This manual describes the Independent Assurance (IA) procedures for Construction Engineering and Inspection (CEI) processes. The purpose of this IA procedure is to provide a uniform, documentable, management system to ensure CEI requirements are being met. This manual has been structured to be used in concert with the Authority Construction Project Administration Manual (ACPAM) and represents an effort to distill the ACPAM and other contract documents down to their most essential portions. These important requirements are organized into the checklists that make up this manual and will be used as the basis of the IA review.
Construction Management is the management of a large, single construction project. The project may include a large, single construction contract or multiple, smaller construction contracts. Construction Management will be the responsibility of the Authority, who may authorized a designated Construction Management Consultant (CMC) to perform some of these functions. This guide will refer to the Authority when referring to either the Orlando-Orange County Expressway Authority or the designated CMC.
Construction Engineering and Inspection (“CEI”) Consultant
The CEI Consultant provides construction engineering and inspection services during the construction phase of a project. These services usually include monitoring of the construction work through inspection and testing, monitoring progress against the construction schedule, producing, checking and recommending interim and final payments; administration and evaluation of changes, coordination of utility companies, coordination with and response to concerns from adjacent property owners, and providing documentary records that the project has been built in substantial and reasonable conformity with the Contract plans and specifications. The CEI will typically include a Resident Engineer who will be supported, depending upon the size of the project, with secretarial/administrative staff, Project Engineer, Office Engineer, and Inspectors. The Resident Engineer may supervise a single project, or multiple projects.
Assessment Category: One of the major categories of construction work within the overall project such as, roadway base construction, drainage construction or signal installation. Each "Assessment Category" has a corresponding list of inspection requirements referred to as a Guidelist. The list is used in evaluating how well the Assessment Category Requirements are performed, by the CEI staff.
Compliance: A satisfactory performance of requirements as determined by a quality assessment review.
Deficiency: A non-satisfactory performance of a requirement as determined through the quality assessment review process.
Independent Assurance (IA): The process used by the Authority to monitor and ensure that CEI activities are in compliance with predetermined standards.
Quality Control (QC): Project level activities performed daily by project level staff in monitoring established requirements, procedures and standards to assure compliance with contract documents. The inspection and acceptance of the Contractor’s work is Quality Control.
Inspection Guidelist: A list of major items that assists the CEI staff in their inspections of work related to each assessment category. The guidelists are worded in such a way as to focus the CEI staff’s attention on insuring the Contractor’s performance. Each of the assessment categories has a guidelist that covers the significant inspection requirements corresponding to that category. The guidelists are not a comprehensive source for identifying everything which an inspector or construction manager must know. Instead, they are intended to be a guide for identifying significant and critical areas of concern, the details of which are covered in the contract documents.
Like the ACPAM, the scope of the IA Manual includes the direction that it must be integrated with individual contract requirements, standard specifications and other Project Procedure Manuals in a way that will provide maximum uniformity while maintaining and permitting reasonable flexibility.
This IA procedure explains what the Authority will do to conduct an effective IA program. The goal of the IA program is to continually improve CEI performance. In order to accomplish this goal, the procedure requires construction managers to formally review the performance of personnel for which they are directly and indirectly responsible. This review process is referred to as "Independent Assurance" (IA) and the reviews that are performed are referred to as Independent Assurance Reviews or IARs. IARs are conducted by reviewing and recording how well CEI personnel are performing the most important responsibilities they are assigned. These responsibilities are referred to as Requirements and they are listed by assessment categories and organized into guidelists.
The IA program is separated into two major divisions: Administrative and Field. The Field portion of the IA program is further divided into two major types of categories: periodic and continuous. The periodic segment includes the “Method of Acceptance” section and will be reviewed at the same frequency as the administrative division. The remainder of the field division of the IA program includes “Materials Sampling and Testing” and the “Resolution Testing Process” and will reviewed on a continuous basis
The frequency of IARs will be determined by the Authority. IARs may be performed at any time the Authority deems necessary. The number and frequency of reviews will be dependent upon findings of earlier reviews, overall project duration, and other factors, but generally at approximately 6 month intervals.
The Authority will establish and maintain the schedule of IARs to be performed. The respective Project Manager, Resident Engineer and/or Project Engineer will be contacted to establish and coordinate the specific schedule for the IAR.
The results of IARs are detailed as an Independent Assurance Report. The guidelists for each assessment category will become the report covered by an executive summary which will provide an overview of the findings reflected by the checklists. In the report, reviewers record if and why Requirements are being done properly. When they are not being done properly, there will be opportunities for improvement. The report will outline actions that must be taken in order to improve performance and to set deadlines for when this should take place.
The Authority is responsible for maintaining the manual in a current and pertinent state. These responsibilities include providing new guidelists and requirements and/or revisions to the field promptly. Please check the website often for the most current version of this manual.
It is the intent that this guide be a “living document”. Regular reviews by the users should lead to suggestions for improvements, modifications, additions or deletions. Suggestions are welcome and should be forwarded to the Authority. Suggested modifications will be reviewed and, where desirable, incorporated in periodic revisions.
Suggestions or comments relating to the content of this manual should be forwarded to:
The Resident Engineer must carefully study the CEI Agreement (“Agreement”) and ensure that the services specified in the Agreement are performed and/or provided. The Resident Engineer or the senior representative on the project must, monitor the work of their staff closely. Periodically, the Resident Engineer should perform an internal independent assurance review of their field and office operations to insure close adherence to requirements.
The term “Resident Engineer” used throughout this guide describes the person responsible for the execution of the construction phase services under the CEI Agreement. The term “Resident Engineer” or abbreviation “RE” when used in conjunction with an action, activity or a response, does not necessarily imply that the action, activity or response is to be performed by the RE. It is understood that the RE may delegate such tasks to other members of the field staff. However, the RE will remain responsible and accountable for the performance of those tasks.
The following abbreviations are used in this Manual:
RE Resident Engineer
PE Project Engineer
OE Office Engineer
SDE Section Design Engineer (often referred to as the Engineer of Record (EOR) or Architect/Engineer (A/E))
EOR Engineer of Record
GEC General Engineering Consultant
CMC Construction Management Consultant
CEI Construction Engineering and Inspection Consultant
FDOT Florida Department of Transportation