1、Standard Practice for Independent Assurance (IA) Programs AASHTO Designation: R 44-07 (2012) American Association of State Highway and Transportation Officials 444 North Capitol Street N.W., Suite 249 Washington, D.C. 20001 TS-5c R 44-1 AASHTO Standard Practice for Independent Assurance (IA) Program
2、s AASHTO Designation: R 44-07 (2012) 1. SCOPE AND LIMITATIONS 1.1. Independent Assurance (IA)Independent assurance is used in industry as an internal audit and review to support the accuracy of data and processes. In the highway industry, it is the outgrowth of a report from the Congressional House
3、Committee on Oversights and Investigations (“Blatnik Committee”) that requires state departments of transportation (DOTs) to perform IA sampling and testing whenever federal funds are involved. 1.2. Purpose of IAIndependent assurance is an unbiased and independent assessment of all sampling, testing
4、, and workmanship. This assessment includes evaluation of procedures and equipment used for the acceptance of highway materials and construction. 23 CFR Part 637 requires each state to have an IA Program. Independent assurance is used for verification of sampling procedures, testing procedures, and
5、testing equipment. 1.3. Independent assurance is distinct from, and not intended as an acceptance process or for use in, verification of contractor sampling and testing results. Independent assurance is distinct from, and not intended for, quality control (QC) purposes. If IA results indicate a pote
6、ntial problem with quality, the results may be used to initiate additional testing. 1.4. Independent assurance sampling shall be done in such a manner as to minimize variability. In order to eliminate material and process variability, split samples should be used. Independent assurance samples may b
7、e taken independently of verification or acceptance samples, or may be a split of a verification or an acceptance sample. 1.5. Deficiencies in acceptance or QC processes that are identified through the IA program must be investigated and resolved. Otherwise, there is no purpose in identifying defici
8、encies. 1.6. This standard practice is applicable to design/build and warranty specifications as well as more conventional contracting methods. As a management principle, IA is a responsibility of the DOT that cannot be delegated to the contractor. (For example, contractors shall not hire their own
9、IA inspectors or testers.) 1.7. Independent assurance is an essential tool that helps to ensure integrity within the quality assurance (QA) program. Independent assurance helps to prevent fraud and other criminal activities by evaluating sampling and testing procedures and competency. Independent as
10、surance must be consistent throughout the agency. (It keeps the honest people honest by providing a “level playing field” for all contractors.) Note 1Many of the principles included herein have universal application. Although this standard practice for IA programs is developed specifically for const
11、ruction materials, it can be applied to other processes. The principles inherent in the use of unbiased, consistent, and reliable information are applicable for any management effort. For example, construction workmanship is frequently inspected by either measurement or examination. 2016 by the Amer
12、ican Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.TS-5c R 44-2 AASHTO 2. REFERENCED DOCUMENTS 2.1. AASHTO Standards: R 9, Acceptance Sampling Plans for Highway Construction R 10, Definition of Terms Related to Quality an
13、d Statistics as Used in Highway Construction R 18, Establishing and Implementing a Quality Management System for Construction Materials Testing Laboratories R 25, Technician Training and Qualification Programs R 38, Quality Assurance of Standard Manufactured Materials 2.2. ASTM Standards: D3665, Sta
14、ndard Practice for Random Sampling of Construction Materials E177, Standard Practice for Use of the Terms Precision and Bias in ASTM Test Methods 2.3. Other Documents: FHWA NHI-02-022, Materials Control and AcceptanceQuality Assurance, NHI Course No. 134042, Federal Highway Administration, December
15、2000 FHWA-RD-02-095, Optimal Procedures for Quality Assurance Specifications, Federal Highway Administration, 2003 FHWA Technical Advisory T 6120.3, Use of Contractor Test Results in the Acceptance Decision, Recommended Quality Measures, and the Identification of Contractor/Department Risks, HIPT-10
16、, August 2004 Final Rule, 23 CFR 637, Quality Assurance Procedures for Construction, Federal Register: June 29, 1995 (Vol. 60, Number 125, 33712) Title 23 Code of Federal Regulations, Part 637, Subpart B, Quality Assurance Procedures for Construction Revised as of April 1, 2003, CITE: 23 CFR 637 Tra
