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Quality Assurance in Materials and Construction

Appendix C

Questions for Division Office

  1. General: For DA/ADA Meeting
    • 1.1. What are your goals for the QA program? What does the Division Office hope to accomplish with this program?
    • 1.2. Stewardship
      • 1.2.1. Who has the responsibility for the stewardship of the QA Program?
      • 1.2.2. What is the background and training of this individual in quality assurance?
      • 1.2.3. How long have they been responsible for the QA program?
      • 1.2.4. Does this individual have approval authority for the QA program?
    • 1.3. Staffing
      • 1.3.1. Discuss the QA role of others in your office.
      • 1.3.2. Has anyone in the Division attended any training in topic areas covered by QA? What training was attended?
      • 1.3.3. In general, do you feel that your staff are adequately trained and of sufficient quantity to play a significant role in the QA program?
      • 1.3.4. How are QA program activities incorporated or reflected into individual performance plans?
      • 1.3.5. What commitment of resources is captured in the Individual Performance Plan (planned hours, percentage of effort, GOE)?
    • 1.4. Risk Assessment
      • 1.4.1. Has the Division Office conducted a risk assessment in the Material Quality Assurance area? If so, what was the score? How did this rank within your Division Office?
      • 1.4.2. Did the Division Office develop risk statements in the Materials Quality Assurance area? If so, what are they?
      • 1.4.3. Explain any concerns with the QA program in your State.
    • 1.5. Project Performance
      • 1.5.1. Explain any concerns with the performance of construction projects in your State and are they related to the QA program.
      • 1.5.2. If you have premature failures, is there a formal means to address these failures and prevent their reoccurrence?
    • 1.6. How does the interaction take place between the Division Office and STD in the area of development and continuous reevaluation and refinement of quality assurance programs?
    • 1.7. How does the Division Office evaluate the overall effectiveness of the State's Quality Assurance Program?
    • 1.8. Have Division Office efforts led to changes/improvements in the Quality Assurance Program?
  2. General (for staff):
    • 2.1. Guidance
      • 2.1.1. What guidance is the Division Office using on QA program issues?
      • 2.1.2. How was this guidance used?
      • 2.1.3. What would you change about existing guidance?
      • 2.1.4. What additional guidance would be helpful?
    • 2.2. Approval
      • 2.2.1. How are the STD's QA Program requirements documented? (Agency Construction Manual, Materials Manual, other documents, etc.)
      • 2.2.2. When was the last formal approval of the State's quality assurance program? Is this program approved in whole or by parts?
      • 2.2.3. What was the form of the approval? (written letter, verbal, other)
      • 2.2.4. Is a review/approval of the program conducted by the Division Office and if so what period is used?
      • 2.2.5. Does the State periodically amend the Program?
      • 2.2.6. Explain the amendment approval process.
      • 2.2.7. Does your QA program differentiate between State Oversight and FHWA Oversight projects?
      • 2.2.8. Does your QA program differentiate between NHS and non-NHS projects?
      • 2.2.9. Does your QA program differentiate between Federal-aid and non-Federal-Aid projects?
      • 2.2.10. Does your QA program differentiate between State administered and LPA administered projects?
    • 2.3. Emphasis
      • 2.3.4. Is the QA program an emphasis area at the staff level?
      • 2.3.5. Does the Division Office management ask you questions about the QA program? Does it fall within the Division Offices top priorities?
      • 2.3.6. Explain the Transportations Engineer's role in the QA program.
  3. Contractor Quality Control (QC) - Process Control
    • 3.1. Explain the State requirements for contractor QC and how QC test results are used.
    • 3.2 Is the Division Office satisfied that the State's QC requirements provide adequate control of the production process? Does this match with project performance?
    • 3.3. Is the contractor required to have qualified/certified testers and laboratory facilities?
    • 3.4. How are the contractor's QC activities verified? Are reviews and supervision of such work documented?
    • 3.5. QC Plans
      • 3.5.1. Are formal QC Plans required? If they are required, what items are they applied to and how are they used?
      • 3.5.2. Are they approved by the State?
    • 3.6. Does the QA program require other contractor QC submittals during project construction (e.g. control charts, etc.)? If so, are these being used effectively by contractors to monitor construction activity?
    • 3.7. Have there been issues/problems with QC? If yes, please describe.
    • 3.8. What role does the Division Office play in evaluating contractor QC performance?
    • 3.9. How does the Division Office evaluate the overall effectiveness of the contractor quality control?
  4. Agency Acceptance
    • 4.1. What role does the Division Office play in the development of the State's acceptance process?
    • 4.2. Inspections and Testing - Acceptance consists of inspection and testing.
      • 4.2.1. What criteria does the Division use to evaluate the State's balance between inspection and testing?
      • 4.2.2. Explain the State's process for determining appropriate inspection levels, including both staffing and qualifications, for projects. Has this process been approved by the Division Office?
      • 4.2.3. How does the Division Office determine that projects are adequately inspected?
    • 4.3. Approved Sources/Approved Materials
      • 4.3.1. Does the State have an "Approved Sources/Approved Materials" list?
      • 4.3.2. Has the Division approved the process for maintaining this listing? How does the Division Office monitor this list?
