Quality Assurance Procedures for Construction |
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Rodney E. Slater
Federal Highway Administration
12 July 1994
[Federal Register Volume 59, Number 132 (Tuesday, July 12, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-16718]
[[Page Unknown]]
[Federal Register: July 12, 1994]
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DEPARTMENT OF TRANSPORTATION
Federal Highway Administration
23 CFR Part 637
[FHWA Docket No. 94-13]
RIN 2125-AD35
Quality Assurance Procedures for Construction
AGENCY: Federal Highway Administration (FHWA), DOT.
ACTION: Notice of proposed rulemaking (NPRM); request for comments.
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SUMMARY: The FHWA is requesting comments on proposed revisions to its
regulation which establishes general requirements for quality assurance
procedures for construction on Federal-aid highway projects. The
proposed revisions will clarify existing policy and procedures and
provide additional guidance on the use of contractor- supplied test
results in acceptance plans and qualifications of laboratories and
testing personnel.
DATES: Comments must be received on or before September 12, 1994.
ADDRESSES: Submit written, signed comments to FHWA Docket No. 94-13,
Room 4232, HCC-10, Office of the Chief Counsel, Federal Highway
Administration, 400 Seventh Street, SW., Washington, DC 20590. All
comments received will be available for examination at the above
address from 8:30 a.m. to 3:30 p.m., e.t., Monday through Friday except
legal Federal holidays. Those desiring notification of receipt of
comments must include a self-addressed, stamped postcard.
FOR FURTHER INFORMATION CONTACT: Mr. Michael Rafalowski, Office of
Engineering, HNG-23, 202-366-1571; or Mr. Wilbert Baccus, Office of the
Chief Counsel, HCC-32, 202-366-0780; Federal Highway Administration,
400 Seventh Street, SW., Washington, DC 20590. Office hours are 7:45
a.m. to 4:15 p.m., e.t., Monday through Friday, except legal Federal
holidays.
SUPPLEMENTARY INFORMATION:
Background
The current regulations on sampling and testing of materials and
construction appear in 23 CFR Part 637 (1993), Construction Inspection
and Approval. These regulations were last revised in January of 1987.
The regulations were written around the traditional approach of the
State performing all the sampling and testing. The regulations do not
address the use of contractor testing. As a result, a number of
questions arose in those States and Federal Highway Administration
(FHWA) Federal Lands Highway offices which were using contractor
testing in their quality control/quality assurance (QC/QA) programs.
Since the existing regulations do not recognize the use of
contractor testing results in the acceptance program, which is the
process of accepting materials and construction, an internal committee
was established in 1992 to study the ramifications of using contractor-
performed sampling and testing results. The committee released the
results of its study in a report, ``Limits of Use of Contractor
Performed Sampling and Testing,'' dated July 1, 1993. (A copy of the
report is available in the docket for inspection and copying.) One of
the report's recommendations indicates that contractor sampling and
testing can be used in acceptance programs provided that adequate
checks and balances are in place to protect the public investment. The
revisions that are proposed in this NPRM would implement the
committee's recommendations.
The NPRM, if promulgated, would replace the existing acceptance and
independent assurance sampling and testing programs with a
comprehensive system of checks and balances. Acceptance of materials
and construction would not be based solely on any one set of data and
would specifically require the State to monitor and inspect the
contractors' quality control program. The State's verification sampling
and testing would be used to ensure the quality of the product. In
addition, the system would provide for using results from the
contractors' quality control sampling and testing program in the
acceptance program if those results are validated by the State's
verification sampling and testing system. The verification sampling and
testing would be performed on independent samples obtained by the State
to verify the contractors' quality control data. If the results from
the contractors' quality control program and the State's verification
sampling and testing program do not agree a dispute resolution system
will be used to determine payment to the contractor.
The requirement for an independent assurance (IA) program would
remain in place. The IA program would use witnessing, split samples,
proficiency samples and equipment calibration as an independent check
of the field sampling and testing procedures and equipment to assure
the testing is being performed properly by both the State and the
contractor personnel.
