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Chapter Three

Project Record Keeping

A highway construction project really involves two projects, the one physically built in the field and the one built on paper to document the physical project. The scan team was interested in any innovative practices for managing documentation requirements, including the parties responsible for progressive inspection, testing, progress payments, project closeout, and final audit. Much of the documentation process has been described in the previous sections of this chapter, specifically in the contract administration, quality plan, and change process sections. This section specifically focuses on how countries capture trends in documentation to make their systems more effective, and how they use information technology to make their processes more efficient.

Again, it should be noted that project record keeping is affected by the project delivery system. In traditional project delivery, record keeping is mainly the responsibility of the agency, although more of the traditional record keeping responsibility is placed on the contractor internationally than in the United States. In design-build and DBFO projects, the philosophy is to require the contractor to have quality management programs covering all aspects of the project. Within that program, the inspection to determine compatibility with the contract documents is accomplished and certified by the contractor and the DB designer. Third-party certified labs often conduct the testing. In addition, the agency periodically will verify procedures and review results. The contractor retains all records for sampling and testing, and submits copies to the agencies. The agencies will also often have an independent consultant onsite that monitors the contractor's quality manage plan.

The countries all noted some process to capture trends in project documentation with an eye toward process improvement. Periodic meetings with the project team and industry associations were specifically noted by Ontario and in one instance in Germany. England tracks requested changes/innovations to its standards and specifications electronically and periodically reviews these submissions for trends to inform updates.

The United States appears to be ahead of the countries studied in this scan on the use of information technology (e.g., Internet, electronic databases, handheld devices for inspection, etc.). Although most of the international government transportation organizations stated that they have the capability to retain records electronically, the team did not witness systems that were substantially better than those found in the United States. In fact, officials in a number of countries said that most of their field records are still kept on paper. The DBFO projects that the team visited did have database systems that allowed all team members to share test reports in real time. The large size and longer durations of these projects and sole-source aspects of the project delivery allow for a greater investment in information technology infrastructure.

Third-Party Communications

Utilities, railroads, local agencies, and other third parties can greatly affect the outcome of a highway construction project. These third parties are impacted by the construction, but they often are not benefiting from it and have no financial ties to the project. In fact, they may be negatively affected by the project. Coordination of third parties and third- party communications are typically a shared responsibility of the agency and the contractor, depending on the phase of project development. The scan team found that the international transportation organizations are acutely aware of the need for good public relations, but they vary in methods to achieve results. The team also discovered that several countries have legislation that governs payments for utility relocations.

The public must be kept informed before, during, and after construction. The responsibility for public information varied slightly from country to country. The agency takes primary responsibility for public information in Ontario, Germany, the Netherlands, and Finland. The contractor takes primary responsibility for public information in England and Scotland.

Scotland showed the scan team the most aggressive public information strategies. The Scottish Executive believes in informing the public early in the project environmental phase and continuing throughout the project’s development using a multimedia approach. On major projects, the Scottish Executive will actually conduct intense public meetings in which video simulations and models are used to inform the public. In addition, a project-specific Web site allows for continuous updates to the public. Traffic simulations are conducted to qualify the benefits of the project and provide the public with an idea of the future traffic patterns. Figure 11 shows a Web site depicting future construction traffic detours and a public information meeting for the Upper Forth Crossing in Scotland.

Figure 11. Web site screen shot showing future construction traffic detours for the Upper Forth Crossing in Scotland and photo of people at a public information meeting.

Figure 11. Public information tools for Upper Forth Crossing project in Scotland.

The Netherlands also has an aggressive public information strategy. On all large infrastructure works, a strategic communication plan is prepared with a matrix of communication tools, including press releases (radio, television, newspaper), periodic press tours, brochures, dedicated Web site, dedicated phone line, meetings with the local authority and community groups, and on large projects, an information center. An action plan is developed to implement the strategic communication plan. The regional communications director has major responsibility for this function. The project manager (only if trained in public relations) and contractor have lesser roles, and everything they do must be preapproved for method and content.