    • 4.4. Project Produced Material
      • 4.4.1. Has the Division Office approved the State's testing regime for project-produced materials (asphalt, concrete, gravel, etc)?
      • 4.4.2. What basis was used to determine appropriate tests, frequencies, and acceptance criteria?
      • 4.4.3. Describe your State's process for acceptance of small quantities or non-critical items.
      • 4.4.4. How does the Division Office monitor project-level testing to assure the State operates in accordance with the approved procedures?
      • 4.4.5. If a project deviates from approved procedures, is the Division Office consulted/advised by the State?
      • 4.4.6. Who makes the participation decision in these circumstances?
    • 4.5. Contractor Test Results
      • 4.5.1. Does the State use contractor test results in the acceptance decision? If No, skip to question 4.6
      • 4.5.2. How are the contractor's results verified? Are reviews and supervision of such work documented?
      • 4.5.3. Have there been problems in this area? If yes, how were they identified and what role did the Division Office play in their resolution?
      • 4.5.4 Has the State's process for verifying the contractor test results been approved by the Division Office?
      • 4.5.5. Does your process follow TA 6120.3? If not, what process are you using?
      • 4.5.6. Do you have suggestions for improving TA 6120.3?
      • 4.5.7. Was the guidance in "Evaluation of Procedures for Quality Assurance Specifications" FHWA-HRT-04-046 and "Optimal Procedures for Quality Assurance Specifications" FHWA-RD-02-095 used in setting up your acceptance program?
    • 4.6. Have Division Office efforts led to changes/improvements in the Acceptance Program?
    • 4.7. How are project Materials Certificates reviewed by the Division?
    • 4.8. How does the Division Office evaluate the overall effectiveness of the State's Acceptance Program?
  5. Agency Independent Assurance (IA)
    • 5.1 Describe your States IA program.
    • 5.2 Has the Division Office approved the IA Program? If yes, what criteria were used?
    • 5.3 How often does the Division Office evaluate the IA Program?
    • 5.4 If systematic IA is used, does the Division Office receive an annual report from the State? Is the report formally approved?
    • 5.5 IA Contractor Testing
      • 5.5.1 If contractor test results are used in the acceptance decision, how are contractors evaluated by IA?
      • 5.5.2 Have there been problems with this? If yes, what role has the Division Office played in identifying and resolving the problems?
      • 5.5.3 Is the Division Office comfortable with the process of IA evaluation of contractor testing?
    • 5.6 Have there been problems in the area of Independent Assurance? If yes, how were they identified and what role did the Division Office play in their resolution?
    • 5.7 How does the Division Office evaluate the overall effectiveness of the State's Independent Assurance Program?
  6. Dispute Resolution for Material Test Results
    • 6.1 Does your State offer dispute resolution for materials test results to the contractor? If no, why not? If yes, describe the system.
    • 6.2 Do you feel your system offers a balanced approach and appropriately balances risk between the State and the contractor?
    • 6.3 What criteria were used in approving the dispute resolution system?
    • 6.4 How does the Division Office monitor dispute resolution and have any changes/improvements occurred because of Division Office monitoring activities?
    • 6.5 How does the Division Office evaluate the overall effectiveness of the State's Dispute Resolution Program?
  7. Laboratory Accreditation and Qualification
    • 7.1 How does the Division Office monitor the State's central laboratory accreditation?
    • 7.2 Does the State have other testing facilities other than the central lab? Are these labs accredited or qualified? 7.2.1 If yes, how are these facilities deemed "qualified?"
      • 7.2.2 Has the Division Office approved this process and how is it monitored?
    • 7.3 What sources of information has the Division Office used to develop its laboratory monitoring program/process (regulations, TA's, past experience, etc).
    • 7.4 How does the Division Office evaluate the overall effectiveness of the State's Laboratory Accreditation and Qualification Program?
  8. Personnel Qualification/Certification
    • 8.1. Describe how personnel qualified/certified, as required by the regulations?
    • 8.2. Describe the Division Office role in any regional or in-house certification program the State may have.
    • 8.3. What criteria did the Division Office use when approving the qualification/certification program or its modifications?
    • 8.4. Has the Division Office approved deviations from FHWA policies or guidance in this area? If yes, briefly explain the deviation.
    • 8.5. How does the Division Office evaluate the overall effectiveness of the State's Personnel Qualification/Certification Program?
  9. Support and Improvements
    • 9.1. Is the Division Office provided adequate support that it needs to manage/improve the QA program by the following: If not, indicate what improvement you would like to see changed/developed/implemented.
      • 9.1.1. Office of Infrastructure?
      • 9.1.2. Resource Center?
      • 9.1.3. Other Division Offices?
      • 9.1.4. Existing regulations?
      • 9.1.5. Existing technical advisories, checklists, and/or guidance?
      • 9.1.6. Existing training opportunities?
      • 9.1.7. Computer programs or other tools to evaluate the State's program?
    • 9.2. How can the evaluation, approval, and monitoring process of the QA program be improved at the Division Office level?
    • 9.3. How can FHWA leadership (Headquarters) improve the QA programs at the Division Office level?
    • 9.4. Any concluding comments from the Division Office or thoughts on the review?

