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ACEC/NHDOT Technical Exchange Conference
April 7, 2016
Innovative Construction Inspection
Project by the Numbers
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21 miles of Interstate reconstruction
15 Major Interchanges
Addition of 4 Managed Lanes
144 Bridges
+ 13,535 EA Steel and Concrete Piles
86 Miles of Drainage improvements
+ 5,000,000 CY of Imported Embankment
+ 540 EA Miscellaneous Drilled Shafts
+ 4,871,122 SF of MSE Walls
+ 577,000 SY of Concrete Pavement
+ 908,000 TN of Asphalt
Increase posted speed 50mph to 60mph
Contract Type
• Public Private Partnership (P3)
• 40 Year Term
– 7 Year Design and Construction Term
• Includes Operations and Maintenance
– 33 Operating Period
• $3.8B Concession Agreement
– $2.32B Design and Construction delivery
Organization
FDOT
Role/Responsibility
Owner
Contracted with
I-4 Mobility Partners
Florida Department of
Transportation
Sponsors (50/50)
Equity
Contribution
Agreement
Concession
Agreement
Financing
Agreements
Lenders
Quality Assurance
DB Agreement
CJV (40/30/30)
DJV (65/35)
O&M
Agreement
O&M during
Construction
O&M Works
I4MP (Concessionaire)
Role/Responsibility
Responsible for
compliance to the
Contract
Florida Department of
Transportation
Sponsors (50/50)
Equity
Contribution
Agreement
Concession
Agreement
Financing
Agreements
Lenders
Quality Assurance
DB Agreement
CJV (40/30/30)
DJV (65/35)
O&M
Agreement
O&M during
Construction
O&M Works
SGL (Contractor)
Role/Responsibility
Responsible to deliver
all Design, Construction,
Operations and
Maintenance Work
conforming to the
Contract
Florida Department of
Transportation
Sponsors (50/50)
Equity
Contribution
Agreement
Concession
Agreement
Financing
Agreements
Lenders
Quality Assurance
DB Agreement
CJV (40/30/30)
DJV (65/35)
O&M
Agreement
O&M during
Construction
O&M Works
Quality Assurance Manager (QAM)
Role/Responsibility
Florida Department of
Transportation
QAM is an Individual
Sponsors (50/50)
Equity
Contribution
Agreement
Concession
Agreement
Monitor conformance of the
I-4MP Project Team to the
requirements of the
Contract, including leading
the administration of the
approved Design and
Construction QA/QC Plans
Financing
Agreements
Lenders
Quality Assurance
DB Agreement
CJV (40/30/30)
DJV (65/35)
O&M
Agreement
O&M during
Construction
O&M Works
Quality Assurance Firm (QAF)
Role/Responsibility
QAF is a firm of inspectors,
material testers,
Compliance specialist
Sponsors (50/50)
Monitor conformance of
SGL and their QC Firms to
the requirements of the
approved Plans and
Specifications.
Florida Department of
Transportation
Equity
Contribution
Agreement
Concession
Agreement
Financing
Agreements
Lenders
Quality Assurance
DB Agreement
CJV (40/30/30)
DJV (65/35)
O&M
Agreement
O&M during
Construction
O&M Works
Support I4MP in the
monitoring of EEO
/Labor Compliance of
the I4MP Project
Team
Technical Advisor (RS&H)
Role/Responsibility
Florida Department of
Transportation
Sponsors (50/50)
Equity
Contribution
Agreement
Concession
Agreement
Review of all Design related
submittals, including
providing technical advisory
services to the FDOT for RFIs,
proposed modifications to
the Contract, repair
procedures, etc. via Audits
Financing
Agreements
Lenders
Quality Assurance
DB Agreement
CJV (40/30/30)
DJV (65/35)
O&M
Agreement
O&M during
Construction
O&M Works
Construction Oversight Services (HNTB)
Role/Responsibility
Florida Department of
Transportation
Sponsors (50/50)
Equity
Contribution
Agreement
Concession
Agreement
Administer the Contract on
behalf of the FDOT and to
oversee the compliance of
I4MP Project Team to the
Contract requirements as it
relates to Construction, O&M
Work, EEO/Labor Compliance
Financing
Agreements
Lenders
Quality Assurance
DB Agreement
CJV (40/30/30)
DJV (65/35)
O&M
Agreement
O&M during
Construction
O&M Works
Perform Audits
Contract Approach to Quality
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The premise of the Contract is self-monitoring/self-reporting by the
Concessionaire for any instances of non-conformances or Noncompliance
detected by the Concessionaire’s team. This approach maximizes the
Concessionaire’s control of the Project
The Contract includes a number of self-monitoring/reporting criteria:
– Construction Availability Faults e.g. Service Patrol, Pothole repair, etc.
