A performance audit of the Arizona Department of Transportation, materials testing function

              STATE OF ARIZONA
OFFICE OF THE
AUDITOR GENERAL
D
A PERFORMANCE AUDIT
OF THE
D ARIZONA DEPARTMENT OF TRANSPORTATION
MATERIALS TESTING FUNCTION
D
NOVEMBER 1982
A REPORT TO THE
ARIZONA STATE LEGISLATURE
REPORT 82- 6
DOUGLAS R. NORTON. CPA
AUDITOR GENERAL
STATE OF ARIZONA
OFFICE OF THE
AUDITOR GENERAL
November 10, 1982
Members of the Arizona Legislature:
This is a summary of a report published by t h e Office of the Auditor
General, A Performance Audit of the Arizona Department of Transportation -
Materials Testing Function.
The Office of the Auditor General has completed a performance audit of the
Arizona Department of Transportation ( ADOTI - materials t e s t i n g function.
This audit was conducted in response t o Senate B i l l 1001, enacted by the
T h i r t y - f i f t h L e g i s l a t u r e , Second Special Session requiring a performance
audit of the Arizona Department of Transportation and is one of a s e r i e s
of audits to be completed on the Department.
ADOT conducts inspect ion and t e s t i n g a c t i v i t i e s during highway
construction to control t h e q u a l i t y of roads b u i l t under its supervision.
ADOT project engineers are responsible to see t h a t t h e m a t e r i a l s and
workmanship incorporated i n t h e i r projects meet standards. To carry out
t h i s charge, each project engineer is assisted on the construction s i t e by
a s t a f f of inspectors. Samples of construction materials are sent t o ADOT
laboratories for t e s t i n g . ADOT has a three- level organization for
materials t e s t i n g , consisting of project or a r e a l a b s , d i s t r i c t labs and a
c e n t r a l lab. I n a d d i t i o n to t e s t i n g materials during construction, ADOT
has several crews which perform materials i n v e s t i g a t i o n and t e s t i n g
a c t i v i t i e s prior to construction in order to obtain data useful in the
design of the highway. These l a t t e r crews are located in the Materials
Section - Highways Division.
1 1 1 WEST MONROE SUITE 600 PHOENIX. ARIZONA 85003 ( 602) 255- 4385
Our preliminary review included p r o j e c t inspection a c t i v i t i e s a s well as
the materials t e s t i n g function. However, e a r l y i n our a u d i t ADOT
contracted with two c o n s u l t i n g f i r m s t o address the major problem areas we
had i d e n t i f i e d regarding p r o j e c t inspection a c t i v i t i e s . Therefore, our
d e t a i l e d audit work was limited t o t h e m a t e r i a l s t e s t i n g function.
We found t h a t t h e m a t e r i a l s t e s t i n g function i s o v e r s t a f f e d because ADOT
has f a i l e d t o reduce s t a f f i n g l e v e l s t o match declining work loads.
Overstaffing occurs i n several d i s t r i c t labs, the D i s t r i c t 1 Area Lab and
i n several u n i t s of t h e M a t e r i a l s Section - Highways Division. In t o t a l ,
we i d e n t i f i e d 33 p o s i t i o n s which could be eliminated f o r an annual savings
of $ 825,000. We a l s o found t h a t m a t e r i a l s t e s t i n g c o s t s could be reduced
by c o n t r o l l i n g oversampling. Each of these problem areas i s summarized
below.
D i s t r i c t labs were o v e r s t a f f e d by a t o t a l of 10 p o s i t i o n s i n f i s c a l year
1981- 82. Unless adjustments a r e made, t h i s o v e r s t a f f i n g w i l l increase.
According to our a n a l y s i s of f u t u r e work loads, ADOT can reduce d i s t r i c t
lab s t a f f i n g by 19 p o s i t i o n s by July 1, 1983, saving $ 475,000 annually.
These reductions a r e supported by ADOT'S plans f o r d i s t r i c t
reorganization-- developed during the course of our audit-- which now c a l l
for a reduction of 16 l a b p o s i t i o n s .
