Procedures for Setting Up New IAI Projects in the Files, Tracking Spreadsheet, and Database All Projects must meet and follow the current year Mn/DOT IAST Schedule of Materials Control for all State and Federal Aid Projects. 1. First review Plans & Proposal from the IN_BOX. This is everyone s responsibility. The Box should be checked DAILY if possible. (There may be time sensitive reports coming in). Also with the new electronic only plans/proposals, we have experienced some problems getting copies in a timely manner in for IAI review. Please watch Metro Inspection orders DB & State Aid Spreadsheet for upcoming new projects. Before you proceed too far, you first need to determine if the Project even requires IAI involvement/oversight. Almost all of the Projects we receive require IAI review, but some State Aid jobs, or 100% State funded jobs do not require IAI involvement. These still need to be documented somewhere for future reference, so we track them on our spreadsheet located at: S:\Materials\Materials_OK\IAST\Metro IAI PROJECT TRACKING. We also enter it into the IAI Database @ http://www2.mrr.dot.state.mn.us/materials/ias/ias.asp print out 1 copy, and file it into the file marked NO IAI REQUIRED. IAI gets a handful of jobs where we do not even get a set of plans/proposals, usually from State aid, these have to be tracked down and a copy sent to our office. Please contact Jim Deeny @ State Aid or your Supervisor if you are unsure. When going through the plans/proposals, there are several important items which must be looked up, researched, and documented in order to enter the project in the database and spreadsheet. Write the information down on the plan/proposal outer jacket for quick future reference. First find the Projects LOW SP #. also include the Fed ID # if it is applicable (for example STPX 8207(045) Find the Projects starting and ending dates (or # of working days). Find out who the Project Engineer is. If it is a Consultant, be sure to get ALL of the following information: Engineer s complete name, company name, office address (or where they want all project information sent to), contact telephone #, and most important their current E-Mail address. The next thing is to find out if the Project meets the minimum quantities, which require IAI oversight. This is accomplished by consulting the IAST Schedule for the current construction year. For example, for the 2009 const. year the IAST requirements are as follows:(rememberall estimated quantities are approximate - if they are close to IAI review, for example; 185 cy 3 concrete, or 912 tons bit-err on the side of caution and do IAI review). GRADING: > 50,000 Cu. Yds. (LV) Granular/Select Granular/Modified only doesn't include common Ex/borrow AGG Base: Gradation: DCP or Sand Cone: Bituminous: > 2,800 Cu. Yds (LV) > 2,200 Cu. Yds (CV) > 7,000 Cu. Yds (LV) > 5,500 Cu. Yds (CV) > 1,000 TON Page 1 of 6
Concrete: > 200 Cu. Yds. Go through the proposal and locate the following sections that detail: (2105) Excavation & Embankment; - (2211) Aggregate Base: - (2221) Aggregate Shouldering. Determine by reading through that section of the proposal whether compaction will be achieved by Quality Compaction Method or the Specified Density Method. This will decide whether to check Sand Cone or DCP requirements in the database & which tests IAI are required to observe for the job. Highlight the sentence, and list all quantities & compaction requirements on front of proposal. If the proposal says Excavation & Embankment shall be performed in accordance with the provisions of Mn/DOT 2105 and the following: and remains silent on the above wording-it automatically defaults to Specified Density Method. If it says Compaction shall be achieved by the Quality Compaction Method you will not need to do sand cone or DCP s (be sure to check 2211, it may specify a different compaction method than 2105 ). Be sure to check for any Concrete Paving (2301) on the project. If there is any you must be sure to note that on the front of the proposal and check all appropriate boxes in the Required Project Observations when you create the requirements. Once the current IAST Schedule is established, then go to the back of the proposal and under the Schedule of prices, and find / compute / highlight any of the above Project materials quantities, and see if they meet IAI minimums. If the Project meets even one of the above IAI requirements, then it requires an IAI packet/lead letter be sent to the Project Engineer. I will go over that in step # 6. 2. Next go through set of plans keep only the following sheets: First page- (Cover/title sheet with location, SP s Index on it) General layout sheets Estimated Quantities & tabulations sheets Standard plates with Construction & Soils notes attached Earthwork tabulation & summary sheets Typical Sections Any construction plan, details, or misc.sheets, which may be pertinent. General layouts 3. Enter the project into the IAI database. Go to IAI Database: http://www2.mrr.dot.state.mn.us/materials/ias/ias.asp Click Log into forms Menu and enter password-click connect. Select Projects menu. Enter 2008 and click Add new Projects from pick list. Fill out All information on page & comments that are needed. Click save/update data. Go to requirements-click list-status new. Check the appropriate boxes & save. Exit out of data entry menu to main (opening) menu. Click Project Summary-New!!! Select Project Sp & year and print out 6 copies-(1- for Engineer packet, 1-for file, 4 for all IAI s 3-ring folders. Click Generate Lead Letter (PDF Version) - this is for the Project Engineer s file. As before, again select Project Sp & year and print out 2 copies one for Engineer packet, 1-for file. Page 2 of 6
