Building It Right Dennis Dvorak FHWA Resource Center July 27, 2017 - - PDF document

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Building It Right

Dennis Dvorak FHWA Resource Center July 27, 2017

Bob Conway FHWA Resource Center

Formula One Track in Austin, TX

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Today’s Topics

A primer on 23 CFR 637 FHWA QA Assessment NHI Course 131141 Warranties Why Incentives? Regional Groups

A Primer on 23 CFR 637

QA Program

Agency Acceptance Dispute Resolution Independent Assurance Contractor QC Lab Qualification Personnel Qualification

Core Elements of a Quality Assurance Program

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Sources of Variability

Material Process Sampling

Testing

Composite Variability

 Includes six core elements  Provides overall framework for QA implementation  Delineates roles and responsibilities  Approval required by FHWA Division Office

23 CFR 637.205 (a)

Quality Assurance Program 23 CFR 637

 Revised June 29, 1995  Allowed use of contractors tests in acceptance decision  Required qualified personnel and labs by June 29, 2000

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July 17, 1998 FHWA Memo on Technician Qualification

 Formal training of personnel including all sampling and testing  Hands-on training to demonstrate proficiency of all sampling and testing to be performed,  A written examination and the demonstration of the various sampling and testing methods,  The following are not appropriate criteria for achieving or maintaining qualification status:  Grandfathering  Professional Engineer  Lifetime qualification.

Why Only Require Certifications for Testers?

 Regulation revised to allow use of contractors tests in acceptance decision  Justify all changes to regulations

 All acceptance activities must be carried out by the Agency or their designated agent  Agency must independently inspect and test for Acceptance  Contractor QC data may be used in Agency Acceptance decision

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Agency Responsibility for Acceptance

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Use of Contractors Tests

TX

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Contractors Tests Used in Acceptance Decision

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State Tests Used for Acceptance

Puerto Rico Quality Assurance Assessment

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Assessment of RISK

 18 Questions…

 Risk of Contractor Fraud and Appropriate Payment  Not tied to Regulatory Compliance  Covers the Six Building Blocks of QA  Questions Weighted  1, 2, 3, 5, & 7

 Frequency

 52 in FY 2008, 2010, 2012, 2014 and… 2017

DR QC IA LA/Q PQ/C AA

Assessment Elements

Higher Risk Factors – Weights of 5 or 7

Personnel Qualification Project Field Labs Dispute Resolution Independent Assurance Random Sampling Validation Process Control of Sample Locations

Lower Risk Factors – Weights of 1, 2, or 3

Visual Acceptance Sample Location PWL NTPEP Materials Management Risk Analysis for PWL Quality Characteristics Continuous Equations Lot Size

Independent Assurance Question

Does the State use a System approach with an Annual Report that shows that the Agency covered at least

 90 percent of the technicians once a year

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19 5 10 15 20 25 30 35 FY2014 Number of States

Type of Independent Assurance System

Project System Hybrid

NHI Course 131141 Quality Assurance for Highway Construction Projects Warranties

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State Experience

Florida

 Value Added  3 year guarantee  Contactor cannot bid for 6 months if warranty work not completed

Types of Warranties

 Materials and Workmanship  Performance

 Short-Term (Less than 10 years)  Long-Term (10 years and more)

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Why Incentives?

 Motivate contractors to improve quality

 Fairness  Positive approach  Factor into bidding

 Differentiate contractors that produce “desirable” and “undesirable” quality work  When incentives are included, they should be sufficient to encourage contractor innovation

Payment Plan with 5% Incentive

Estimated PWL AQL PF=0.5PWL + 55

Pay Factor (%)

RQL

Payment Plan with Incentive

Pay Incentive Pay Disincentive

AQL=90

100 95 105 90 80 100 Pay factors Estimated PWL

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Payment Plan without Incentive

AQL Estimated PWL AQL PF=0.5PWL + 55

Pay Factor (%)

PF=100 RQL

Payment Plan without Incentive

Pay Disincentive

AQL=90

90 80 100 100 95 105 Pay factors

No Incentive

Estimated PWL

Payment Plan without Incentive

Pay Disincentive

AQL=90

90 80 100 100 95 105 Pay factors

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Estimated PWL

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Regional Groups

TC3 Regional Groups

Inspector & Technician Qualification/Certification

NETTCP WAQTC M-TRAC MARTCP SETFTTQ

FHWA

Questions