The ADOT D i s t r i c t 1 Area Lab is a l s o o v e r s t a f f e d by a t o t a l of seven
p o s i t i o n s . During the f i r s t half of 1982, p r o d u c t i v i t y declined 47
percent due to t h i s o v e r s t a f f i n g . Future work loads a r e not expected t o
increase; t h e r e f o r e , seven p o s i t i o n s should be eliminated-- an annual
savings of $ 175,000.
ADOT could save a t l e a s t $ 125,000 annually by performing t h e m a t e r i a l s
i n v e s t i g a t i o n function more e f f i c i e n t l y . ADOT could eliminate t h r e e
p o s i t i o n s and reduce t r a v e l - r e l a t e d c o s t s by t r a n s f e r r i n g - c o r e sampling
a c t i v i t i e s from the M a t e r i a l s S e c t i o n - Highways Division t o the d i s t r i c t
labs. Another two p o s i t i o n s could be eliminated by reducing the s i z e of
the p i t i n v e s t i g a t i o n crews i n the Materials Section.
ADOT could reduce personnel and equipment c o s t s by combining d r i l l crews
of the S t r u c t u r e s and Materials Sections ( ~ i g h w a y s Division) i n t o a s i n g l e
u n i t . Current work load does not j u s t i f y both crews. A c o n s o l i d a t i o n
would enable ADOT t o avoid the replacement of some expensive d r i l l i n g
equipment-- a savings of $ 150,000. In a d d i t i o n , two p o s i t i o n s could be
eliminated, saving another $ 50,000 annually.
ADOT could f u r t h e r reduce m a t e r i a l s t e s t i n g c o s t s by c o n t r o l l i n g
oversampling. In some i n s t a n c e s , p r o j e c t personnel have not f u l l y
implemented new sampling g u i d e l i n e s and do n o t adequately c o n t r o l
oversampling. In a d d i t i o n , ADOT should consider e l i m i n a t i n g some concrete
cylinder t e s t s as another way t o reduce lab work loads.
We i d e n t i f i e d p o t e n t i a l areas f o r f u r t h e r a u d i t work t h a t we could not
pursue due to time c o n s t r a i n t s .
I f you would l i k e a copy of the f u l l r e p o r t , please c a l l me a t 255- 4385 o r
send a r e q u e s t t o 111 W. Monroe, S u i t e 600, Phoenix, Arizona 85003.
Respectfully submitted,
Douglas R. Norton
Auditor General
DOUGLAS R. NORTON. CPA
AUDITOR GENERAL
STATE OF ARIZONA
OFFICE OF THE
AUDITOR GENERAL
November 10, 1982
Members of the Arizona L e g i s l a t u r e
The Honorable Bruce Babbitt, Governor
M r . William A. Ordway, Director
Arizona Department of Transportation
Transmitted herewith is a report of the Auditor General, A Performance
Audit of the Arizona Department of T r a n s p o r t a t i o n - Materials Testing
Function. This report is the t h i r d of a s e r i e s of r e p o r t s t o be issued on
the Arizona Department of Transportation and is i n response t o Senate B i l l
1001 enacted by t h e T h i r t y - f i f t h L e g i s l a t u r e , Second Special Session i n
1981.
The blue pages present a summary of the r e p o r t ; a response from the
Arizona Department of rans sport at ion is found on the yellow pages
preceding the appendices.
My s t a f f and I w i l l be pleased t o discuss or c l a r i f y items i n the report.
Respectfully submitted,
C" Douglas R. Norton
Auditor General
S t a f f : William Thomson
Peter N. Francis
Steve H. Thacker
Arthur E. Heikkila
Richard Stephenson
Enclosure
11 1 WEST MONROE SUITE 600 PHOENIX. ARIZONA 85003 ( 602) 255- 4385
OFFICE OF THE AUDITOR GENERAL
A PERFORPIANCE AUDIT OF THE
ARIZONA DEPARTMENT OF TRANSPORTATION
MATERIALS TESTING FUNCTION
A REPORT TO THE
ARIZONA STATE LEGISLATURE
REPORT 82- 6
TABLE OF CONTENTS
SUMMARY
INTRODUCTION AND BACKGROUND
FINDINGS
FINDING I
Reducing o v e r s t a f f i n g i n the d i s t r i c t labs w i l l save
up t o $ 475,000 annually.
