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April 7, 2016
O&M
Quality Assurance DB Agreement O&M Works
Agreement
DJV (65/35)
I4MP (Concessionaire)
Role/Responsibility
Florida Department of
Transportation
Responsible for
compliance to the
Contract
Concession
Agreement
Equity
Contribution Financing
Sponsors (50/50) Agreement Agreements
Lenders
O&M
Quality Assurance DB Agreement O&M Works
Agreement
DJV (65/35)
SGL (Contractor)
Role/Responsibility
Responsible to deliver
Florida Department of
Transportation
all Design, Construction,
Operations and
Maintenance Work
Concession conforming to the
Equity
Agreement Contract
Contribution Financing
Sponsors (50/50) Agreement Agreements
Lenders
O&M
Quality Assurance DB Agreement O&M Works
Agreement
DJV (65/35)
Quality Assurance Manager (QAM)
Role/Responsibility
Monitor conformance of the
Florida Department of I-4MP Project Team to the
QAM is an Individual
Transportation requirements of the
Contract, including leading
the administration of the
Concession
Agreement
approved Design and
Equity Construction QA/QC Plans
Contribution Financing
Sponsors (50/50) Agreement Agreements
Lenders
O&M
Quality Assurance DB Agreement O&M Works
Agreement
DJV (65/35)
Quality Assurance Firm (QAF)
Role/Responsibility
Monitor conformance of
Florida Department of
Transportation SGL and their QC Firms to
QAF is a firm of inspectors, the requirements of the
material testers, approved Plans and
Compliance specialist Concession Specifications.
Agreement
Equity
Contribution Financing
Sponsors (50/50) Agreement Agreements
Lenders
O&M
Quality Assurance DB Agreement O&M Works
Agreement
O&M
Quality Assurance DB Agreement O&M Works
Agreement
DJV (65/35)
Construction Oversight Services (HNTB)
Role/Responsibility
Administer the Contract on
Florida Department of behalf of the FDOT and to
Transportation oversee the compliance of
I4MP Project Team to the
Contract requirements as it
Concession relates to Construction, O&M,
Agreement
Equity Federal Compliance, etc.
Contribution Financing
Sponsors (50/50) Agreement Agreements
Lenders
O&M
Quality Assurance DB Agreement O&M Works
Agreement
DJV (65/35)
Contract Approach to Quality
• 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 – Jointly developed with FDOT during Workshops
Requirements Verification Database
• 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
• 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
• 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?