The major changes in the regulation would be as follows:
1. The use of contractor testing results in the overall acceptance
program would be allowed, provided certain checks and balances are in
place.
2. The traditional type of acceptance program with the State
performing all of the testing would be allowed.
3. The IA program could be performed either on a system basis or on
a project by project basis. In a system approach, all equipment and
testing personnel would be assessed on a time frequency, regardless of
the specific project on which the testing occurs. The system approach
would allow the State to assess testing equipment and testing personnel
regardless of project location. This approach would ensure that the
testing on small projects is assessed and would also ensure that all
testing personnel are reviewed.
4. If the system approach to the IA program is used, an annual
report on the IA program would be required instead of a statement in
the project materials certificate concerning the IA program.
5. Qualified, designated agents of the State would be permitted to
perform the IA testing.
6. All testing personnel and laboratories would be required to be
qualified using State procedures. It is anticipated this provision will
have an effective date two years after the publication of the final
rule.
7. The State Highway Agency's (SHA) central laboratory would be
required to become accredited by the American Association of State
Highway and Transportation Officials (AASHTO) Accreditation Program. It
is also anticipated this provision will have an effective date two
years after the publication of the final rule.
Rulemaking Analyses and Notices
All comments received before the close of business on the comment
closing date indicated above will be considered and will be available
for examination in the docket at the above address. Comments received
after the comment closing date will be filed in the docket and will be
considered to the extent practicable, but the FHWA may issue a final
rule at any time after the close of the comment period. In addition to
late comments, the FHWA will also continue to file relevant information
in the docket as it becomes available after the comment closing date,
and interested persons should continue to examine the docket for new
material.
Executive Order 12866 (Regulatory Planning and Review) and DOT
Regulatory Policies and Procedures
The FHWA has determined that this action is not a significant
regulatory action within the meaning of Executive Order 12866 or
significant within the meaning of Department of Transportation
regulatory policies and procedures. The FHWA, at 23 CFR 637, currently
has regulations covering sampling and testing. The proposed revisions
would merely update these regulations to accommodate contractor-
performed sampling and testing and reinforce existing policy.
Therefore, it is anticipated that the economic impact of this
rulemaking will be minimal and a full regulatory evaluation is not
required.
Regulatory Flexibility Act
In compliance with the Regulatory Flexibility Act (U.S.C. 601-612),
the FHWA has evaluated the effects of this proposal on small entities.
The FHWA concluded that this action would in fact provide some small
testing firms with an opportunity to perform more work than was allowed
by the previous regulations. Although the regulation would have a
positive impact on these testing firms, the number of firms affected
would be small and the amount of additional work would be
insignificant. Therefore, the FHWA hereby certifies that this
rulemaking would not have a significant economic impact on a
substantial number of small entities.
Executive Order 12612 (Federalism Assessment)
This action has been analyzed in accordance with the principles and
criteria contained in Executive Order 12612, and it has been determined
that this action would not have sufficient federalism implications to
warrant the preparation of a federalism assessment.
Executive Order 12372 (Intergovernmental Review)
Catalog of Federal Domestic Assistance Program Number 20.205,
Highway Planning and Construction. The regulations implementing
Executive Order 12372 regarding intergovernmental consultation on
Federal programs and activities apply to this program.
Paperwork Reduction Act
This action does not contain a collection of information
requirement for purposes of the Paperwork Reduction Act of 1980, 44
U.S.C. 3501-3520.
National Environmental Policy Act
This rulemaking does not have any effect on the environment. It
does not constitute a major action having a significant effect on the
environment, and therefore does not require the preparation of an
environmental impact statement pursuant to the National Environmental
Policy Act of 1969 (42 U.S.C. 4321 et seq.)
Regulation Identification Number
A regulation identification number (RIN) is assigned to each
regulatory action listed in the Unified Agenda of Federal Regulations.
The Regulatory Information Service Center publishes the Unified Agenda
in April and October of each year. The RIN contained in the heading of
this document can be used to cross reference this action with the
Unified Agenda.