CONCLUSION
RECOMMENDAT IONS
FINDING I1
ADOT could save $ 175,000 annually by reducing s t a f f
i n the D i s t r i c t 1 Area Lab.
CONCLUSION
RECOMMENDAT IONS
FINDING I11
ADOT could perform the materials i n v e s t i g a t i o n function
more e f f i c i e n t l y .
CONCLUSION
RECOMMENDAT IONS
FINDING I V
ADOT could reduce c o s t s by combining d r i l l crews i n t o
one u n i t .
CONCLUSION
Page
i
1
RECOMMENDAT IONS
FINDING V
ADOT could reduce the frequency of m a t e r i a l s sampling
and t e s t i n g .
CONCLUSION
RE COMMENDATIONS
AREAS FOR FURTHER AUDIT WORK
WRITTEN RESPONSE TO AUDITOR GENERAL'S REPORT
APPENDIX I
S t a f f i n g p r o j e c t i o n model f o r ADOT d i s t r i c t m a t e r i a l s
labs
LIST OF TABLES
TABLE 1 -
TABLE 2 -
TABLE 3 -
TABLE 4 -
TABLE 5 -
TABLE 6 -
TABLE 7 -
TABLE 8 -
TABLE 9 -
TABLE 10 -
TABLE 11 -
TABLE 12 -
TABLE 13 -
Budgeted FTEs f o r D i s t r i c t Labs and Materials
Section, F i s c a l Years 1980- 81 through 1982- 83
A Comparison of ADOT Payments t o Contractors
( i n m i l l i o n $ 1 versus Budgeted FTEs per D i s t r i c t
Lab f o r F i s c a l Years 1975- 76 through 1980- 81
( converted t o 1982 $ 1
Productivity of D i s t r i c t Labs, F i s c a l Years
1975- 76 through 1980- 81 ( standard t e s t i n g hours
per employee)
Comparison of Budgeted, Actual and Model- generated
FTEs f o r D i s t r i c t Labs: F i s c a l Year 1981- 82
FTE P r o j e c t i o n s f o r D i s t r i c t Labs: F i s c a l Years
1982- 83 through 1984- 85
D i s t r i c t 1 Area Lab Work Load and S t a f f i n g Levels
f o r the F i r s t Six Months of 1981 and 1982
Area Lab Productivity f o r the F i r s t Six Months of
1981 and 1982
Actual and J u s t i f i e d S t a f f i n g Levels f o r the Area
Lab - January through June 1982
Number of Personnel i n Field Crews, Geotechnical
S e r v i c e s , M a t e r i a l s S e c t i o n
Movement of ADOT Core Crew f o r Selected Weeks
during the Period January 1, 1981, through
March 31, 1982
C l a s s i f i c a t i o n of Positions Associated with Each
D r i l l Crew
S t r u c t u r e s Section D r i l l Crew Work Load Calendar
Years 1974- 1981
D r i l l i n g Equipment Usage a s Shown by Percentage
of Days i n Use - 1980- 81
Page
6
LIST OF FIGURES
Page
FIGURE 1 - ADOT Engineering D i s t r i c t s P r i o r t o J u l y 1, 1982 3
FIGURE 2 - New Engineering D i s t r i c t s Arizona Department of
T r a n s p o r t a t i o n
FIGUKE 3 - Travel Schedule f o r Core Crew August 10- 13, 1981 2 9
FIGURE A - S t a f f i n g P r o j e c t i o n Model f o r D i s t r i c t Labs 1- 5
SUMMARY
The Office of the Auditor General has completed a performance audit of the
Arizona Department of Transportation ( ADOT) - m a t e r i a l s t e s t i n g function.