Philosophies differed on coordination and payment for utility relocations. Scotland and the Netherlands pay the total cost of utility relocation, while the Canadian government pays utility companies 50 to 100 percent of all utility relocation costs, depending on the age of the utility being relocated. More specifically in Scotland, laws have been adopted recently that require utility owners to comply with the plans they provide to the contractor. This permits the contractor to seek monetary settlement if the utility company fails to execute the relocation shown in the plans.

Finally, there was consistency in the belief that contractors should be given additional payments and time extensions for delays caused by third parties on traditional design-bid-build contracts, with the exception of Scottish design-bid-build contracts using a lump sum. On the design-build and DBFO contracts, some of these risks were assigned solely to the contractor.

Environmental Monitoring

Environmental issues can arise in both planning and construction. In the United States, contractors do not typically play a role in the environmental process during planning, but they are directly involved with environmental issues during construction such as noise, vibration, dust, and water quality. The scan team explored the role of the contractor in the environmental process to discover innovative ways to lessen the impact on the environment. The scan team found that contractors are not involved in the environmental planning/permitting process, with the exception of the first phase of ECI contracts in England. The team also found that most countries specify the environmental monitoring and compliance during construction in the contract, but generally avoid method specifications. Contractors are encouraged to enhance the contract requirements through their proposed quality management plans.

Contractors did not play a part in the environmental permitting process in any country except England. The Highways Agency retains the option to have the contractor become involved in environmental planning through its statutory public consultation process. Up to this point, the contractor assists only as a consultant to help the Highways Agency navigate the environmental process. Once the environmental and consultation planning process is completed, the ECI contractor will move into a contract with the Highways Agency for detailed design and construction.

  • Environmental requirements during construction are defined through method specifications.
  • ISO 14000 certification often is required in quality control plans.

Environmental requirements during construction generally are defined through detailed contract method requirements in Germany and Ontario. In Germany, the construction contract contains corresponding protective measures aimed at avoiding negative environmental impacts. Impacts that had not been recognized are delegated to the contractor via an addendum to the construction contract. In Ontario, the ministry and the environmental agencies have standard models that are included in the contracts. Government agencies do monitor, but mainly as a reaction to complaints.

Environmental requirements during construction generally are defined through both contract provisions and contractor quality control plans in England, Scotland, and the Netherlands. In England, the contractor typically has a full-time environmental liaison person onsite daily to see that all activities are being conducted in compliance with the project environmental plan. The Scottish Executive will have global environmental requirements in the contract requirements, including noise and water quality. The contractor will have a quality management plan for the environmental aspects. In addition, the contractor’s quality management plan for the environment will outline the specific aspects of monitoring and corrective action. An individual or individuals in the contractor's organization are assigned to conduct the environmental monitoring and reporting during construction.

Project Maintenance Requirements

Contractors consistently are responsible for project maintenance during construction, including the contractor’s and owner’s responsibilities for existing or adjacent facilities. This responsibility includes routine maintenance in England and Scotland. In Ontario, the contractor is responsible for maintenance activities during the normal construction season (April through October) within the limits of construction. The agency may accept part of a project, which will relieve the contractor of maintenance responsibilities. The remaining time, the agency's maintenance contractor is responsible. Germany only assigns responsibility for repairs caused by construction to the contractor. Insurance typically is required for damage to adjacent facilities.

Conclusions

As discussed in this chapter, international highway organizations delegate many traditional highway agency functions to the private sector to promote efficiency and satisfaction of the client’s requirements. In conjunction with this delegation, contract payment methods are used to support alignment and trust. Quality plan implementation methods also support this delegation and alignment of goals.

The scan team found that contractors frequently report their own progress and that agencies take more of an audit role than a measurement role. Milestone and lump-sum payments support these progress reporting methods. There are fewer requirements on the amount and types of subcontractors abroad. The scan team found the quality control and quality management plans frequently are developed by the contractor. Reliance on ISO certification is heavy, and contractors can be rated on their quality management plans before project award or through postproject reviews. Most countries pointed to their use of qualifications and past performance in procurement as remedies for dealing with substandard work. While the team did not find many innovative information technologies for record keeping, it did find good use of information technologies in public information efforts. Finally, the scan team found that contractor quality certification standards and project quality plans are being used to supplement contractually mandated environmental monitoring processes.

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Page last modified on November 7, 2014
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