The Past, Present, and Future of CQC in FDOT

1
Contractor Quality Control

• The Past, Present, and Future of CQC in FDOT
• Presented by Kevin Price and David Sadler at 2008
  FTBA/FDOT Construction Conference

2
Topics

• Past Deployment of CQC (QC2000)
• Origin in FDOT, areas of work covered, personnel
  qualifications, risks, outcomes, lessons learned,
  Specifications, QC Plans/Manuals
• Present Deployment of CQC
• Projects, findings, lessons learned,
  Specifications, QC Plans/Manuals, personnel
• Future Deployment of CQC
• Continued use, areas of work being considered,
  Specifications, QC Plans/Manuals, personnel

3
Topics continued

• Role s and Responsibilities of the
• Contractor
• QC Manager
• QC Plans/Manuals
• Recent Specification Changes
• Section 6
• Section 105

4
Past Origin of CQC in FDOT

• When Greg Xanders was State Construction
  Engineer, he initiated the program for FDOT where
  contractors would perform their own quality
  control.
• This effort began at a time in which the sitting
  Governor directed all state agencies to reduce
  staff by 25 and also at a time when FDOTs
  construction program was burgeoning.

5
Past Origin of CQC in FDOT

• The program began in 1998 with projects being
  piloted in several Districts for contractors,
  consultants, and FDOT to gain experience in the
  process of having Contractors perform QC sampling
  and testing with FDOT performing Verification
  sampling and testing.

6
Past Origin of CQC in FDOT

• FDOT fully implemented the CQC program on all
  its construction projects let after July 1, 2002.
• Authority to use Contractor test results was
  given by the FHWA via its Technical Advisory
  T6120.3 under the conditions that FDOT had in
  place a system of performing verification testing
  of the Contractors QC results.

7
Past Origin of CQC in FDOT

• Technical Advisory T6120.3 required states to
  ensure that contractors and owners had trained,
  qualified staff to perform sampling and testing.
• To satisfy the training and qualification
  requirements, FDOT initiated the Construction
  Training Qualification Program (CTQP).

8
Past Areas of Work

• Areas covered under the CQC umbrella
• Asphalt Mix
• Portland Cement Concrete (Structural)
• Earthwork
• Cementitious Materials
• Timber
• Steel and Miscellaneous Metals
• Galvanized Metal Products
• Prestressed and/or Precast Concrete Items
• Drainage Products

9
Past Risks, Outcomes and Lessons

• Psychological
• adjustments
• needed

10
Past Risks, Outcomes and Lessons

• Outcome of the piloted projects was that FDOT
  revised its developmental specifications based
  on what it learned and adopted them as standard
  specifications.
• A lesson learned was that there were some
  contractors manipulating the test results of
  samples to avoid penalty or plant shut down.

11
Past Risks, Outcomes and Lessons

• Because of the findings that a few of the
  contractors were manipulating results, FDOT took
  actions such as suspension of qualifications of
  personnel involved, disallowing bidding of
  projects for a period of time, payment of
  restitution for damages.
• FDOT also gained confidence that its processes
  were capable of discovering these actions.

12
Past Overall Outcome

• Overall, found that the CQC program was
  successful and FDOT had means of handling
  performance issues.
• This is the case because FDOT has in place
  safeguards to verify and validate Contractor
  provided QC test results. Also, because FDOT has
  maintained separation between QC and QA.

13
Past Overall Outcome

• The verification of Contractors QC testing
  results should be viewed, not as a lack of trust
  of those results, but as a means of ensuring that
  the taxpayers money is being spent appropriately.
• Trust but verify.

14
Past QC Plans and Manuals

• QC Plans FDOT worked with industry to develop a
  boilerplate document as a framework upon which
  contractor could build its plan.
• QC Manual FDOT encouraged contractors to
  develop a QC Manual that would be adopted
  statewide and allow contractors to make reference
  to the manual in its QC Plan, thus shortening the
  plan.