This a u d i t was conducted i n response t o Senate B i l l 1001, enacted by the
T h i r t y - f i f t h L e g i s l a t u r e , Second Special Session requiring a performance
audit of the Arizona Department of Transportation and is one of a s e r i e s
of a u d i t s t o be completed on the Department.
ADOT conducts inspection and t e s t i n g a c t i v i t i e s during highway
c o n s t r u c t i o n t o control the q u a l i t y of roads b u i l t under i t s supervision.
ADOT p r o j e c t engineers a r e responsible t o see t h a t t h e materials and
workmanship incorporated i n t h e i r p r o j e c t s meet standards. To carry out
t h i s charge, each p r o j e c t engineer i s a s s i s t e d on the c o n s t r u c t i o n s i t e by
a s t a f f of inspectors. Samples of c o n s t r u c t i o n m a t e r i a l s a r e sent t o ADOT
l a b o r a t o r i e s f o r t e s t i n g . ADOT has a t h r e e - l e v e l o r g a n i z a t i o n f o r
materials t e s t i n g , c o n s i s t i n g of p r o j e c t or a r e a l a b s , d i s t r i c t labs and a
c e n t r a l lab. In addition t o t e s t i n g materials during construction, ADOT
has several crews which perform m a t e r i a l s i n v e s t i g a t i o n and t e s t i n g
a c t i v i t i e s p r i o r t o c o n s t r u c t i o n i n order t o obtain data useful i n the
design of the highway. These l a t t e r crews a r e located i n the Materials
Section - Highways Division.
Our preliminary review included p r o j e c t inspect ion a c t i v i t i e s a s well as
the materials t e s t i n g function. However, e a r l y i n our a u d i t ADOT
contracted with two c o n s u l t i n g f i r m s t o address the major problem areas we
had i d e n t i f i e d regarding p r o j e c t inspection a c t i v i t i e s . Therefore, our
d e t a i l e d audit work was limited t o the materials t e s t i n g function.
We found t h a t t h e materials t e s t i n g function is o v e r s t a f f e d because ADOT
has f a i l e d t o reduce s t a f f i n g l e v e l s t o match declining work loads.
Overstaffing occurs i n several d i s t r i c t labs, the D i s t r i c t 1 Area Lab and
i n s e v e r a l u n i t s of the Materials Section - Highways Division. In t o t a l ,
we i d e n t i f i e d 33 p o s i t i o n s which could be eliminated f o r an annual savings
of $ 825,000. We a l s o found t h a t m a t e r i a l s t e s t i n g c o s t s could be reduced
by c o n t r o l l i n g oversampling. Each of these problem areas is summarized
below.
D i s t r i c t labs were overstaffed by a t o t a l of 10 p o s i t i o n s i n f i s c a l year
1981- 82. Unless adjustments a r e made, t h i s o v e r s t a f f i n g w i l l increase.
According t o our analysis of f u t u r e work loads, ADOT can reduce d i s t r i c t
lab s t a f f i n g by 19 p o s i t i o n s by July 1, 1983, saving $ 475,000 annually.
These reductions a r e supported by ADOT's plans f o r d i s t r i c t
reorganization-- developed during the course of our audit-- which now c a l l
for a reduction of 16 l a b p o s i t i o n s ( s e e page 9).
The ADOT D i s t r i c t 1 Area Lab i s a l s o o v e r s t a f f e d by a t o t a l of seven
p o s i t i o n s . During the f i r s t half of 1982, p r o d u c t i v i t y declined 47
percent due t o t h i s o v e r s t a f f i n g . Future work loads a r e not expected t o
increase; t h e r e f o r e , seven p o s i t i o n s should be eliminated-- an annual
savings of $ 175,000 ( see page 19).
