# Presentation: 327593

## FHWA Midwestern 

**Program/Project Delivery Workshop**
**Construction Quality Control Breakout**
**St. Louis, MO**
**October 17, 2001**

## Intent Of This Overview

**Legislation/Policy**
**FHWA/STA Roles**
**Industry Example**
**FHWA Construction Involvement**
**“****Inspections”**
**Training**
**Specifications**

## Legislative/Policy

-  Background Information

## Expectations – Regardless of Program Structure 

**Secretary Mineta: “ensure that the Federal government gets what it pays for . . . Major transportation projects are managed wisely and appropriately**
**Congressman Rogers – questioned FHWA actions to review and ensure accurate project estimates and control of overruns**
**Federal agencies are accountable for the expenditure of all funds**

**Notes:**
 - As Vince said yesterday = heightened focus on accountability by Secretary Mineta and Congress

 - We have some work to do with our partners at the State and local levels

## Legislative Framework

**49 USC 101 – DOT ... to ensure coordinated and effective transportation programs**
**23 USC 302 – STA have adequate powers, suitably equipped and organized . . . to the satisfaction of the Secretary **

**23 USC 106 – States may assume . . .for NHS; States shall assume for non-NHS**
**23 USC 145 Federal-State relationship, States determine which projects will be Federally funded**

**Notes:**
These are selected references – more were included in the attachment to the agenda.

On the surface, these might appear to be conflicting.  However, used in conjunction they completely define what is expected of FHWA, the bounds on their daily activities, and the STA responsibilities.

In this context, FHWA is responsible for:
Assessing the capability and capacity of agencies that assume Secretary’s responsibilities
More than just compliance with the laws and regulations

Because Federal assistance is not just financial and technical, but management of the program too

Stewardship goes beyond strict compliance (oversight) – stewardship goes to the efficient and effective use of the funds
Beyond projects, Beyond processes
Broad goals of 49 USC101 and Strategic Plan

 - Not just pushing the dollars out in good, well defined processes, but asking the question “Are we improving transportation?”  Oversight is the beginning; stewardship is the complete approach to improving transportation

## ISTEA and TEA 21

**Authorized FHWA to delegate specific project approval authorities to STA**
**Did not alter FHWA program responsibility on all programs to Congress and public**

## June 22, 2001 Policy PaperFHWA/STA Roles

**FHWA program stewardship & oversight responsibilities  - all programs**
**STA can assume *****project approval authorities***
**STA to manage delegated authority – included STA oversight of LPA projects**
**Goal – Confidence that federal programs are implemented in compliance with laws, regulations and policy**

## Goal Is Critical

**STAs are facing downsizing, high turnover, increased project load**
**How are STAs adjusting their project administration?**
**Greater use of consultants for CE?  **
**Is quality affected?**
**If the program is managed satisfactorily today, are there concerns about tomorrow?**

## FHWA/STA Roles (Continued)

**FHWA/STA joint assessment of FHWA programs, delegated authorities**
**Unit performance plans include stewardship and oversight strategies**
**FHWA sets stewardship and oversight strategy based on risk assessment**

## FHWA/STA Roles (Continued)

**Oversight through:  process reviews, program evaluation, program management activities, and project involvement activities**
**Include both NHS and non-NHS project reviews in oversight activities**

## With All That Said, What Is the Tie to Construction Quality and the FHWA’s Involvement ????

## Let’s Start With a Private Industry Situation....... 

**Credit to the individual who developed the **
**following 16 slides**

***This “hands off” example is hopefully ***
***not indicative of STA or LPA projects***

## QUALITY ASSURANCE AND THE SINKING OF THE LARGEST OFFSHOREOIL PLATFORM

**QUALITY ASSURANCE AND THE SINKING OF THE LARGEST OFFSHORE****OIL PLATFORM**
**March 2001**

## For those of you who may be involved in project cost control (at whatever level), 

**For those of you who may be involved in project cost control (at whatever level),**

## please read this quote from a Petrobras executive, 

**please read this quote from a Petrobras executive, **

## extolling the benefits of cutting quality assurance and inspection costs, 

**extolling the benefits of cutting quality assurance and inspection costs, **

## on the project that sunk into the Atlantic Ocean off the coast of Brazil in March 2001. 

**on the project that sunk into the Atlantic Ocean off the coast of Brazil in March 2001.**** **

## "Petrobras has established new global benchmarks for the generation of exceptional shareholder wealth 

**"Petrobras has established new global benchmarks for the generation of exceptional shareholder wealth **

## through an aggressive and innovative programme of cost cutting on its P36 production facility. 

**through an aggressive and innovative programme of cost cutting on its P36 production facility. **

## Conventional constraints have been

**Conventional constraints have been**
**successfully challenged **

## and replaced with new paradigms appropriate to the globalised corporate market place. 

**and replaced with new paradigms appropriate to the globalised corporate market place. **

## Through an integrated network of facilitated workshops, 

**Through an integrated network of facilitated workshops, **

## the project successfully rejected the established constricting and negative influences of prescriptive engineering, 

**the project successfully rejected the established constricting and negative influences of prescriptive engineering**,

## onerous quality requirements, and outdated concepts of inspection and client control. 

**onerous quality requirements, and outdated concepts of inspection and client control****. **

## Elimination of these unnecessary straitjackets has empowered the project's suppliers and contractors to propose highly economical solutions, 