17、nsportation Research Circular E-C074, Glossary of Highway Quality Assurance Terms, Transportation Research Board, 2005 2.4. Web Sites: http:/www.fhwa.dot.gov/pavement/0637bsup.cfm http:/www.fhwa.dot.gov/pavement/materials/matqa.cfm#labqual 3. TERMINOLOGY (REFERENCE R 10) 3.1. acceptance sampling and
18、 testingsampling and testing performed by the agency, or its designated agent, to evaluate acceptability of the final product. Also called “verification sampling and testing” when specifically used to validate the contractors data. 3.2. accredited laboratorieslaboratories that are recognized by a fo
19、rmal accrediting body as meeting quality system requirements, including demonstrated competence to perform standard test procedures. 3.3. certified techniciana technician certified by some agency as proficient in performing certain duties. A certified technician is considered to be qualified. A qual
20、ified technician may or may not be certified. 3.4. independent assurance (IA)activities that are an unbiased and independent evaluation of all the sampling and testing (or inspection) procedures used in the QA program. Independent assurance provides an independent verification of the reliability of
21、the acceptance (or verification) data 2016 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.TS-5c R 44-3 AASHTO obtained by the agency and the data obtained by the contractor. The results of IA testing or ins
22、pection are not to be used as a basis of acceptance. Independent assurance provides information for quality system management. 3.5. independent samplea sample taken without regard to any other sample that may also have been taken to represent the material in question. An independent sample is someti
23、mes taken to verify an acceptance decision. This is possible because the data sets from independent samples, unlike those from split samples, each contain independent information reflecting all sources of variability, i.e., sampling, testing, materials, and construction. 3.6. quality assurance (QA)(
24、1) all those planned and systematic actions necessary to provide confidence that a product or facility will perform satisfactorily in service; or (2) making sure the quality of a product is what it should be. QA addresses the overall process of obtaining the quality of a service, product, or facilit
25、y in the most efficient, economical, and satisfactory manner possible. Within this broad context, QA includes the elements of QC, IA, acceptance, dispute resolution, etc. The use of the term QA/QC or QC/QA is discouraged, and the term QA should be used. QA involves continued evaluation of the activi
26、ties of planning, design, development of plans and specifications, advertising and awarding of contracts, construction and maintenance, and the interactions of these activities. 3.7. split samplea sample that has been divided into two or more portions representing the same material. Split samples ar
27、e sometimes taken to verify the acceptability of an operators test equipment and procedure. This is possible because the variability calculated from differences in split test results is comprised solely of testing variability. See replicate sample in Section 3.201 of R 10. 3.8. validationthe mathema
28、tical comparison of two independently obtained sets of data (e.g., agency acceptance data versus contractor data) to determine whether it can be assumed they came from the same population. 3.9. workmanship inspectionexamination or measurement for determination of conformance to requirements of const
29、ruction processes, components, or products. 4. DEVELOPMENT OF IA PROGRAMS 4.1. Independent assurance programs can be administered by project, system, or a combination of the two. There are advantages to all three bases: 4.1.1. Independent Assurance by ProjectThe project basis, based on a quantity, m
30、ay provide an easier way to monitor compliance and ensure that all materials are covered on an individual project. This basis may fit better when the DOT can accurately estimate initial quantities and the rest of the QA program is quantity-based. 4.1.2. Independent Assurance by SystemThe system basi
31、s is typically administered statewide. It is personnel-related rather than project-related and allows easier tracking of individuals. This basis is usually applied on a time-based rather than a quantity-based frequency. 4.1.3. Independent Assurance by Combination of Project and SystemThe combination
32、 basis is both time-based and quantity-based. Thus, it is possible to use the advantages of both the project and system bases. 4.2. Independent Assurance Applied to TestingIA provides an independent validation of the reliability of the acceptance or verification data obtained by the DOT and the data
33、 obtained by either the DOT or the contractor. The results of IA testing or inspection are not to be used as a 2016 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.TS-5c R 44-4 AASHTO basis of acceptance, bu