ADOT could save a t l e a s t $ 125,000 annually by performing t h e m a t e r i a l s
i n v e s t i g a t i o n function more e f f i c i e n t l y . ADOT could eliminate t h r e e
p o s i t i o n s and reduce t r a v e l - r e l a t e d c o s t s by t r a n s f e r r i n g c o r e sampling
a c t i v i t i e s from the M a t e r i a l s S e c t i o n - Highways Division t o the d i s t r i c t
labs. Another two p o s i t i o n s could be eliminated by reducing the s i z e of
the p i t i n v e s t i g a t i o n crews i n the M a t e r i a l s S e c t i o n ( s e e page 25).
ADOT could reduce personnel and equipment costs by combining drill crews
of the Structures and Materials Sections (~ ighwa~ Dsi vision) into a single
unit. Current work load does not justify both crews. A consolidation
would enable ADOT to avoid the replacement of some expensive drilling
equipment-- a savings of $ 150,000. In addition, two positions could be
eliminated, saving another $ 50,000 annually ( see page 35).
ADOT could further reduce materials testing costs by controlling
oversampling. In some instances, project personnel have not fully
inplemented new sampling guideline ..- - 511: ~ a t % i y z u ~ r . t r o l
oversampling. In addition, ADOT should consider eliminating some concrete
cylinder tests as another way to reduce lab work loads ( see page 43).
We identified potential areas for further audit work that we could not
pursue due to time constraints. For a list of these areas, see page 49.
iii
INTRODUCTION AND BACKGROUND
The Office of the Auditor General has conducted a performance a u d i t of the
Arizona Department of T r a n s p o r t a t i o n ( ADOT,) m a t e r i a l s t e s t i n g and
i n s p e c t i o n functions, i n response t o Senate B i l l 1001 enacted by the
T h i r t y - f i f t h L e g i s l a t u r e , Second Special Session i n 1981. This r e p o r t is
one of a s e r i e s t o be completed on t h e Department of Transportation.
Since its c r e a t i o n a s the Highway Department i n 1927, ADOT has conducted
i n s p e c t i o n and t e s t i n g a c t i v i t i e s during c o n s t r u c t i o n t o c o n t r o l t h e
q u a l i t y of roads b u i l t under i t s s u p e r v i s i o n . T h i s system of i n s p e c t i o n
and t e s t i n g , however, became more s o p h i s t i c a t e d and complex a f t e r the
Federal Government authorized t h e I n t e r s t a t e System i n 1956 and began
funding a l a r g e p o r t i o n of t h e highway c o n s t r u c t i o n i n Arizona. Current
Federal Highway Administration ( FHwA) r e g u l a t i o n s s t a t e :
" Sampling, t e s t i n g , and inspect ion procedures should
provide adequate assurance t h a t t h e m a t e r i a l s and work
incorporated i n each Federal- aid highway c o n s t r u c t i o n
p r o j e c t a r e i n conformity with t h e requirements of the
approved plans and s p e c i f i c a t i o n s , including approved
changes ."
ADOT p r o j e c t engineers have t h e r e s p o n s i b i l i t y t o see t h a t t h e m a t e r i a l s
and workmanship incorporated i n t h e i r p r o j e c t s meet standards. To c a r r y
out t h i s charge each p r o j e c t engineer is a s s i s t e d by a s t a f f of i n s p e c t o r s
and t e s t e r s . The i n s p e c t o r s a r e c o n s t a n t l y a t the c o n s t r u c t i o n s i t e ,
checking t h e c o n t r a c t o r ' s work and taking samples of m a t e r i a l s . These
samples a r e sent t o the l a b o r a t o r y f o r t e s t i n g .
FHWA r e q u i r e s ADOT t o perform two types o f t e s t i n g during c o n s t r u c t i o n :
I I a. Acceptance Samples and Tests - a l l of the samples and
t e s t s used f o r determining the q u a l i t y and
a c c e p t a b i l i t y of the m a t e r i a l s and workmanship which
have been o r are being incorporated i n t h e p r o j e c t .
