Analysis of Construction Quality Assurance Procedures on Federally Funded Local Public Agency Projects
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Analysis of Construction Quality Assurance Procedures on Federally Funded Local Public Agency Projects PUBLICATION NO. FHWA-HRT-15-008 JULY 2016 Research, Development, and Technology Turner-Fairbank Highway Research Center 6300 Georgetown Pike McLean, VA 22101-2296 FOREWORD The Federal Highway Administration (FHWA) is interested in identifying challenges and best practices related to construction quality assurance (QA) for local public agency (LPA) projects, making recommendations to improve the effectiveness of both State transportation department oversight and LPA management of construction QA and ensure that construction QA complies with Federal-aid requirements. In response to prior Federal and State reviews that have found significant weaknesses or inconsistencies in construction QA practices for LPA projects, this report documents current construction QA practices from both State transportation department and LPA perspectives, identifies specific issues or areas of weakness in QA practices, identifies existing successful QA practices, and makes recommendations that can be implemented to generally improve construction QA across the full spectrum of LPA projects and State transportation department programs. One proven method to improve the consistency and effectiveness of construction QA is to develop a robust LPA certification process. Other key recommendations include the development of LPA-tailored specifications and standards, construction QA-specific training, and use of a risk-based or tiered system of construction QA based on the LPA project purpose and scope. Jorge E. Pagán-Ortiz Director, Office of Infrastructure Research and Development Notice This document is disseminated under the sponsorship of the U.S. department of Transportation in the interest of information exchange. The U.S. Government assumes no liability for the use of the information contained in this document. This report does not constitute a standard, specification, or regulation. The U.S. Government does not endorse products or manufacturers. Trademarks or manufacturers’ names appear in this report only because they are considered essential to the objective of the document. Quality Assurance Statement The Federal Highway Administration (FHWA) provides high- quality information to serve Government, industry, and the public in a manner that promotes public understanding. Standards and policies are used to ensure and maximize the quality, objectivity, utility, and integrity of its information. FHWA periodically reviews quality issues and adjusts its programs and processes to ensure continuous quality improvement. TECHNICAL REPORT DOCUMENTATION PAGE 1. Report No. 2. Government 3. Recipient’s Catalog No. FHWA-HRT-15-008 Accession No. 4. Title and Subtitle 5. Report Date Analysis of Construction Quality Assurance Procedures July 2016 on Federally Funded Local Public Agency Projects 6. Performing Organization Code 7. Author(s) 8. Performing Organization Report No. Linda Karen Konrath, Leslie Ann McCarthy, Sidney Scott None 9. Performing Organization Name and Address 10. Work Unit No. (TRAIS) Hill International, Inc. One Penn Square West 11. Contract or Grant No. 30 S. 15th Street, Suite 1300 DTFH61-12-C-00028 Philadelphia, PA 19102 12. Sponsoring Organization Name and Address 13. Type of Report and Period Covered Federal Highway Administration Turner-Fairbank Highway Research Center 14. Sponsoring Agency Code 6300 Georgetown Pike HAAM-20 McLean, VA 22101-2296 15. Supplementary Notes The Contracting Officer’s Technical Representative was Richard B. Duval, PE (HRDI-20) (202)-493-3365. 16. Abstract Approximately 20 percent of the Federal-aid highway program is invested in local public agency (LPA) infrastructure projects, which is a significant portion of total Federal funds allocated to highway construction projects in the United States. In response to previous Federal and State reviews that have found significant weaknesses or inconsistencies in construction quality assurance (QA) practices for LPA projects, this report documents current construction QA practices from both State transportation department and LPA perspectives, identifies specific issues or areas of weakness in QA practices, identifies existing successful QA practices, and makes recommendations that can be implemented to generally improve construction QA across the full spectrum of LPA projects and State transportation department programs. Recognizing that there are significant differences in LPA capabilities and project types, the recommendations consider both large and small LPAs, and differences among State transportation department programs. The recommendations applicable to all project types and programs include better communication among project partners through stakeholder meetings, QA training, and statewide LPA guidelines and manuals focusing on construction QA. For larger LPAs with more capabilities, LPA-tailored specifications and standards, LPA certification, and the use a risk-based or tiered system of construction QA based on project purpose and type are recommended. For smaller LPAs with fewer resources, continued State transportation department oversight and independent assurance and the use of qualified consultants for construction QA are recommended. 17. Key Words 18. Distribution Statement Quality assurance, Construction, Local public agency, No restrictions. This document is available to the public Certification, Risk through the National Technical Information Service, Springfield, VA 22161. http://www.ntis.gov 19. Security Classif. (of this report) 20. Security Classif. (of this page) 21. No. of Pages 22. Price Unclassified. Unclassified. 213 NA Form DOT F 1700.7 (8-72) Reproduction of completed page authorized ii TABLE OF CONTENTS EXECUTIVE SUMMARY .......................................................................................................... 1 INTRODUCTION .................................................................................................................... 1 PURPOSE .................................................................................................................................. 1 FINDINGS ................................................................................................................................. 2 RECOMMENDATIONS.......................................................................................................... 3 Development of LPA-Specific Guidelines and Manuals ........................................................ 3 LPA-Tailored Specifications and Standards ........................................................................... 3 Risk-Based Tiered QA System for LPA Projects ................................................................... 3 Use of Consultants .................................................................................................................. 4 Certification Programs ............................................................................................................ 4 Smaller LPA Programs ........................................................................................................... 4 Larger LPA Programs ............................................................................................................. 5 Training ................................................................................................................................... 5 Communications ..................................................................................................................... 6 CONCLUSIONS ....................................................................................................................... 6 CHAPTER 1. INTRODUCTION ................................................................................................ 7 BACKGROUND ....................................................................................................................... 7 PROCESS REVIEWS .............................................................................................................. 8 23 CFR 637 ................................................................................................................................ 9 OBJECTIVES ......................................................................................................................... 10 RESEARCH APPROACH ..................................................................................................... 11 Literature Review .................................................................................................................. 11 Survey ................................................................................................................................... 11 Interviews .............................................................................................................................. 11 Evaluation of Data ................................................................................................................ 12 Final Recommendations ........................................................................................................ 13 CHAPTER 2. FINDINGS .......................................................................................................... 15 LITERATURE REVIEW ...................................................................................................... 15 Process Reviews and Audits ................................................................................................