**Elimination of these unnecessary straitjackets has empowered the project's suppliers and contractors to propose highly economical solutions, **

## with the win-win bonus of enhanced profitability margins for themselves. 

**with the win-win bonus of enhanced profitability margins for themselves. **

## The P36 platform shows the shape of things to come 

**The P36 platform shows the shape of things to come **

##  in unregulated global market 

-  **in unregulated global market **
**economy of the 21st Century.“**** **

## Now Back to Highways !

## 23 CFR 637.205(a)

**Quality Assurance Program.  Each SHA shall**
** ****develop a quality assurance program which will assure**
**that the ****materials and workmanship**** incorporated into **
**each Federal-aid highway construction project on the **
**NHS are in ****conformity with the**** requirements of the **
**approved ****plans and specifications****, including approved **
**changes.**

## Construction Monitoring

**Is the product in conformity with the plans & specs? **
**Does the completed project meet the original intent?**
**Have the environmental commitments been constructed or adhered to?**
**Is it a quality product?**
**Are changes needed on future designs or specifications?**
**Are there opportunities to implement new performance specifications or non-traditional contracting methods?**
**Are there opportunities to save money?**

## It’s more than just observing if the slump

** ****and air content are within specification tolerance!**

## FEDERAL-AID POLICY GUIDE                     December 9, 1991, Transmittal 1 

**G 6042.8 **
**CHAPTER 6**
**CONSTRUCTION MONITORING**
- Par.
- Purpose
- Definitions
- Policy
- Annual Construction Monitoring Program
- Construction Inspections
- Frequency of Inspections
- Construction Inspection Reports
- Annual Reports
- Attachment 1 - Construction Inspection Report (Form FHWA 1446 A)Attachment 2 - Final Acceptance Report (Form FHWA 1446 B)Attachment 3 - Final Acceptance Report for CA and SRP projects (Form FHWA 1446 C)
_**PURPOSE**_**. To establish policies, procedures, and guidelines relating to the inspection, acceptance, and quality of Federal-aid highway construction. **

## Form FHWA 1446 A

**Form FHWA 1446 A**

## Form FHWA 1446A

**Generally each time a project visit is made**
**Full oversight projects**
**Can be brief overview **
**Construction problems**
**Upcoming changes**
**Quality issues**
**Construction inspections and final inspection**
**Copy to STA**

## Form FHWA 1446 B

**Form FHWA 1446 B**

## The FHWA’s non-regulatory Construction Monitoring guidelines G 6042.8 are implemented through the division/STA stewardship plans

## You can’t “inspect in quality,” 

- it has to be a
- Contractor/STA/FHWA
-  team effort !!!

## Construction Focus Areas

**Grading and Drainage**
**Foundations**
**Plant mix Bituminous Paving**
**Concrete Paving**
**Structural Concrete**
**Structural Steel**

## Construction Focus Areas

**Work Zone Traffic Control**
**Erosion Control (temporary and permanent)**
**Environmental Commitments**
**Measurement and Payment**
**Contract Administration**
**Project Records and Documentation**

## Use the division/STA 

**risk analysis to decide **
**where to focus resources**

## Common “Quality” Threads

**Properly trained contractor and owner personnel**
**Quality materials**
**Quality construction/fabrication techniques**
**Quality plans and specifications**
**Qualified laboratories**
**Pride in workmanship**

## How Do You Identify Problems?

**Know the plans and specifications better than the individual constructing  ****(****LOFTY GOAL**** !!!)**
**Take time to thoroughly understand the activity ****(the PROCESS)**
**Ask questions ****(very IMPORTANT)**
**Have a written plan of attack (inspection documentation form)**

## How Do You Identify Problems?

**Develop a good working relationship with the STA project personnel based on trust and mutual understanding **
**Measure of Success is: ****Having the resident/project engineer call you and ask for your opinion on how to resolve a construction problem**

## Inspection Documentation Forms

**Inspection documentation forms**
**  ****Process reviews/product evaluations**
**  ****Continuous improvement reviews**
**  ****Quality reviews**
**  ****In-depth inspections**
**Each Division has their own**
**“****Old Region 5” compilation**
**WRC compilation**

## WRC Compilation

**WRC Compilation**

## Training  Opportunities

**NHI/FHWA courses**
**American Association of State Highway and Transportation Officials (AASHTO)**
**Regional/State technician certification programs**
**National Institute for Certification in Engineering Technologies (NICET)**
**American Concrete Institute (ACI)**
**National Asphalt Pavement Association (NAPA)**
**Associated General Contractors of America (AGC)**

## Training  Opportunities

**National Center for Asphalt Technology (NCAT)**
**American Road & Transportation Builders Association (ARTBA)**
**American Concrete Pavement Association (ACPA)**
**American Public Works Association (APWA)**
**National Ready Mixed Concrete Association (NRMCA)**
**Internet**

## Technician Qualification or Certification Program

- 	**A program that allows a person to become qualified to perform quality assurance testing, which may include process control, acceptance, or verification, by taking an established training curriculum and passing written and hands-on examinations.**

## Why Qualify/Certify ?

**Minimize sampling & testing errors**
**Better assurance that material meet specifications**
**Reduce project failures**
**High project costs demand accurate and reliable test results**
**Improve overall construction quality through improved sampling and testing performance**

**Notes:**
1.   

2.   Have better assurance that the material that is incorporated into the project is within specification limits.

3.