• failure to meet minimum performance requirements
– Construction O&M Violations e.g. Lighting, Mowing,
• failure to meet minimum performance requirements
– Construction Closures
• all or part of any General Use Lane, Express Lane, ramps, streets,
etc. that is closed or blocked, or otherwise restricted
– Noncompliance
• any breach or failure in performance of obligations under the
Contract that will result in the assessment of Noncompliance
Points and Noncompliance Instances
Contract Approach to Quality
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FDOT Standards, Policies and Procedures for Design, Construction and
Maintenance apply
Use of FDOT pre-qualified Contractors and Consultants
Quality Assurance Manager and Quality Assurance Firm report to the
Concessionaire
– Design and Construction Submittal Certification
– Monitoring Design and Construction QA/QC Processes
• Trend Analysis and Process improvement
• Report nonconformances to the FDOT/COS
– Materials and Periodic Payment Certification
Persistent Nonconforming Work ramifications include
– Increased QC by the Concessionaire at no cost to the FDOT
– Increased QA by the Concessionaire at no cost to the FDOT
– Increased Oversight by the FDOT at the Concessionaire’s expense
Stringent Hand-back requirements at the end of the 40 Year term
FDOT sole authority to accept Nonconforming Work
Innovative Construction Inspection
• Today most large scale projects include the use of innovative
methodologies to assure conformance of the Contractor or
Concessionaire to the Contract Documents and to demonstrate
compliance with the Code of Federal Regulations. For the I-4
Ultimate Project the innovative approach to Construction
Inspection includes:
– Witness and Hold System used by QA/QC teams
– Owner Testing Plan utilized by the FDOT/COS
– Risk Based Audit Plan utilized by the FDOT/COS
Witness and Hold (W&H) Inspection
• The Concessionaire is employing the use of an electronic webbased system to facilitate both QC and QA inspection and to
document the Acceptance of the Work
• The W&H System is based on the FDOT Construction Critical
Inspection Guidelists, which have been reconfigured to create
Project specific QC Inspection Checklists and QA Inspection
Guidelists
– The Checklists/Guidelists also include Project specific
commitments from the Concession Agreement and the
approved Project Management Plan and Construction QA/QC
Plan
– The Checklists/Guidelists address everything from Erosion
Control to ITS and Micro-tunneling
Witness and Hold (W&H) Inspection
Witness and Hold QA Inspection
• Prior to beginning work on an element, a Work Request is
generated by the QC Manager. The Work Request is assigned a
unique identifier
• QC Inspectors log onto the system daily to enter their inspection
efforts and the associated results for each Project element using
the applicable electronic Checklist(s)
• Each completed Checklist also includes a narrative and photos
Witness and Hold (W&H) Inspection
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QA review and Acceptance of the Work is achieved through
the use of ‘Witness Point’ and ‘Hold Point’ Inspections
A ‘Hold Point’ represents a step in the construction of an
element when Production must stop for QA Inspection before
proceeding i.e. ‘pre-pour’ inspection prior to placing concrete
– The ‘Hold Points’ are identified on the QC Inspection
Checklist
A ‘Witness Point’ represents any aspect or step(s) in the
construction of an element that can be inspected by QA prior
to or at the time of a ‘Hold Point’ Inspection i.e. reinforcing
steel and form-work in the case of a ‘pre-pour’ inspection
QC Managers use the W&H System to schedule ‘Hold Point’
Inspections and/or QA Sampling and Testing
– Test-Sample Request – 24 hours advanced notice
– Inspection Hold Point Request – 48 hours advanced notice
Witness and Hold QA Inspection
• QA Inspectors log onto the system to enter their inspection efforts
and the associated results for each Project element using the
applicable QA Inspection Guidelist(s)
• Each completed Inspection Guidelist also includes a narrative and
