Descriptive Data, Proposed Changes, etc., to the CO. The CO/COR
accepts or rejects these items based on compliance with contract requirements.
J. Solicitation Amendments. Use
solicitation amendments to correct inadvertent omissions or errors in the
specifications and engineering drawings. In such cases, the COR must promptly
notify the CO and provide the requested changes in writing to the CO. The CO
must amend the solicitation to address the noted changes and provide the
information to all prospective contractors.
K. Contract Modifications. Contract modifications
allow the CO to change an ongoing construction contract for one of three
possible reasons. For all three scenarios described below, the CO issues a
Request for a Cost Proposal to the contractor, and the contractor must estimate
the costs and time for the change. Before issuing the modification, the CO will
need a detailed description of the desired change from the COR/CI along with a
justifiable and detailed cost estimate, time schedule, and funding to support
the change. The COR/CI will put together necessary documentation required by
the CO so that the COR/CI can advise the CO on technical matters related to the
proposed change. The COR/CI will not consult the contractor for pricing
information nor negotiate the modification without the CO’s approval.
(1) The Government wants a change to correct an error
or omission to the contract documents.
(2) The contractor requests a change because he/she has
encountered an error in the contract documents, or because he/she wants the
Government to consider an alternate solution for a particular aspect of the
contract. The CO may require that the contractor amend the safety plan because
of the contract modifications.
(3) An unforeseen condition will require a different level
of effort on the part of the contractor than that which was bid.
L.
Final Inspection and Acceptance. Final inspection is an
important aspect of contract administration, since warranty clauses may not
exist in contracts for some construction and rehabilitation projects. If they
do exist, their coverage may not be as comprehensive as the Government's rights
under other clauses of the contract. Before completing a final inspection, the
COR/CI will prepare and provide the contractor a “punch list” (refer to SCIH, Exhibit 7.2 for punch
list example) of items requiring correction. Give the contractor adequate time
to complete the punch list items before the final inspection. The purpose of
the final inspection is to determine whether or not the work accomplished and
materials/equipment furnished meet specifications. The COR will verify that the
construction project is complete and the contract specifications are fulfilled
in the final inspection and submit a statement of completion to the CO.
The COR/CI will complete a final inspection before the contract expires.
After final inspection and acceptance, the contractor will correct any
remaining punch list items within the time limit approved by the CO.
(1)
For
structures involving occupancy considerations by Service employees or members
of the public, a safety and health professional or other qualified person
(e.g., project engineer, architect, etc.) will conduct a pre-occupancy
inspection for safety and health issues as either a separate activity or as
part of the final inspection. Based on the inspection findings, the responsible
inspector will recommend occupancy of the space or identify corrective actions
needed to bring the space into a safe and healthful condition before it is
occupied (485 DM 6 and 29 CFR 1960.34).
(2) The
contracting team will evaluate contractor performance and prepare a Performance
Report using SF-1420, (Performance Evaluation -
Construction Contracts) for contracts that are more than $500,000, and for all
contracts over $10,000 terminated for default (refer to FAR 36.201,
“Evaluation of Contractor Performance”).
M. Warranty Follow-Up. The CO sometimes includes the
Warranty of Construction Clause (FAR
52.246-21) in contracts. After final inspection and acceptance,
the COR/CI coordinates follow-up on the warranty. The COR/CI typically
accomplishes a follow-up inspection to judge the condition/utility of the
project after the contract is completed, but before the contract's 1-year
warranty period expires.
N. References.
(1) Service
Construction Inspection Handbook (SCIH).
(2) OSHA’s
Construction Safety Standards (29 CFR 1926), and General Industry Standards (29
CFR 1910).
4.6 What are the requirements and procedures
for Force Account construction?
A. Design and Construction. All Force Account project designs
must meet applicable codes. If approved by Regional Office management, field
station managers may oversee construction, maintenance, repair, and equipment
modification projects requiring minor or limited engineering knowledge. Field
station personnel must adhere to safe construction practices to complete
projects of acceptable quality.
B. Review and Approval. The Regional
Engineer must concur with project plans and specifications of any Force Account
project exceeding $50,000 in value before work begins. To determine the
adequacy of engineering planning, needs, and the feasibility of the proposed
method for accomplishing the work, the Regional Engineer, in coordination with
the Regional Safety Manager, must review and approve in writing all proposed
Force Account work for projects with:
(1) Significant structural
requirements (for example, building extensions, observation towers, pole
barns).
(2) Significant electrical
systems or environmental concerns.
(3) Hydrological
considerations [e.g., any artificial barrier, including water control structures,
which impounds or diverts water and (1) is 25 feet or more in height, or (2) is
6 feet or more in height and impounds at least 50 acres-feet of water].
(4) Critical life safety code
factors.
C. Construction Safety. Field
station personnel will perform Force Account construction work in conformance
with safety and health standards established by OSHA, DOI, and Service
policies, and State and local requirements.
D. Inspection.
The responsible Regional Engineering Office will inspect Force Account
construction that has potential structural deficiencies or safety considerations
at determined stages of the work or as frequently as necessary to ensure
compliance with designs, specifications, and safety requirements. The field
station is responsible for notifying the Regional Engineering Office about the
projects that require inspection. The Regional Engineering Office also conducts
a pre-occupancy inspection for safety and health issues as required for
occupied structures (see section 4.5L).
For information on the content of
this chapter, contact the Division of Engineering. For additional information
about this Web page, contact Krista Bibb, in the Division of Policy and
Directives Management.
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