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Publication Number:  FHWA-HRT-15-008    Date:  July 2016
Publication Number: FHWA-HRT-15-008
Date: July 2016


Analysis of Construction Quality Assurance Procedures on Federally Funded Local Public Agency Projects


This appendix contains table 13, which summarizes information from LPA guidance manuals, if it exists, by State.

Table 13. LPA guidance manuals.

State Date LPA Manual or Other Guidance Related to QA Other Information
Alabama N/A None N/A
Alaska N/A None N/A
Arizona N/A None Construction administration procedures (including materials testing and construction inspection) are reviewed as part of the LPA certification process.
Arkansas N/A None N/A
California 10/5/2012 Different requirements for projects that are on versus off the NHS.

For projects that are off the NHS, LPAs may adopt their own QA program, which shall include as a minimum: Acceptance Testing, IA, and Testing of Manufactured Materials. If the LPA uses Caltrans test methods, Caltrans will perform the IA if requested.

For projects on the NHS, LPA must follow the Caltrans QAP.
Comprehensive guidance

In addition to its Local Assistance Procedures Manual, Caltrans also maintains a QA Program Manual for Use by Local Agencies (December 2008).

LPA may use the Caltrans laboratory if Caltrans “local assistance work for others” resources are available.
Colorado N/A For projects that are constructed partially or entirely within CDOT ROW, within any roadway template, that add lanes, or have other work activities as determined by the CDOT Resident Engineer, the LPA must use inspectors that have successfully completed CDOT’s Construction Inspector Qualification Program. For projects on the NHS, LPA must follow the Caltrans QAP.

The CDOT Construction Manual gives guidelines on how each item should be inspected and documented.

With regard to materials, LPAs are referred to the current CDOT Field Materials Manual.

The LPA approved laboratory will perform the laboratory verification tests (refer to the Central Lab column in the CDOT Field Materials Manual QA schedule) at the frequency in the Field Materials Manual and/or in the specifications.

Manufactured products are typically accepted based on Pre-Inspection, Certified Test Reports, Certificates of Compliance, Pre-Approval (listed on CDOT’s approved products list Web site), or a combination thereof.
Approval of mix designs—CDOT versus LPA
Connecticut 7/2008 The Municipality through the State of Connecticut Division of Materials Testing shall test all materials being incorporated in the work. None
Delaware N/A None N/A
Florida N/A The District LAP Administrators regularly review LPAs, which includes reviewing the sampling and testing record. Training
LPA webpage links to Caltrans and WSDOT’s LPA webpages
State has Oversight Plan
Georgia 2009 The GDOT Project Manager will assist the local government with understanding its material source approval responsibilities, rejection of materials procedures, batch material delivery ticket acceptance and retention procedures, materials sample and tests assurance procedures, and IA testing procedures.

LPA is to use the QPL.

QA must be done in accordance with 23 CFR 637 and GDOT’s Sampling, Testing, and Inspection Manual.

Consultants must be prequalified.

GDOT does IA.
Hawaii N/A None N/A
Idaho 7/2004 Limited guidance. When estimating the total cost of a project, 10 percent should be added to address construction engineering.

IDT will make a final inspection before the project is accepted on behalf of IDT and the LPA.
Illinois 1/2012 All materials that are used for construction will be inspected and tested for compliance with the requirements of the IDOT Standard Specifications, the Project Procedures Guide, and the Project Special Provisions.

Supervision and inspection will be performed in accordance with the IDOT Construction Manual.
Indiana 4/18/2012 All professional services leading to federally funded construction must be performed by INDOT prequalified consultants or by LPA in-house staff who have been approved by INDOT as having the same technical qualifications specified for consultants.

All PEs and construction inspectors must be trained and certified through the INDOT certified construction technician training and INDOT QA training programs.
Iowa N/A Construction inspection procedures under development. N/A
Kansas N/A References the KDOT Construction Manual.

KDOT area office heavily involved.
Separate guidance provided for bridge inspection.
Kentucky 1/31/2012 Limited. Training provided on the LPA Guide.
Louisiana N/A None N/A
Maine N/A For projects on the NHS, LPA may adopt the State’s QA program or develop one of its own that is consistent with the CFR and is approved by the State transportation department and FHWA.

For projects off the NHS, the LPA should have a program that is acceptable to the State transportation department, and that includes the six core elements.
FHWA LPA Training Materials are posted on the Web site.

Manual on Construction Documentation.
Maryland N/A None Primary focus is on bridge program.
Massachusetts N/A None Focus is on ROW.
Michigan N/A None N/A
Minnesota N/A Guidance provided on recordkeeping (e.g., Daily Diary), quantities.

QA program addresses acceptance, materials certification, and IA.

All testers must be certified (Mn/DOT offers certification program).
State aid for local transportation was set up to help administer project.
Missouri N/A IA performed by MoDOT.

Small quantities of materials may be accepted for an LPA project based on some combination of certification documentation, delivery tickets, and visual inspection.