photos
• Passing ‘Hold Point’ Inspections are ‘released’ in the W&H
System allowing Production to continue Work
Witness and Hold (W&H) Inspection
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In the event either QA or QC Inspections detect nonconforming
work, a Nonconforming Work Report (NCWR) is generated
within the W&H System
The NCWRs are associated with the Work Request identifier
and e-mailed to the Concessionaire, QA/QC representatives and
FDOT/COS
NCWRs require a Nonconformance Recovery Plan
NCWRs are discussed in Weekly Quality QA/QC meetings
NCWRs are used along with Open/Failing Material Samples to
offset Periodic Payments
Innovative Construction Oversight
Innovative Construction Oversight
The COS is responsible for the following:
• Review and coordination of all Construction Engineering and Administrative
Functions
• Independent Assurance (IA) and Owner Testing (OT)
– Monitor Concessionaire QA Program for compliance and effectiveness
• Construction and O&M Oversight
• Review and coordination of all Construction Engineering and Administrative
Functions:
• Managing Lane Closure requests and monitoring Corridor Mobility/Safety
• Monitoring the Project Schedule
• Monitoring EEO, DBE, SBE and OJT requirements
• Coordinating Submittal Review and Acceptance Tracking with RS&H
– RFC Plans and Shop Drawings
• Coordinating RFI Review and Responses with RS&H
• Coordinating the Disposition of Defective Material (DDM) process
• Tracking FDOT or 3rd Party Obligations
• Processing Supplemental Agreements and Payments
• Assisting FDOT’s Public Involvement Consultant
• Progress Reporting to FDOT and FHWA
• Monitoring Concessionaire Self-reporting
Innovative Construction Oversight
Independent Assurance (IA):
• Develop and Implement Project Specific IA Program
• Perform IA inspections of QC and QA operations
– Goal is to review 90% of the eligible technicians on site
• Perform IA sampling and testing as required
• IA results are used to monitor effectiveness of QA testing and to
validate Concessionaire’s QA/QC program
Innovative Construction Oversight
Owner Testing (OT):
• Develop and Implement Project Specific OT Plan
– LIMS/MAC Monitoring procedures
– Trend Analysis
– Weekly review with QAM and QC Manager
• Perform OT sampling and testing per VOL II, Section 3, Attachment 4,
Appendix I
– Use of Random Number Generator
– OT Sampling/Testing Frequencies derived from I-595
Express/Industry trends
• OT results are used to monitor effectiveness of QAF testing and to
validate Concessionaire’s Construction QA/QC Plan
– Resolution process established for OT – QA non-comparison
– Concessionaire provides Resolution Laboratory
Innovative Construction Oversight
Construction and O&M Oversight:
• Monitoring Concessionaire’s Compliance to Concession
Agreement using:
– Requirements Verification Database (RVD)
– Risk Based Audit Plan (RBAP)
– Frequency Audits
• Role is designed to focus on:
– Quality and Workmanship
– Manage Owner Risk
– Manage Costs and Monitor Schedule Progress
– Monitor Mobility and Corridor Safety
– Monitor EEO/Labor Compliance
– Monitor Community and Business Impacts
– Monitor and gauge accuracy of Concessionaire Self-reporting
Risk Based Audit Plan
Risk Based Audit Plan (RBAP)
• Identifies risks specific to the Project
• Rates those risks based on criteria specific to the Project and/or
Industry Practice /Standards
• Establishes an audit program based on the risks identified, which can
be adjusted based on actual performance and trends
• Audits and their results are integrated to a Concession Agreement
Requirements Verification Database or RVD
• Audits are conducted using the RBAP System
Risk Based Audit Plan
• For the I-4 Ultimate Project the RBAP is based on Project risks that are
focused on the specific Project elements that will be a part of the Final
Design, in addition to other requirements included in the Contract
Documents
• Distinct ‘Work Elements’ have been established to represent the
different Project elements such as Deck Placement – Category II,
Embankment, Erosion Control, Payrolls, etc.
