ACEC/NHDOT Technical Exchange Conference

April 7, 2016

Innovative Construction Inspection

 Project by the Numbers

• 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
• + 3,800,000 SF of MSE Walls
• + 577,000 SY of Concrete Pavement
• + 908,000 TN of Asphalt
• Increase posted speed 50mph to 60mph
Project by the Numbers
 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
Florida Department of
Transportation
Owner
Contracted with
I-4 Mobility Partners
Concession
Agreement
Equity
Contribution Financing
Sponsors (50/50) Agreement Agreements
Lenders

O&M
Quality Assurance DB Agreement O&M Works
Agreement

CJV (40/30/30) O&M during

Construction

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

CJV (40/30/30) O&M during

Construction

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

CJV (40/30/30) O&M during

Construction

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

CJV (40/30/30) O&M during

Construction

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

Support I4MP in the

CJV (40/30/30) O&M during
Construction monitoring of EEO
/Labor Compliance of
the I4MP Project
DJV (65/35)
Team
 Technical Advisor (RS&H)
Role/Responsibility
Review of all Design related
Florida Department of submittals, including
Transportation providing technical advisory
services to the FDOT for RFIs,
proposed modifications to
Concession the Contract, repair
Agreement
Equity procedures, etc.
Contribution Financing
Sponsors (50/50) Agreement Agreements
Lenders

O&M
Quality Assurance DB Agreement O&M Works
Agreement

CJV (40/30/30) O&M during

Construction

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

CJV (40/30/30) O&M during Perform Audits

Construction

DJV (65/35)
 Contract Approach to Quality

• 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
• 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 web-

based 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

• 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

• 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
– QAM is empowered to accept corrective action for select items
identified by the ‘Engineer’s Rider’; all other proposed corrective
action is approved by FDOT/COS
• 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

• 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

 O&M audits conducted to date 767

o Percent conforming 81.1% R
 Contract requirements reviewed 3,797
 Percent conforming 94.8% E
 Construction audits conducted to date 730
o Percent conforming 59.2%
S
 Contract requirements reviewed 7,165 U
 Percent conforming 92.8%
 MOT Requirements reviewed 1,782 L

 Percent conforming 93.6%
Risk Based audits conducted to date 317
T
o Percent conforming 51.4% S
 Contract requirements reviewed 3,861
 Percent conforming 92.9%
 Innovative Construction Inspection

• Questions?