Questions for State Transportation Agency

  • STA-1. In the Quality Assurance area, are FHWA's requirements clear to you? If not, provide examples needing clarification.
  • STA-2. Describe your interaction with the Division Office in the QA program.
  • STA-3. What are your expectations concerning Federal stewardship of the FHWA QA program?
  • STA-4. Do you receive the information you need to administer QA on the Federal-aid program? Can you provide specific examples?
  • STA-5. How can FHWA be a better partner in the QA area? What would you like us to take back with us to communicate to our management?
  • STA-6. Do you jointly review the QA program with your local Division Office on a regular basis?
  • STA-7. How do you work with the Division Office in the approval/amendments to your QA program?
  • STA-8. If there are concerns with adequate testing, Federal participation, or potential fraud how do you work with the Division Office to resolve this issue?
  • STA-9. What are the biggest challenges facing your organization in the administration of the QA program on the Federal-aid program?
  • STA-10. Do you contact any FHWA personnel outside of your local Division Office for assistance with QA issues? If yes, please explain.
  • STA-11. Have you discussed the Division Office's risk assessment of the QA program?
  • STA-12. What tools/training could FHWA provide that would be useful to you?
  • STA-13. Is there anything else you would like to add?

Questions for Consultants

  • C-1. Describe the role of consultants in the QA program.
  • C-2. Describe your interaction with FHWA Division Office in the QA program.
  • C-3. Do you consider the FHWA Division Office a resource in this area?
  • C-4. How would you improve FHWA's QA program requirements?
  • C-5. How do you assure your staff are properly trained and qualified to meet FHWA's QA requirements?

Questions for Industry

  • I-1. Describe the role of consultants in the QA program.
  • I-2. Describe your interaction with FHWA Division Office in the QA program.
  • I-3. Do you consider the FHWA Division Office a resource in this area?
  • I-4. How would you improve FHWA's QA program requirements?
  • I-5. How do you assure your staff are properly trained and qualified to meet FHWA's QA requirements?
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