The MoDOT district representative shall periodically review the local project to verify that project administration procedures are adequate. A LPA Site Visit Checklist has been formulated to be used as a guide when visiting a LPA site. The checklist covers a wide range of details related to project administration and should be used as a guide by the LPA. The frequency of the site visits will be at the discretion of the MoDOT district representative and the adequacy of the LPA’s administration. At least one visit and review at the beginning of the project and near the end of the project shall be conducted.
Site visit checklist.
Montana 5/07 Source of each type of material must be approved by the LPA.

LPA may submit its construction oversight plan to the State transportation department for review and comment. Will generally following the State Construction Manual, with some approved exceptions (e.g., may perform its own IA sampling; certain items such as fencing, electrical items, geotextile, etc., may be accepted with an approved catalogue cut).

Project Closure process includes verifying that the LPA prepared a materials certification form.
Nebraska N/A Comprehensive and detailed guidance.

References the CFR, the NDOR Construction Manual, and Materials Sampling Guide.

NDOR representative to provide guidance, review LPA’s documentation, and visit site regularly.

For projects on the NHS, the Nebraska QA program is incorporated.

For projects off the NHS, the LPA may develop its own QA program or can defer to the Materials Sampling Guide.

NDOR representative conducts final walk through along with the LPA.
Nevada 4/2010 Limited guidance.

Directed to use NDOT’s Construction Manual.

LPA to develop an IA program in accordance with NDOT Construction Manual.

NDOT Materials Division will approve asphalt and cement mix designs for use on projects within NDOT’s ROW.

NDOT resident engineer performs oversight based on major versus minor project; whether or not project will be maintained by NDOT.

NDOT resident engineer performs a final inspection along with the LPA project manager.
New Hampshire 3/12 LPA to develop and submit to NHDOT a QA program for each project based on the NHDOT Quality Assurance Program for Municipally Managed Federal-Aid Projects.

NHDOT performs IA.
New Jersey N/A None Project selection; overview of Federal-aid program.
New York N/A None Manual for Uniform Record Keeping.
North Carolina 4/2009 NCDOT inspects and approves all projects. None
North Dakota 5/2008 Reference the North Dakota Construction Records Manual, Field Sampling and Testing Manual, and Field Office Procedures Manual.

Guidance provided on calculating quantities.

NDDOT has an audit team that regularly inspects construction contracts for documentation, materials and sampling procedures.
Ohio N/A Limited; assumes a consultant will be used. Guidance on procuring consultants.
Oklahoma N/A None N/A
Oregon N/A LPAs are to use the State transportation department construction manual. None
Pennsylvania N/A None N/A
Rhode Island N/A None N/A
South Carolina N/A The LPA (with assistance from the SCDOT resident construction engineer) should prepare a minimum sampling requirements checklist in accordance with SCDOT Office of Materials and Research and SCDOT’s Construction Manual. Inspection and acceptance testing by the LPA should be performed at the frequency, and with the methods, specified in the Construction Manual or as recommended by the manufacturer. All testing should be performed by an AASHTO accredited laboratory and the disposition of non-conforming materials should be documented by the LPA and approved by the resident engineer or designee. IA testing will be performed by SCDOT. Checklists and forms.
South Dakota N/A None N/A
Tennessee 2/1/2011 The TDOT regional construction manager and materials and tests manager will each assign a TDOT representative to participate in the project preconstruction conference.

CEI firm to be certified according to TDOT SOPs; sampling and testing in accordance with SOPs.

TDOT conducts verification sampling and testing.

TDOT conducts IA.
TDOT checklists and forms
Utah 3/10 Consultants performing construction engineering must be certified.

Follow UDOT construction and materials manuals.
Vermont 4/09 LPAs are given two options:

When soliciting proposals for construction engineering, the municipality includes in the scope of work that the engineer will be responsible for arranging for independent testing services in accordance with the approved material sampling and testing plan. The engineer will then oversee the sampling and testing and will provide certification to the municipal project manager for final acceptance.

The municipality includes the approved material sampling and testing plan in the contract bid documents and relies on the chosen contractor to arrange for independent testing services and oversees all such testing. All results would be detailed and certified to the municipal project manager for final acceptance.
Virginia N/A The LPA is referred to the VDOT Construction and Inspectors Manuals for guidance regarding project inspection and monitoring.

The VDOT construction project monitor will provide oversight inspections of Federal-aid and VDOT-maintained projects. The Construction Manual provides detailed guidance for the specifications contained in the VDOT Road and Bridge Specifications. The Inspectors Manual contains a series of tables that identify the primary inspection duties for major categories of work.
VDOT conducts annual assessments of LAPs.
Washington 6/12 Comprehensive guidance manual.

QPL or Request for Approval of Material.

Qualified tester program (for projects on the NHS using Federal funds)—agency can contract with WSDOT to fulfill requirement, can pursue qualification through WSDOT program, or use an accredited laboratory.

LPA can use the WSDOT forms or can create its own, as long as the same information is provided.
Construction inspection, acceptance sampling and testing, etc. are part of Certification Acceptance process.

WSDOT conducts regular QA reviews of local agency bridge programs (minimum of once every 3 years).

Training provided for LPAs.
West Virginia N/A None N/A
Wisconsin N/A None N/A
Wyoming N/A None Guidance on consultant selection.
N/A = Not Applicable



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