" b. Independent Assurance Samples and Tests - independent
samples and t e s t s o r o t h e r procedures performed by
S t a t e personnel who do not normally have d i r e c t
r e s p o n s i b i l i t y f o r . . . acceptance sampling and
t e s t i n g . They a r e used f o r the purpose of making
independent checks on the r e l i a b i l i t y of the r e s u l t s
obtained i n acceptance sampling and t e s t i n g . "
AlJOT has a three- level o r g a n i z a t i o n f o r m a t e r i a l s t e s t i n g , c o n s i s t i n g of
p r o j e c t l a b s , d i s t r i c t labs and a c e n t r a l lab.
P r o j e c t labs a r e q u a l i t y acceptance labs-- the q u a l i t y c o n t r o l l a b s of the
highway c o n s t r u c t i o n industry. The t e s t e r s work f o r the project
engineers. Their t e s t r e s u l t s a r e used by t h e p r o j e c t engineer t o stop a
p r o j e c t i f necessary o r t o reduce payments i f m a t e r i a l s f a i l t o meet
s p e c i f i c a t i o n s . Project labs o p e r a t e o u t of t r a i l e r s o r o t h e r temporary
f a c i l i t i e s a t the job s i t e s ; i n g e n e r a l , they have no l a r g e o r expensive
t e s t equipment a s compared with the c e n t r a l and d i s t r i c t l a b s . Sometimes
several p r o j e c t s i n the same area a r e supported by a s i n g l e lab; i n these
cases the lab is known as an a r e a lab.
Each ADOT d i s t r i c t * a l s o has a lab with the following d u t i e s :
1. Perform independent assurance sampling and t e s t i n g ;
2. Perform t h e c o n s t r u c t i o n acceptance t e s t s t h a t p r o j e c t lab
t e s t e r s are not equipped o r t r a i n e d t o perform;
3. Design and t e s t m a t e r i a l s used by maintenance crews;
4. Review proj ec t - l e v e l sampling and t e s t i n g procedures and
documentation;
5 . Check and c a l i b r a t e t e s t i n g equipment i n p r o j e c t l a b s ;
* Each p r o j e c t engineer is under the j u r i s d i c t i o n of a d i s t r i c t
engineer. During f i s c a l year 1982- 83, ADOT is reducing the number of
d i s t r i c t s from seven t o four. Figures 1 and 2 show t h e alignments of
these d i s t r i c t s .
FIGURE 1
ADOT Engineering Districts
P r i o r t o J u l y i, 1982
FIGURE 2
6. Train d i s t r i c t and p r o j e c t personnel i n t e s t i n g methods,
procedures, equipment, e t c ;
7. Assist i n materials research a c t i v i t i e s ; and
8. Act as m a t e r i a l s consultant t o t h e D i s t r i c t Engineer, p r o j e c t
s t a f f s and maintenance personnel.
The c e n t r a l lab is p a r t of the M a t e r i a l s S e c t i o n , Highways Division. The
major d u t i e s of the c e n t r a l l a b a r e :
1. Perform t e s t s on c o n s t r u c t i o n m a t e r i a l s which cannot be t e s t e d by
p r o j e c t or d i s t r i c t labs ( These t e s t s r e q u i r e s p e c i a l i z e d
equipment and s k i l l s . ) ;
2. Design o r approve mixes of m a t e r i a l s t o be used as road s u r f a c e s ;
3. Review t e s t i n g procedures, equipment, e t c . used i n the d i s t r i c t
labs;
4. Develop and provide t r a i n i n g i n m a t e r i a l s - r e l a t e d a r e a s ;
5. Develop and improve ADOT spec i f i c a t ions regarding road- building
m a t e r i a l s ; and
6. Perform preconstruction t e s t s .
Preconstruction t e s t s a r e performed on geological samples obtained by
various f i e l d crews i n the Materials Section. These geological
i n v e s t i g a t i o n s are c r i t i c a l t o the design of the roadway and the location
of road- building m a t e r i a l s .