15
Past QC Plans and Manuals

• While it is not possible to determine from the
  contractors QC Plan whether the level of
  construction quality will be acceptable, it is
  possible to verify that the contractor, as an
  organization, has addressed the basic elements of
  its quality process.

16
Present

• As stated previously, FDOT implemented CQC on
  all projects beginning with July 2002 lettings.
• FDOT continues to monitor these projects for
  compliance with specifications and procedures.

17
Present National CQC Perspective

• Nationally, there are approximately 35 states
  that have some level of Contractor Quality
  Control.
• FDOT has the most work areas covered by CQC.
• There are two of the 35 states that are going
  back to self-performing sampling and testing.

18
Present - Findings

• FDOT is still finding most contractors in
  compliance with specifications but occasionally
  have also found examples of contractors
  manipulating test results. In these cases, FDOT
  has exercised its options as appropriate to the
  offense.

19
Present Lessons Learned

• Roving Verification Technicians
• Still having areas of training needs
• Still personnel (FDOT, Contractors, and
  Consultants) that have not embraced the CQC
  program havent fully made the psychological
  adjustment.

20
Present - Specifications

• The one constant with the specifications has been
  Change.
• Changes due to many reasons
• industry recommendations
• owner needs
• technology changes
• research results
• owner reassessments (R2)

21
Present QC Plans

• FDOT still has requirement for QC Plans.
• Seeing two common occurrences with QCPs
• FDOT looking for too much in plans
• Contractor including too little in plans
• The QC Plan is the document outlining the
  Contractors process for delivering the level of
  quality defined in the contract.

22
Present QC Manuals

• Still have option for Contractor QC Manual.
• Presently, there are six contractors that have
  submitted and received approval of their QC
  Manual.
• FDOT sees a value in the QC Manuals that has not
  been fully recognized yet.

23
Present Personnel

• CTQP qualifications still required
• CTQP providers have been expanded
• CTQP QC Manager course rewritten for 2007

24
Contractors Quality Control Plan
25
QC Plan Definition

• Federal Highway Administration Defines
• A contractor quality control plan (CQCP) is the
  documentation of the contractors process for
  delivering the level of construction quality
  required by the contract.

26
QC Plan Definition continued

• CQCP is where the contractor outlines what they
  are going to do to control quality where
  applicable.
• CQCP can be a living breathing document that
  changes during a single contract or it may not
  change through multiple contracts.
• Contractors will use the same plan for all the
  ongoing projects.
• Consistency of the contractors staff and
  operations from project to project.

27
Contractors Quality Control Plan

• No requirement for format.
• Requirements for content found in 105
• Materials found in 6-8
• Draft plans found at FTBA and ACAF websites
• Can be amended by a letter
• Recommend that long term projects have the CQCP
  updated to reflect mix design changes and TIN
  numbers

28
QC Plan Materials

• Certain materials must be produced with an
  approved quality control program
• HMA
• Structural Concrete
• Earthwork
• Cementitious materials
• Timber
• Steel and Misc metals
• Galvanized Metal products
• Prestressed/Precast concrete products

29
Specification consolidation

• Sections 6 and 105 have been recently combined to
  consolidate the Quality Control requirements
• To read the entire specification go to
• http//www.dot.state.fl.us/specificationsoffice/Hi
  storyJuly2008WorkBook/1050000.impl.pdf

30
Producers of

• Flexible and Concrete pipe
• Prestressed/Precast Concrete products
• Incidental Precast/Prestressed Concrete Products
• Portland Cement Concrete
• Structural Steel and Miscellaneous Metal
  Components
• Shall meet the requirements of the materials
  manual in addition to the specifications
  (105-3.2)

31
Contractors

• 105-3.8 Contractors Quality Control Plan Have
  an approved Quality Control Plan meeting the
  requirements of this Section for the
  transportation, storage, placement, and other
  related construction operations required by the
  Contract Documents.
• Different location, same statement. Current CQC
  plans should be valid providing that the
  applicable materials are addressed.

