QA-QC Control P1Ch16
QA-QC Control P1Ch16
Contents
Introduction ....................................................................................................2
FDOT QA and QC..........................................................................................3
Consultant QA and QC ..................................................................................5
Project Phases ...............................................................................................6
Page 1 of 8
Introduction
Quality Assurance (QA) and Quality Control (QC) are processes used to ensure
project deliverables meet project objectives and are of appropriate quality.
Perfection is difficult to achieve and the cost of a perfect product would be
prohibitive. However, defined standards must be met on Florida Department of
Transportation (FDOT) projects. Quality frequently comes into conflict with the
schedule. The Project Manager (PM) is responsible for meeting both quality and
schedule objectives. Poor quality work should not be accepted just to meet a
schedule.
The FDOT PM and consultant PM use the terms QA and QC somewhat
differently. However, as Figure 1, Quality Assurance & Quality Control Target
illustrates, both the FDOT and consultants target quality in project delivery.
Page 2 of 8
FDOT QA and QC
Two distinct processes, QA and QC, are used by the FDOT to ensure that the
public receives a quality product. The Central Office is the responsibility for, and
performs QA. District Offices and as appropriate their agents (consultants) are
responsible for and perform QC. Each district has a QC plan, at least for design.
For design projects, specific QA/QC requirements can be found in Chapter 18 of
Procedure No. 625-000-007, Plans Preparation Manual (PPM), Volume I. For
construction projects, QA/QC is detailed in Section 3.2 of Procedure No. 700-
000-000, Construction Project Administration Manual (CPAM). Another
construction-related reference is the Statewide Construction Quality
Assurance/Quality Control (QA/QC) Plan.
Two important parts of any FDOT PMs QC responsibility are (1) ensure the
consultants QA/QC plan is being followed adequately and (2) review project
deliverables to ensure they are of appropriate quality. The FDOT PM should
meet with the consultant PM early in the project to reach a common
understanding of QA/QC methodologies to be used and submittal requirements.
The FDOT PM should check the consultants QA/QC actions by visiting the
consultants office and reviewing the QC documentation. There should be a
record of all QA/QC activities. Marked-up copies of reviewed reports and plans
should be on file. The consultants project schedule should allow adequate time
for QC reviews. If possible, the FDOT PM should schedule an office visit to
observe a QC review as it is taking place. The FDOT PM must ensure the
individuals identified in the project QA/QC plan are actually performing assigned
QA/QC tasks. Another control technique is to require documentation of QC
activities accompany submittals. Documentation could include completed
checklists, certifications or the reviewers marked-up copy of the reviewed
document itself. In some districts, many of the actions discussed above are
formalized in a formal QC audit process.
Traditionally, FDOT reviews of formal submittals have been the focus of QC for
consultant projects. However, when the FDOT Project Manager and technical
team members take the proactive approach of reviewing work in progress, the
result is usually higher quality submittals. Problems can be identified and
solutions worked out before submittals. The review team also will have a better
understanding of major issues and what to expect in the submittal.
The FDOT PM should have a clear understanding of the objectives of project
submittal reviews. The consultant is responsible for conducting QC reviews
before every submittal.
Every FDOT district uses the Electronic Review Comment (ERC) system for
review of submittals. Information about the ERC system is available at FDOT
Electronic Review Comment System (ERC).
Detailed, in-depth reviews are usually not necessary or desirable and serve to
relieve the consultant of some responsibility for the quality of the product.
Submittals found to be unacceptable should be returned for re-submittal.
Page 3 of 8
Page 4 of 8
Consultant QA and QC
Figure 2, FDOT Quality Assurance & Quality Control maps this process.
Page 5 of 8
Project Phases
The following discussion is based on the services being performed by professional services
consultants, QA/QC requirements for which are typically included in the associated Scopes of
Services. Each project phase has different QA/QC issues. QA/QC requirements for various
deliverables are addressed in applicable procedures and manuals.
Page 6 of 8
Planning: Although the FDOT does not have specific requirements for planning
projects, QA/QC are important activities. All submittals for planning projects
should be subjected to a peer review in the same manner previous described.
Common quality issues are data collection, study methodology, assurance that
report conclusions and recommendations are supported by study findings and
quality of the writing.
Project Development and Environment (PD&E): For PD&E project quality
issues are similar to those for planning projects. A QC activity is included in the
scope of services and staff hours for all Consultant PD&E projects. While there
is no formal FDOT QC process in PD&E, QC is required for all formal submittals
and materials for public meetings and hearings. In many Districts, the consultant
is required to provide the Department with a QC plan at the beginning of a
project.
Design: For design projects, QA/QC is generally a well-defined process.
Usually the QA/QC plan is the first deliverable for a consultant design project.
The consultant PM should review Chapter 18 of PPM, Volume I before preparing
the QA/QC plan to ensure all requirements are met. The plan should be unique
to the project, not off the shelf. Each project has its own technical issues,
scope, schedule and team, all of which should be accounted for in the plan.
Work of subconsultants should be addressed in the plan. Good design quality
control requires several reviewers who represent all technical skills involved.
Technical skill areas may include highway design, drainage, traffic and
maintenance of traffic, structures and constructability.
Right of Way (R/W): District R/W Offices have Core Process Measures and QC
Plans in place in order to ensure compliance with laws, rules, procedures, and
regulations related to R/W projects. The Office of R/W monitors these measures
and plans (QA) to assure consistency with statewide requirements, determine the
effectiveness of the districts quality control plans, and to make adjustments in the
processes as necessary to maintain high levels of quality performance in
providing right of way necessary for Construction. All functional areas of R/W are
involved including Appraisal, Acquisition, Relocation Assistance, Property
Management, Funds Management and Work Program. Consultants may be
used for some of these functional areas, with the district offices being responsible
for hiring consultants who are experienced, technically competent, and have
adequate quality control measures in place to provide adequate work products.
Construction: For construction projects, the contractor has specific
responsibilities, defined in the Standard Specifications. QC is also a primary
responsibility of the Construction Engineering and Inspection (CEI) consultant
who monitors and evaluates the contractors product and performance. The
FDOT Construction Project Manager (CPM) must ensure the CEI adequately
performs its responsibilities and the Central Office performs QA reviews, as
prescribed in the Statewide Construction QA/QC Plan. Specific QC
requirements are detailed in Section 3.2 of the CPAM. The CEI consultant
should have an internal QA/QC plan which addresses the following: (1) CEI
Page 7 of 8
Page 8 of 8