4.  The costs to perform sampling and testing is relatively small compared to the overall cost of the project.  Yet the quality of the material can have a huge impact on the overall quality and success of the project. 

## Tester/inspector Certification

**Regional (5)**
**Western Alliance for Quality Transportation Construction (WAQTC)**
**Mid-Atlantic Region Technician Certification Program (MARTCP)**
**North Central Multi-Regional Training and Certification Program (M-TRAC)**
**Southeast Task Force on Technician Training and Certification (SETFTTC)**
**New England Transportation Technician Certification Program (NETTCP)**

## Benefits of Regional Programs

**Reciprocity between states**
**Promotes uniform testing through common program**
**Provide standard levels of work performance**
**Provide personnel with opportunities for growth and advancement**
**Efficiency**
**Allows for the exchange of information**
**Cost effective**

## Regional Programs

**WAQTC**

**NETTCP**

## Tester/Inspector Certification (Cont.)

**Non-Regional Groups**
**State specific**
**I.E.  Illinois technician certification program**
**Often coordinated with local NAPA, ACI, or AGC**
**I.E.  Colorado “Laboratory Certification of Asphalt Technicians [LabCAT]; New Mexico “Technician Training and Certification Program [TTCP]**

## National Transportation 

**National Transportation **
**Curriculum Coordination Council**

- TCCC

**Notes:**
About 85 percent of the States are actively involved in one or more regional programs.

## TCCC Members

_**Regional**_
**MARTCP**
**NETTCP**
**M-TRAC**
**SETFTTC**
**WAQTC**

_**Agency**_
**AASHTO SOC**
**AASHTO SOM**
**FHWA**
**NHI**

_**Industry**_
**AGC**
**ARTBA**
**ACPA**
**NAPA**
**NRMCA**

**TCCC formation facilitated by ****FHWA Office of Asset Management (OAM)**

**Notes:**
Most States already have or are in the process of developing appropriate programs to qualify field, plant, and laboratory personnel for major project materials. These technical areas include:

## TCCC Activities

**National coordination in the development of construction, materials, and project management training**
**Technical panels in specific subject areas**
**Identified need for national training web site to list courses and share information**
**Contacts:**
- John Perry (HIAM)  202-366-2023
- Howe Crockett (WFLHD)  360-696-7750	**	****	**

## Qualified Laboratories

**Laboratories that are capable as defined by appropriate programs established by each SHA.  As a minimum, the qualifications program shall include provisions for checking test equipment and the laboratory shall keep records of calibration checks**
**23 CFR 637.209**
**Key point:  test results need to be accurate and reproducible**

## Quality Specifications 

**Method Specifications**
**End Result Specifications**
**Quality Assurance Specifications**
**Performance Related Specifications**

## Quality Assurance Specifications

**QA Definition:****  **“All those planned and systematic actions necessary to provide confidence that a product or service will satisfy given requirements for quality.”** – **23CFR637
**Distinguishing Elements in QA Specification**
- Clearly defined and measurable quality levels and characteristics
- Statistically Based – random testing
- Price adjustment for variation in quality
- Balanced Risk – owner/contractor
- Defined QC and QA test responsibility

## Performance Related Specifications

**PRS are improved QA Specifications that:**
- have defined construction and material quality levels that are directly related to the long term performance of the product
- Provide a rational price adjustment system, based on the predicted life cycle cost of the product
- In pavements, they provide a critical construction connection to pavement management systems

## Slide 62

## You Find A Concern During a Review........What Do You Do???

## Look for the “Cause”

**Is is project specific or does it have wider applicability**
**Resolve the concern at hand and work with the STA to correct the process if necessary**
**“****Pink slips” are generally a last resort**

## Resolving Concerns

** ****Do not direct the contractor’s operations**
- STA/Contractor contractual relationship
**Work with the RE/PE to resolve concern before you leave the project**
- Your report should reflect positive resolution or recommend the process be further reviewed

## Remember Your Goals

**  ****Confidence that federal programs are implemented in compliance with laws, regulations and policy**
** ****Confidence that the public is receiving a long lasting, quality product**
** ****Confidence that the construction process is as efficient and effective as possible**

## If I can be of assistance..........

- Bill Hakala
- Construction and Contract Administration Engineer
- Western Resource Center
- 303-716-2151
- 303-969-6727 fax
- william.hakala@fhwa.dot.gov

## Let’s Discuss Two Division Specific Programs.........