Table 1 shows the number of s t a f f ( FTES) budgeted f o r the d i s t r i c t labs
and the M a t e r i a l s S e c t i o n f o r f i s c a l years 1980- 81 through 1982- 83.
TABLE 1
Unit
BUDGETED FTEs FOR DISTRICT LABS AND
MATERIALS SECTION, FISCAL YEARS 1980- 81 THROUGH 1982- 83
D i s t r i c t Labs
Materials Section
Administration
Geotechnical Services
Pavement Services
Materials T e s t i n g S e r v i c e s
( c e n t r a l lab)
TOTAL - Materials Section
Budgeted FTEs
1980- 81 1981- 82 1982- 83
* The M a t e r i a l s S e c t i o n was not organized i n t h i s manner during 1980- 81
and 1981- 82.
As of J u l y 1982, p r o j e c t engineers supervised an approximate t o t a l of 550
ADOT personnel on c o n s t r u c t i o n p r o j e c t s throughout t h e S t a t e . A number of
these employees a r e d i r e c t l y involved i n m a t e r i a l s sampling and t e s t i n g .
Audit S c o ~ ean d P u r ~ o s e
The purpose of our audit work was t o
1. Review the d i v i s i o n of r e s p o n s i b i l i t i e s among the d i s t r i c t labs
and the Materials Section, Highways Division.
2. Evaluate the p r o d u c t i v i t y of the Central Lab and d i s t r i c t l a b s ,
and p r o j e c t f u t u r e work loads and s t a f f i n g requirements f o r these
labs.
3. Evaluate the e f f i c i e n c y of various a c t i v i t i e s w i t h i n t h e
Materials Section, Highways Division.
4. Review the need f o r two separate d r i l l i n g crews within the
Highways Division.
5. Determine i f the frequency of m a t e r i a l s sampling and t e s t i n g
could be reduced.
6. Evaluate t h e i n t e g r i t y of the c o n s t r u c t i o n i n s p e c t i o n and t e s t i n g
system.
Because of time c o n s t r a i n t s , we were unable t o address s e v e r a l i s s u e s of
concern. For a l i s t of p o t e n t i a l f u t u r e a u d i t i s s u e s , see page 49.
Several other issues were of i n t e r e s t e a r l y i n t h e a u d i t but are being
addressed by other e n t i t i e s . One of these i s s u e s was the management of
project- level personnel. During our a u d i t , ADOT contracted with Roy
Jorgensen Associates t o develop a Construction Engineering Manpower
Management System which would allow ADOT t o s t a f f c o n s t r u c t i o n p r o j e c t s
more e f f i c i e n t l y . Early i n t h e a u d i t we a l s o considered the f e a s i b i l i t y
of r e q u i r i n g c o n t r a c t o r s t o perform more surveying and staking . during
construction. This i s s u e , however, is being addressed by another ADOT
consultant.
The Auditor General and s t a f f express a p p r e c i a t i o n t o ADOT's inspection
and t e s t i n g s t a f f f o r t h e i r cooperation and a s s i s t a n c e during the course
of our a u d i t .
FINDING I
REDUCING OVERSTAFFING I N THE DISTRICT LABS WILL SAVE UP TO $ 475,000
ANNUALLY.
ADOT d i s t r i c t m a t e r i a l s l a b s a r e o v e r s t a f f e d because ADOT has f a i l e d t o
adjust s t a f f i n g l e v e l s t o match changes i n work load. The amount of
highway c o n s t r u c t i o n f l u c t u a t e d dramatically i n most d i s t r i c t s i n recent
years, and d i s t r i c t lab work load varied accordingly. However, lab
s t a f f i n g l e v e l s remained f a i r l y constant. As a r e s u l t , lab p r o d u c t i v i t y
varied tremendously and d i s t r i c t l a b s on the whole were o v e r s t a f f e d by 10
p o s i t i o n s i n f i s c a l year 1981- 82. In a d d i t i o n , u n l e s s adjustments a r e
made t h i s o v e r s t a f f i n g w i l l increase. Analyzing f u t u r e work loads we
found ADOT can reduce d i s t r i c t lab s t a f f i n g by 19 p o s i t i o n s by July 1,
1983, producing b475,000 i n annual savings. These reductions a r e
supported by ADOT's plans f o r d i s t r i c t reorganization-- developed during
the course of our audit-- which now c a l l f o r a reduction of 16 p o s i t i o n s .
