2014 NC Construction Conference

FHWA’s Risk Based Approach applied to Federally Funded Construction

Projects

Key Points How FHWA is using a Risk-based

approach

Recent FHWA changes in oversight strategies

New terminology PoCI’s, PoDI’s, & CAP Reviews

Findings for improvements

Construction Program Summary

Cap Reviews

Program Risk Assessments

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Why The New Approach?

MAP 21 Changes Increasing flexibilities with regard to S&O Movement toward performance

management Emphasis on risk-based

More effective use of limited resources More complicated FAHP programs and

projects Budget pressures within the Federal

Government 3

Division Office Oversight/Stewardship

Programs Projects

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How it has been applied in WI

WI FHWA Office method used was altered New terminology PoCI’s, PoDI’s, & CAP

Reviews Greater number of state delegated

projects 2 Projects of Corporate Interest PoCI 24 Projects of Division Interest PoDI FHWA Field Engineers cover these

projects 5

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CAP

PoDI

Risk-Based Project Stewardship and Oversight

Require Project Approvals

PoCI

Required Project Actions

Prescribed by Federal law not to be delegated

Examples include: NEPA documents approvals

Interstate Access Modification approvals

Current Projects that are not PoDI’s will be treated as State Delegated

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Projects of Division Interest (PoDIs)

Projects identified thru the FHWA division’s risk assessment process as having an elevated level of risk (threat or opportunity) to the FAHP will be called Projects of Division Interest (PoDIs).

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FHWA divisions will use their resources on project phases or areas of these projects that add the most value.

The number of PoDI selected should be such that the total of the federal funds on those projects is equivalent to 10 to 30 percent of the State’s annual obligation limitation.

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Projects of Division Interest (PoDIs)

Projects of Corporate Interest (PoCI’s)

Selected by FHWA Headquarters' PoCI are a subset of PoDI that divisions

identify that are so significant at a corporate level that FHWA assesses stewardship and oversight resource needs at a higher level.

St. Croix River Bridge & Zoo Interchange

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Compliance Assessment Program (CAP)

Since the Recovery Act, FHWA has conducted a spot check program on 10% of the active construction projects. We have improved this program by using a statistical approach for project selection and created a more consistent approach nationally to conduct these reviews. These reviews are now called CAP reviews

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Compliance Assessment Program (CAP)

Project sample size set for each Division using statistical criteria

Random sample of projects pulled from FMIS

Division conducts reviews on random sample of projects using standard guides

Answers rolled up to allow inferences regarding compliance at both the national and state level

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Compliance Assessment Program (CAP)

Wisconsin has 54 CAP Projects this year CAP Report Format

Core Question Form (all projects) 10 Review Guides (one per project,

minimum) Civil Rights, Workzones, Contract

Administration, Emergency Relief, Environment, Finance, Material Quality, Planning, Realty, & Work Zone Safety

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Focus Areas identifies in the Division Program Review Construction Summary Program Report. Responsible Charge Non Conforming Materials Buy America Subgrade Compaction HMA Paving in cold weather

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Some Findings and Reminders from various Division reviews and program specialist, be mindful of the following: Periodic WZ monitoring the quality of

signing and devices, specifically better documentation.

Better BA compliance documentation, suggest having before installed.

Documentation!  If there is evidence showing that a federal requirement was met, then the requirement was not met.

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Some Findings and Reminders from various Division reviews and program specialist, be mindful of the following: WisDOT’s Quality Verification samples, a

WisDOT certified sampling technician must witness or take the QV sample and maintain a chain of custody of that sample. 

For the samples to be representative and statistically validate the material, the verification samples must be taken at random locations and the contractor should never know ahead of time when the verification sample will be taken.

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What is your role ?

Ensure WisDOT Specifications, policies, procedures, and guidance is followed at the project level

Be watchful of area identified by FHWA Be diligent in assuring public safety and

accommodations during construction

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QUESTIONS?

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