List of Subjects in 23 CFR Part 637
Grant programs--transportation, Highways and roads, Quality
assurance, Materials sampling and testing.
Issued on: June 30, 1994.
Rodney E. Slater,
Federal Highway Administrator.
In consideration of the foregoing, the FHWA proposes to amend title
23, Code of Federal Regulations, part 637 by revising subpart B to read
as follows:
Subchapter G--Engineering and Traffic Operations
PART 637--CONSTRUCTION INSPECTION AND APPROVAL
Subpart B--Quality Assurance Procedures for Construction
Sec.
637.201 Purpose.
637.203 Definitions.
637.205 Policy.
637.207 Quality assurance program.
637.209 Laboratory and sampling and testing personnel
qualifications.
Appendix A to Subpart B--Guide Letter of Certification by SHA Engineer
Authority: 23 U.S.C. 109, 114, and 315; 49 CFR 1.48(b).
Sec. 637.201 Purpose.
To prescribe policies, procedures, and guidelines to assure the
quality of materials and construction in all Federal-aid highway
projects on the National Highway System.
Sec. 637.203 Definitions.
Acceptance program. All factors that comprise the SHA's
determination of the quality of the product as specified in the
contract requirements. These factors include verification sampling,
testing and inspection and may include validated results of quality
control sampling and testing.
Independent assurance program. Activities that are an unbiased and
independent evaluation of all the sampling and testing procedures used
in the acceptance program which are performed outside the SHA's central
laboratory.
Proficiency samples. Homogeneous samples that are distributed and
tested by two or more laboratories. The test results are compared to
assure that the laboratories are obtaining the same results.
Qualified laboratories. Laboratories that are accredited through
appropriate programs as determined by each SHA. As a minimum, the
qualifications shall be consistent with the equipment calibration and
verification requirements stipulated in sections 5.4 and 5.8 of AASHTO
R-18, Establishing and Implementing a Quality System for Construction
Materials Testing Laboratories.
Qualified sampling and testing personnel. Personnel who are
certified through appropriate programs defined by each State Highway
Agency (SHA).
Quality assurance. All those planned and systematic actions
necessary to provide confidence that a product or service will satisfy
given requirements for quality.
Quality control. All contractor/vendor operational techniques and
activities that are performed or conducted to fulfill the contract
requirements.
Verification sampling and testing. Sampling and testing performed
to validate the quality of the product. If quality control sampling and
testing is used in the acceptance program, verification sampling and
testing will also be used to validate the quality control sampling and
testing.
Sec. 637.205 Policy.
(a) Quality assurance program. Each SHA shall develop a quality
assurance program which will assure that the materials and workmanship
incorporated in each Federal-aid highway construction project are in
reasonably close conformity with the requirements of the approved plans
and specifications, including approved changes. The program must meet
the criteria in Sec. 637.207 and be approved by the FHWA.
(1) Independent assurance program. The results of independent
assurance (IA) tests are not to be used as a basis for material
acceptance. Independent samples and tests or other procedures shall be
performed by qualified sampling and testing personnel who do not have
direct responsibility for quality control and verification sampling and
testing.
(2) Verification sampling and testing. The verification sampling
and testing are to be performed by the SHA or its designated agent
excluding the contractor and/or vendor.
(b) Laboratory accreditation program. Each SHA shall be accredited
by the AASHTO Accreditation Program or a comparable laboratory
accreditation program approved by the FHWA.
Sec. 637.207 Quality assurance program.
(a) Each SHA's quality assurance program shall provide for an
acceptance program and an independent assurance program consisting of
the following:
(1) Acceptance program. Each SHA's acceptance program shall consist
of the following:
(i) Frequency guide schedules for verification sampling and testing
which will give general guidance to personnel responsible for the
program and allow adaptation to specific project conditions and needs.
(ii) Identification of the specific location in the construction or
production operation at which verification sampling and testing is to
be accomplished.
(iii) The SHA shall inspect the product or construction or both for
attributes that are detrimental to the performance of the finished
product.