• Each ‘Work Element’ falls into one of three audit categories:
• Risk Rated
• Frequency Based
• Ad-hoc
Risk Based Audit Plan
• Risk Rated ‘Work Elements’ are individually rated which sets their
audit priority
• Frequency Audited ‘Work Elements’ represent persistent or repetitive
risk e.g.
• Safety and Mobility (MOT Lane Closures or MOT Reporting, etc.)
• O&M Performance
• EEO, DBE, Payroll and OJT compliance
• Ad-hoc Audits can be either Risk Rated or Frequency Based ‘Work
Element’
Risk Based Audit Plan
• Risk Rated ‘Work Elements’
• For large scale projects, risk is typically rated using Qualitative
and Quantitative means:
– Probability of Occurrence (P)
– Impact of Occurrence (I)
– Detectability or Discovery of Occurrence (D)
– For the I-4 the COS Team added History of Performance (H)
• Associated with the specific requirements of the Contract
Documents (e.g. Specifications) or the Project elements
themselves (e.g. bridge foundation – mass concrete)
• Translated to a numerical value to establish its ranking and the
associated audit priority i.e. P x I x D x H = Risk Rating/Ranking
Risk Based Audit Plan
Risk Rated Work Elements – Jointly developed with FDOT during Workshops
Requirements Verification Database
• The Requirements Verification Database (RVD) is a compendium of
requirements extracted from the Contract Documents, which includes
but is not limited to:
• Volume I (Concession Agreement)
• Volume II (Technical Requirements)
• Volume III (Additional Mandatory Standards)
• Specifications and Standards associated with the Final Design
• Permits and other Project Commitments
• The requirements included within the Database form ‘data points’; to
date the COS Team has populated the RVD with over 10,000 individual
requirements
• The RVD also houses the Project record of each audit conducted and
facilitates analyzing audit results, associated trends and the possible
need to re-evaluate Project risks
RBAP Web Tool
RBAP Web Tool
• In order to maximize efficiency FDOT/COS has encapsulated the I-4
Ultimate RBAP into a web based platform or tool that automates many
of the processes involved:
• Houses the ‘Work Element’ audit templates
• Establishes the Audit Sample population, or ‘Work Elements’ to be
audited
• Assigns the ‘Work Element’ to the COS Audit Specialists based on
their Risk Rating and/or Frequency priority
• Captures Audit findings, including supporting objective evidence
such as photos, scanned documents, etc.