32
QCP Submittal

• State Materials Office
• Producers of cementitious materials, steel and
  miscellaneous metals, galvanized metal products,
  and aggregates must submit their proposed Quality
  Control Plan to the State Materials Office for
  review and acceptance.

33
QCP Submittal continued

• District Materials Office
• Producers of hot mix asphalt, Portland cement
  concrete (Structural), earthwork, timber,
  prestressed and/or precast concrete products and
  drainage products must submit their proposed
  Quality Control Plan to the local District
  Materials Office for acceptance.
• Producers located outside the State must contact
  the State Materials Office for address
  information of the District Materials Office
  responsible for the review of the proposed
  Quality Control Program.

34
QCP Submittal continued

• CQC Plans are submitted at the project level
• FDOT allowed 21 days to respond
• Specifications still require CQC plans to be
  submitted 21 days after award
• Needs revising - If changed, when should it be
  submitted?
• FDOT has seven days to review and respond to all
  revisions, including revisions due to plan
  suspensions.

35
Quality Control Plan Content

• Your plan should address how your firm will
  produce a product that meets the specifications.
• Generalities are acceptable
• Multiple suppliers are acceptable providing that
  they are all approved
• Typical courses of action when a problem does
  arise
• Standard individualized information not found in
  the contract like rolling patterns

36
Quality Control Plan Content

• Should address how you are going to handle
  unspecified situations with regard to materials
  acceptance.
• Should address your methods of meeting the
  specifications.
• Should address common situations that may arise
  during the construction of an item and how the
  contractor chooses to handle it
• Should identify technical staff by TIN for
  applicable items

37
Quality Control Plan Content

• Does not need to state the obvious
• Should not restate the specifications
• Not required to have each and every supplier
  listed upon initial submittal.
• There is no required format only required
  content
• No limitations Suppliers primary, back up, Back
  up,

38
Contractor Quality Control Manager
39
Responsibilities

• Ensure that materials produced for acceptance are
  in substantial compliance with the contract.
• Ensure technical staff are qualified
• Implement QC plan
• Paperwork

40
Responsibilities

• Mediator between the department and the
  contractor
• Specification interpreter
• Educator/Trainer
• Documentation administrator

41
Contractors responsibilities

• ensure that the material suppliers are approved
• Acquire certification documents
• Coordinate scheduling and delivery
• Ensure project compliance

42
Requirements

• A responsible position with the contractor
• Able to make changes to bring materials to
  acceptable limits
• Execute the monthly statement of compliance
• Provide test or inspection reports to the
  department
• Does not report to field staff
• Must speak and understand English

43
General

• May be a subcontractor
• Entire Quality control division may be
  subcontracted
• Requirements/responsibilities do not change

44
CQC Future
45
Future

• FDOT intends to continue its use of CQC
• FDOT will continue to evaluate the performance in
  the areas of work covered by CQC and look for
  ways to improve with industry input
• If appropriate, other areas of work will be
  included under CQC none on the horizon at this
  time

46
Future

• Changes in the specifications from method to
  performance specs
• Revisit the boilerplate QC plan
• Work on process for expediting QC Plan
  changes/revisions
• Certification requirements review

47
Questions??
48
Common Comments/Questions

• What is the value added by CQC?
• The value gained by the FDOT with CQC is

49
Common Comments/Questions

• You guys know what you want, so why make the
  contractor do the documentation.
• Response the value gained by having the
  contractor perform the sampling/testing and
  reporting is cradle to grave responsibility and
  accountability.

50
Common Comments/Questions

• QC Plans wheres the value here?
• Value to the Department is assurance that the
  contractor has accounted for and planned its work
  in compliance with specifications

51
Common Comments/Questions

• Before a specification is changed, the question,
  Will this add cost or will this add value?
• This is done before specification changes. A
  determination is made to assess the cost impacts.

52
Common Comments/Questions

• Should have clear specifications with guidelines.