(iv) Quality control sampling and testing results may be used as
part of the acceptance decision provided that:
(A) The quality control program is approved and monitored by the
SHA;
(B) The sampling and testing has been performed by qualified
laboratories and qualified sampling and testing personnel;
(C) The results have been validated by the verification sampling
and testing. The validation of the quality control sampling and testing
shall be performed by using standard statistical tests. Both the means
and variances of the results from the quality control tests and
verification tests shall be compared to ensure that both sets of data
are testing the same population. The comparison procedures shall
provide equivalent or better reliability than those obtained with the
F-test for variances and the t-test for the means; and
(D) The quality control sampling and testing is evaluated by an IA
program.
(v) If the results from the quality control sampling and testing
are used in the acceptance program the SHA shall establish a dispute
resolution system. The dispute resolution system shall address the
resolution of discrepancies occurring between the verification sampling
and testing and the quality control sampling and testing. The dispute
resolution system may be administered entirely within the SHA.
(2) The IA program shall evaluate the qualified sampling and
testing personnel and the testing equipment. The program shall cover
sampling procedures, testing procedures, and testing equipment. The
program shall be performed by the SHA or its designated agent. Each IA
program shall include the following:
(i) A schedule of frequency for IA evaluation. The schedule may be
established based on either a project basis or a system basis. The
frequency can be based on either a unit of production or on a unit of
time.
(ii) The testing equipment can be evaluated by using frequent
calibration checks, split samples, or proficiency samples.
(iii) Split samples or proficiency samples shall be used to
evaluate testing personnel. A reasonable amount of the evaluations
shall include observation of the sampling and testing procedures.
(iv) A prompt comparison and documentation shall be made of test
results obtained by the tester being evaluated and the IA tester. The
SHA shall develop guidelines for the comparison of test results.
(v) If the SHA uses the system approach to the IA program the SHA
shall provide an annual report to the FHWA summarizing the results of
the IA program.
(3) The preparation and submission of a materials certification,
conforming in substance to Appendix A of this regulation, to the FHWA
Division Administrator for each construction project which is subject
to FHWA construction oversight activities.
(b) [Reserved]
Sec. 637.209 Laboratory and sampling and testing personnel
qualifications.
(a) Laboratories. After (2 years after the date of publication of
the final rule in the Federal Register),
(1) All contractor, vendor, and SHA testing shall be performed by
qualified laboratories.
(2) Each SHA shall have its central laboratory accredited by the
AASHTO Accreditation Program or a comparable laboratory accreditation
program approved by the FHWA.
(3) Any non-SHA designated laboratory which performs IA sampling
and testing shall be accredited in the testing to be performed by the
AASHTO Accreditation Program or a comparable laboratory accreditation
program approved by the FHWA.
(4) Any laboratory that is used in dispute resolution sampling and
testing shall be accredited in the testing to be performed by the
AASHTO Accreditation Program or a comparable laboratory accreditation
program approved by the FHWA.
(b) Sampling and testing personnel. After (2 years after the date
of publication of the final rule in the Federal Register), all sampling
and testing performed for the contractor/vendor and the SHA shall be
executed by qualified sampling and testing personnel.
(c) Conflict of interest. In order to avoid an appearance of a
conflict of interest, any non-SHA qualified laboratory shall perform
only one of the following types of testing on the same project:
verification testing, quality control testing, IA testing, or dispute
resolution testing.
Appendix A to Subpart B--Guide Letter of Certification by SHA Engineer
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Project No.------------------------------------------------------------
This is to certify that:
The results of the tests used in the acceptance program indicate
that the materials incorporated in the construction work, and the
construction operations controlled by sampling and testing, were in
conformity with the approved plans and specifications. (The following
sentence should be added if the IA testing frequencies are based on
project quantities. All independent assurance samples and tests compare
favorably to the samples and tests that are used in the acceptance
program.)
Exceptions to the plans and specifications are explained on the
back hereof (or on attached sheet).
Director of SHA Laboratory or other appropriate SHA Official.
[FR Doc. 94-16718 Filed 7-11-94; 8:45 am]
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