• Facilitates trend analysis and Audit data result reporting
• Archives Audit results within the RVD, integrating the associated
results to each requirement reviewed
RBAP Web Tool
• For those Risk Rated items, the COS creates a Monthly Audit Profile or
Audit Sample Size
• The Audit Profile is derived from the Concessionaire’s Construction
Schedule using a Risk Rating code cypher which translates Activities
into ‘Work Elements’
• The ‘Work Elements’ are separated into Risk Quartiles from ‘Very High’
to ‘Very Low’
• FDOT expects 50% of monthly audits in the ‘Very High’ Quartile
• FDOT expects 30% of monthly audits in the ‘High’ Quartile
• FDOT expects 10% of monthly audits in the ‘Low’ Quartile
• FDOT expects 10% of monthly audits in the ‘Very Low’ Quartile
RBAP Web Tool
Audit Profile - Quartiles
RBAP Web Tool
• The number of Audits conducted each month is based on a
statistically validated Audit Sample Population, or more simply the
minimum number of ‘Work Element’ Audits necessary to be
mathematically representative of the Concessionaire’s Activities
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Known Population (N) derived from the Progress Schedule (Number of Activities)
Assume 20% of Audits will illicit nonconformance findings (p)
Assume Confidence Interval (e) of 5% is desirable for Audit Sample accuracy
• Confidence Interval is +/- deviation from the Mean
The objective is to prove that the Audit Sample Size (n0) is representative of the
Known Sample Population. Following the Materials Model this is assumed to be a
95% Confidence Level (CL)
Using NIST Equation to calculate Audit Sample Size (n0)
• n0 = p x (1-p) x z2/e2
• z factor from Normal Distribution Probability Tables with 95% CL
Using the finite population correction formula below for a known Population, the
COS can derive the Audit Sample Size
• n = n0 / (1+ (n0 -1)/N)
RBAP Web Tool
• The COS Audit Specialists are assigned ‘Work Element’ Audits by the COS Risk
Manager. These Audits are reflected in the COS Auditor Specialist’s Dashboard
and can be launched by simply double ‘clicking’. The Risk Manager can assign
target or deadline dates as well
RBAP Web Tool
• Each ‘Work Element’ Audit is a fixed template that includes Audit data points
which are extracts from the Contract Documents. These templates can also be
customized by the Risk Manager without external Site Administrator Support
RBAP Web Tool
• The ‘Work Element’ Audit template guides the COS Audit Specialist through
their review and ensures consistency with the Contract Documents and their
quality/performance across the board
• For any requirement that is not satisfied, the RBAP Web Tool automatically
requires the Audit Specialist to collect and attach objective evidence (photo,
measurement, scanned document, etc.) and they must explain the specific
reason(s) for the nonconforming finding(s)
RBAP Web Tool
• Once the COS Audit Specialist has completed an Audit, it is saved and sent to
their Supervisor. The Supervisor reviews the Audit and if it is deemed accurate
and complete it is sent to the Risk Manager for final approval. At this point the
Audit and the associated results are filed within the RVD (Requirements
Verification Database) and any nonconformances are communicated to the
Concessionaire
• To save time for the Concessionaire in their response to nonconformances, the
RBAP Web Tool only sends or ‘pushes’ the individual nonconforming
requirement(s) to ProjectSolveSP for the Concessionaire’s response using an all
electronic dialogue or exchange with the Concessionaire, QAM, QAF, the O&M
Manager or QC Manager
RBAP Web Tool
Electronic dialogue in ProjectSolveSP
RBAP Web Tool
• The dialogue is designed to document, and provide an auditable/traceable
system that records:
• Proposed corrective action
• Proposed process improvements to the affected QA/QC Plan, Manual or
Project Management Plan
• FDOT/COS acceptance of the proposed mitigation
RBAP Web Tool
• This system of data capture and nonconformance reporting allows the FDOT to
identify, store and correlate Concessionaire performance to each requirement
included in the Contract using minimal resources, whilst also limiting
interference to the Concessionaire’s organization, process and procedures.
This data is used to:
• To validate the accuracy of the Concessionaire’s self-monitoring/reporting
processes
• Gauge the effectiveness of the Concessionaire’s Quality Assurance and
Quality Control processes
• Issue nonconformances and track and document their resolution
• Identify trends and analyze root causes such that the Concessionaire can
work to improve the quality of the Work
• Demonstrate compliance with the Code of Federal Regulations
RBAP Web Tool
The system also provides for data analysis and reporting. Some examples:
Innovative Construction Inspection
• Questions?