4. Enter the Project into the IAI Project Tracking Spreadsheet on S drive. Located @ S:\Materials\Materials_OK\IAST\Metro IAI PROJECT TRACKING. The above step is absolutely a MUST. This process is done to ensure that all projects that pass through the IAI office are accounted for and tracked. This makes it much easier to answer questions about the job during construction, and for Final Certification. The IAI database & State Aid office tend to misplace data and paperwork, this process backs it up somewhere else just in case. On the Spreadsheet enter in: project SP, route, do we have -plan/proposal date in, initials of IAI entering, description to/from, type of work, and any comments. Also update IAI Cheat Sheet with the new data located @ S:\Materials\I A T\MetroIA Projects\IAI State Projects\2009 The rest of the sheet will be completed when the Exception Summary come in and are looked over and processed/signed by IAI and Dave VanDeusen. 5. Create a Project file for IAI drawer and 3-ring binder. Create a file using the hanging 8.5 x11 green folders, label with SP & project year on top corner, if room-include highway from/to. Enclose in the file a copy of the lead letter & Project Summary Requirements from the database, plus any other contact information you may have. File in numerical SP order in correct IAI main file cabinet drawer-either State or City/County Take your copy of the Project, punch holes into it, and put it into your 3-ring binder/folder in Sp. numerical order to help for quick look-ups. As the job progresses, you will get additional contacts each time you visit the jobsite. When you enter these contacts into the Database, you will need to print out (one copy) an individual contact report for each person, and staple it to the job paperwork/reports from the field- put all these in the file. You will then have to print out new Project Summary sheets (5 copies-1 for the file, 1 for each IAI) for the new contact you have and replace the old one. If this step is not done each time, you will have old information in the main file & the IAI files. This could lead to a double check or a miss for a technician, or plant. 6. Create a Packet to send to the Project Engineer. This should include copies of; the Lead letter and IAI Project Summary. Also include the IAI contact packet (IAI phone list, helpful websites, project roster, Conc./Bit exceptions faxes, Materials Certification Exception Summary), your IAI business card, and any other project information deemed necessary. Note: Only send lead letters out to Engineers when they have IAI requirements- DO NOT send out a lead letter or packet to anyone if there are no IAI requirements!!!! Put all the paperwork into a large envelope, and label it to appropriate Engineer & correct address, along with return address. Put it in mailroom bin labeled to be metered and sent (or deliver in person if not too far away and you have time). For Mn/DOT Engineers only: send these through inter-office mail to their home construction resident office. 7. Final plans /Proposal disposition: Wrap the saved plan sheets around the proposal, & on the outside in BLACK SHARPIE put project SP and the construction year on outer page, put rubber band around them. When you are finished with the plans/proposal, be sure check if Metro Inspection (Dick Kasaconcrete/Deb Evans-Bit) have reviewed them. They will review before we file them to record Page 3 of 6
quantities & MDR s, they will then return them with initials in the corner to be filed in IAI main cabinets. If the Project has below IAI minimums or No IAST required or they have already been reviewed by Metro Inspection, place the plans on top of the IAI file under the correct sign. Be sure to put one copy of the project summary sheet in the No IAST Required green file. Procedures for finaling out & processing the Project s Materials Certification Exception Summary sheets. Summary Sheets usually come into our office a few months after job completion; (sometimes though it may take years (from State-aid/Consultants). There may be some Project sheets that will be sent back for a better resolution, missing paperwork, missing deducts/penalties, etc.. Only to be re-submitted a year or two latter with nothing changed to try it again - and see if they can slide it through the process this time. This is the reason we track them on the IAI Project Tracking Spreadsheet. The following procedure needs to be followed to in order to begin to process these forms. 1. First make sure the Certification packet is Complete- this means ALL required documentation must be included: Project tester roster, Metro Inspection fax forms from Bit-Deb Evans & Conc.