34、t all IA-identified discrepancies should be resolved before acceptance is completed. 4.3. Independent Assurance Applied to DocumentationIA provides a management tool that can be used to audit test results for completeness and suspicious, erroneous, or missing data. This is most efficiently done by e
35、stablishing a database of all test results, including IA, with the data entered into a laboratory information management system (LIMS). 4.4. Independent Assurance Applied to TrainingIA should be used to evaluate the effectiveness of the training and qualification process as defined in Section 5. The
36、 IA evaluation can be linked directly to the qualification process to provide an effective feedback loop. 4.5. Independent Assurance Applied to Certified ProductsIA should be used to assure a certified product meets the specifications required by the state DOTs. An example of this is the DOTs observ
37、ation of a certified product technician performing tests. It is important to verify through a QA program that certified products meet specifications. 4.6. Resolution of IA IssuesFinal project material certification requires the resolution of exceptions, deficiencies, etc. This is a primary ingredien
38、t in an IA program. 4.7. Independent SupervisionIndependence in supervision and reporting should be maintained. However, this is not always practical. There should be no overlap in the direct supervision of the IA and other QA functions. 4.8. CommunicationIA should allow facilitation of communicatio
39、n between the IA personnel and those who oversee the QA program independent of project, district, or region personnel. 4.9. Observations, Standardization Checks, Split Samples, and Proficiency SamplesThe use of observations, standardization checks, split samples, and proficiency samples are tools to
40、 help assure that testing personnel and equipment are obtaining proper results. 4.10. Initial and Periodic IA TestingIA testing is most effective near start-up for each project as well as when acceptance personnel change or are newly employed. Periodic IA testing is necessary throughout the project
41、to identify equipment malfunction and maintain integrity of personnel. 5. QUALIFIED PERSONNEL (REFERENCE R 25) 5.1. General RequirementsThe primary objective in establishing technician qualification programs is to assure that technicians are capable of performing the appropriate sampling and testing
42、 procedures correctly. In addition, it is likely that technicians will continue to perform the test correctly if they understand the importance of the test and the consequences of conducting improper sampling and testing procedures. The ultimate objective is to assure that cost-effective QC and high
43、way materials are incorporated into the finished highway infrastructure element. 5.2. Technician qualification programs can vary in format while achieving the primary objective of producing qualified technicians. Currently, several DOTs have combined to develop regional programs that promote recipro
44、city in establishing qualification requirements. Similarly, many individual DOTs are pursuing their own programs. Although DOT or regional flexibility for a technician qualification program format is readily supported, the following items are recommended fundamental elements of a complete qualificat
45、ion program: Formal training of personnel including all sampling and testing procedures with instructions on the importance of proper procedures and the significance of test results. Hands-on training to demonstrate proficiency of all sampling and testing to be performed. 2016 by the American Associ
46、ation of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.TS-5c R 44-5 AASHTO A period of on-the-job training with a qualified individual to assure familiarity with applicable procedures. A written examination and the hands-on demonstratio
47、n of the various sampling and testing methods. Requalification at prescribed intervals (data from the IA program can be used as one element of requalification). The qualification program should have a documented process for removing or re-educating personnel who perform the sampling and testing proc
48、edures incorrectly. “Grandfathering,” the acceptances of a Professional Engineer or Engineer-in-Training certificate, or lifetime qualification are not considered to be appropriate criteria for achieving or maintaining qualification status. The qualification of IA personnel should exceed that of per
49、sonnel doing QC or acceptance testing because when differences are found within the testing results or procedures, IA personnel should have the knowledge to identify the cause of the difference and correct the problem. A feedback loop that uses the IA database to improve training and qualification programs should be established. 6. QUALIFIED LABORATORIES (REFERENCE R 18) 6.1. General RequirementsCapable laboratories are as defined by appropriate programs established by each DOT. As a minimum,
