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Quality Assurance and Quality Control for Locally Let Projects Who does what, and why? October 20, 2009

What is QA/QC?

Quality Assurance/Quality Control:

Establishes minimum requirements and procedures to verify that contract requirements are followed. Establishes uniform procedures for handling certain contractor submittals. Establishes procedures to follow if the Contractor is not adhering to contract requirements. Establishes quality requirements for products produced by the Construction staff, i.e., documentation.

What is QA/QC?

Quality Assurance/Quality Control:

Sets policy on matters not spelled out in detail in the specifications. Identifies relevant resource documents and references. Provides guidelines on completing forms developed to administer contracts

Why do we need to do this?

Per 23 CFR § 635.105 (a) DOT is not relieved of our oversight obligations regarding Federal funds even if we choose to delegate to the Sponsor(s). 23 CFR § 637.205 (a) mandates a QA/QC program for Federal Aid projects. If acceptable procedures aren't followed, FHWA aren' may deny funding for all or part of a project

Who does what, and why?

The Sponsor (that's you!) performs Quality (that' Control NYSDOT performs Quality Assurance (second check) Sponsors must submit to NYSDOT a Project Management Plan (PMP). The Construction Management Plan (CMP) is only part of the Project Management Plan. 23 CFR § 635.105 specifies oversight requirements.

Who does what, and why?

The "Manual of Uniform Record Keeping" Keeping" (MURK) Part 1A is the NYSDOT Contract Administration Manual (CAM). This is DOT's Project Management "Bible". DOT' Bible" Every line of the MURK evolved from a Federal requirement or a problem. It's 300 pages- because it needs to be! It' pages-

Who does what, and why?

While we can't require Sponsors to use the can' CAM, we strongly recommend it. CAM procedures have been reviewed and approved by FHWA. If using your own procedures, they will need to be reviewed and approved by FHWA. These approvals will delay the project.

Who does what, and why?

NYSDOT lets over 400 Federal Aid Projects per year for the State system alone. We have the resources and expertise to help you navigate the Federal Aid process. Our goal is to prevent problems before they happen. Procedures for Locally Administered Federal Aid Projects (PLAFAP) is our "how to" manual to" on Local Projects.

Project Management

Project Management is the discipline of planning, organizing, and managing resources to bring about the successful completion of specific project goals and objectives. A project is a limited event ­ it has specific start and completion dates.

The Project Manager

Works on the project as a whole, not on specific tasks. Tries to "get everyone on the same page" and page" prevent problems before they happen. Needs to be able to envision the entire project from start to finish, and have the authority to make it happen. If using an engineering consultant, per 23 CFR 635.105 (4) the Sponsor must provide a full time employee to oversee the project.

The Project Management Triangle

Time = Project Schedule Cost = Project Budget Scope = What the project accomplishes

The Project Management Triangle

Variation on the "better, faster, cheaper" cheaper" model. A change in one part affects the other two

The Project Management Triangle

Quality is controlled by verifying that the contractor follows the specifications DOT specifies materials, methods, and equipment

The Project Management Triangle

A Project Management Plan helps ensure that the project is completed, on time, and within budget.

Beware of the "Scope Creep"!

What is "scope creep"?

Scope creep in project management refers to uncontrolled changes in a project's scope. project' It is also referred to as focus creep, requirement creep, feature creep, and sometimes "kitchen sink syndrome". syndrome" This can occur when the scope of a project is not properly defined, documented, or controlled. It is generally considered a negative occurrence that is to be avoided.

What is "scope creep"?

Scope creep can be a result of: poor change control lack of proper initial identification of what is required to bring about the project objectives weak project manager or executive sponsor poor communication between parties Scope creep is a risk in most projects. Most "megaprojects" fall victim to scope creep megaprojects" Scope creep often results in cost overrun.

The Construction Management Plan

Part of the Project Management Plan Includes six sections, as follows:

Supervision Contract and Project Requirements Contract Administration Construction Inspection Coordination with Others Close-out Close-



a. b. c. d. e. Supervision of Project

Agencies - roles and responsibilities Consultant (if applicable) and funding Staff (with titles) for each involved agency roles and responsibilities Inspector Qualifications - List qualifications each involved person has. Hierarchy of Supervision (chain of command) - include organization chart

II. Contract and Project Requirements

a. b. c. d. e. f. g. h. Disadvantaged Business Enterprise (DBE) goal Equal Employment Opportunity (EEO) goals Permits - include special conditions Requirements of railroads and utility companies Commitments made to other municipalities, emergency service providers, schools, etc. Commitments contained in Design Approval Document that are to be fulfilled during construction Special requirements As-built preparation As-

III. Contract Administration

a. b. c. d. e.

Subcontractor Approval Process Change Order Approval Process Procedures to Ensure DBE Compliance Procedures to Ensure EEO Compliance Wage Rate Compliance Procedures (example= wage rate interviews) f. Procedures to Ensure Worker Safety (example= compliance with contractor's Health contractor' and Safety Plan) g. Claim and Dispute Resolution Procedures h. Scheduling and Time Extensions i. Record Keeping and Record Retention Procedures

IV. Inspection


Inspection Plan - describe methods to provide adequate inspection to ensure project is completed in conformance with approved plans and specifications Quality Assurance / Quality Control Plan Material Testing Procedures Shop Drawing Approval Process

b. c. d.

V. Coordination with Others

a. b. c. d. e.

Anticipated efforts to ensure compliance with permits Anticipated efforts to coordinate with affected utility companies and railroads Anticipated efforts regarding coordination with other municipalities, emergency service providers, schools, etc. Anticipated efforts to ensure satisfaction of unfulfilled commitments made in Design Approval Anticipated efforts to address all special requirements

VI. Close-Out Closea.

Contract Acceptance and Close-Out CloseProcedures (PLAFAP Chapters 15 & 17)

What resources are there to help?

NYSDOT Publications

Procedures for Locally Administered Federal Aid Projects (PLAFAP) dm/local-programs-bureau dm/local- programsMURK 1A Contract Administration Manual (CAM) NYSDOT Highway Design Manual design/dqab/hdm

What resources are there to help?

NYSDOT Standard Specifications (also see Chapter 9 PLAFAP) Weighted Average Bid Price design/dqab/waipr Approved Materials List echnical-services/materials-bureau echnical- services/materials-

What resources are there to help?

NYSDOT Experts

Expert Advice Materials Testing Plant inspections

What resources are there to help?

FHWA Resources

Introduction to the Federal-Aid Process Federal Fiscal Integrity Review & Evaluation (FIRE) Project Level Reviews FIRE review checklist & interview checklist FHWA NY Division- Consultant Checklist DivisionInspection Report (standard form) Local Public Agency (LPA) Process Review Results 2006

Any Questions?

NYSDOT Local Programs Bureau 50 Wolf Road POD 5-2 5Albany, NY 12232 (518) 485-9959 [email protected] MO-


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