-Dick Kasa or similar letter from any sub-contracted Consultant QA inspection detailing any Materials exceptions and recommended penalties- including their supporting docs. Supporting Project paperwork: copies of any change orders, supplemental agreements, back sheet item exceptions, disincentive worksheets. The Materials Exception Summary Form must have any/every materials or personnel Exception they are aware from the field listed and properly resolved. There may be some IAI Exceptions (lab/field test tolerance, missing tests, non-certified personnel, non-approved Materials, plant issues) that the Project Engineer may have missed or may not be aware of. IAI must then list the: specialty, Exception description, doc. reference, & IAI initials on the sheet and RETURN the packet the Project Engineer for a proper resolution. (We at IAI are not responsible for listing resolutions-but we may make suggestions if asked. The Materials Exception Summary Form must be signed in ink and dated by the Project Engineer in the proper area (lower right hand corner of the sheet). The Project Engineer should not sign in the District /Metro Materials Engineer spot nor check any of the IAI boxes in the lower left hand side of the form. 2. If the packet is complete, pull out the IAI Project file from the main cabinet and go through all of the lab/field reports and job paperwork available in the files/database look for any of the following problems & exceptions: The following are job exceptions: (This is a partial list of the most common non-exceptions) Failing Tests Missing Tests Any failure of an acceptance test- meaning a field-test, quality control test, or verification companion test. Corrections or deductions resulting from failing tests must be listed as resolutions of exceptions. Any missed field test, quality control test, or verification test. Tests include required observations of quality control tests. NEW: Metro Inspection Staff shortage = Missing verification test. Page 4 of 6
Test Tolerance Any tolerance failure between an acceptance test and the corresponding companion proficiency or Independent Assurance sample test. Companion sample tests are performed between: Field and Laboratory samples Quality control and Quality assurance samples Verification and verification companion samples Field and Independent Assurance samples Quality control and Independent Assurance samples Plant monitor s quality assurance or verification samples and IA samples. Note: when an acceptance test passes and the companion proficiency or Independent Assurance sample fails, but is within the allowed tolerance, there is no exception that has to be documented. Non-Certified Testers Other Exceptions Any acceptance samples taken or tests performed by non-certified or under-certified testers. This includes contractor quality control tests when used for acceptance and Agency verification tests. Tests not performed in a qualified (certified) laboratory or field-testing lab. From a non-approved source, missing Certificate of Compliance, etc. Paving without an approved Mix Design Report or Recommendation = Exception. Independent Assurance tests fails and is out of tolerance = Exception Mix or paving out of a Non-Certified plant =Exception The following are NOT Exceptions: Field QC test passes, lab QA test fails, and the tests are within field/lab tolerance. Independent Assurance test fails, but is within tolerance of the passing field test. Low concrete cylinder strength break. This is not an exception unless cylinder strength is specified on that project. Any pattern of bad breaks should send up a red flag to be investigated. 3. Make sure the have the appropriate Resolution listed. Resolutions can be brief, but must describe the action taken or the rationale for taking no action. Supporting documentation should be contained in the file and list the document reference in the appropriate column. Examples of actions taken as resolutions may include standard deduction applied, or $ per unit deducted applied, or mix rate changed and testing rate increased, or testing equipment recalibrated, test rerun and passed, or area re-watered and re-compacted, test rerun and passed etc. Resolutions may also result in no actions having been taken. This is an acceptable resolution when accompanied by appropriate rationale. Often, substantial compliance or Materials incorporated inplace performing satisfactory, or in close conformity will be used for resolutions in these situations. Generally these resolutions should only be used for a minor test failure or the omission of a few out of many required tests. Rationale for taking no action must be included on the form. 4. If it is determined that all the paperwork is correct, and any/all job exceptions have been rectified, check the appropriate box in the lower left hand corner of the sheet, initial & date it. 5. Place the completed Exception Summary packet in one of the RED folders and put it in the in-box On District Materials Engineer - Dave VanDeusen s desk. Page 5 of 6
6. On the IAST PROJECT TRACKING SPREADSHEET located at: S:\Materials\Materials_OK\IAST\Metro IAI PROJECT TRACKING. Find the correct SP. and complete the following information: Exception Summary date In Exception Summary date Out Comments (i.e. no IAST required, IAST ok, IAI not complete) Initials of IAI doing the summary/ data entry. 7. When Dave returns the RED folder with the sheets signed, make copies of the sheets and clip them together with the rest of the copies in the file marked 2008 Summaries. This is in case they get lost in the mail. trs 07/19/09 Page 6 of 6