Highway Construction Fluctuated,
but S t a f f i n g Remained Constant
ADOT has not adjusted d i s t r i c t lab s t a f f i n g l e v e l s t o match changes i n
work load. As the amount of highway c o n s t r u c t i o n f l u c t u a t e d from year t o
year, d i s t r i c t lab work load a l s o varied.* However, lab s t a f f i n g l e v e l s
remained f a i r l y constant.
D i s t r i c t lab work load is l a r g e l y a function of highway construction. The
l a b ' s primary r o l e is t o provide t e s t i n g s e r v i c e s during p r o j e c t
construction.** Thus, when c o n s t r u c t i o n d e c l i n e s i n a d i s t r i c t , work
load f o r the d i s t r i c t lab a l s o d e c l i n e s .
* Highway construction, as used i n t h i s r e p o r t , includes p r e s e r v a t i o n
p r o j e c t s as well as new c o n s t r u c t i o n and reconstruction.
- k * Preconstruction t e s t i n g a c t i v i t i e s are performed l a r g e l y by the ADOT
c e n t r a l lab.
TABLE 2
A COMPARISON OF ADOT PAYMENTS TO CONTRACTORS ( IN MILLION $ 1
VERSUS BUDGETED FTEs PER DISTRICT LAB FOR
FISCAL YEARS 1975- 76 THROUGH 1980- 81
( CONVERTED TO 1982 $ 1
D i s t r i c t 1:
C o n t r a c t o r Payments $ 46.4 $ 53.4 $ 72.7 $ 44.2 $ 57.8 $ 68.5
Budgeted FTE 10 11 11 11 11 11
D i s t r i c t 2:
C o n t r a c t o r Payments $ 31.1 $ 35.3 $ 29.9 $ 39.2 $ 22.4 $ 15.9
Budgeted FTE 7 7 6 6 6 6 a
D i s t r i c t 3:
C o n t r a c t o r Payments $ 19.2 $ 4.9 $ 6.8 $ 8.2 $ 10.5 $ 17.7
Budgeted FTE 6 6 6 5 5 5
D i s t r i c t 4:
C o n t r a c t o r Payments $ 8.9 $ 11.1 $ 19.3 $ 26.6 $ 41.6 $ 20.0
Budgeted FTE 9 8 8 8 8 8
D i s t r i c t 5:
a
C o n t r a c t o r Payments $ 22.7 $ 16.9 $ 23.7 $ 14.4 $ 20.7 $ 26.5
Budgeted FTE 9 9 8 7 7 7
D i s t r i c t 6:
C o n t r a c t o r Payments $ 56.2 $ 57.6 $ 56.3 $ 41.6 $ 35.5 $ 20.9
Budgeted FTE 7 7 8 8 7 6
D i s t r i c t 7:
C o n t r a c t o r Payments $ 30.2 $ 17.5 $ 13.4 $ 13.0 $ 15.2 $ 12.0
Budgeted FTE 7 7 7 7 6 6
In recent years the amount of highway c o n t r u c t i o n i n most d i s t r i c t s has
v a r i e d , but d i s t r i c t s t a f f i n g l e v e l s have remained f a i r l y constant. Table
2 compares the amount of c o n s t r u c t i o n i n each d i s t r i c t as measured by
payments to c o n t r a c t o r s ( converted t o 1982 $ 1 versus the budgeted FTEs f o r
each d i s t r i c t lab for f i s c a l years 1975- 76 through 1980- 81.
As shown i n Table 2, between 1976- 77 and 1980- 81 annual c o n s t r u c t i o n i n
D i s t r i c t 6 declined from $ 58 m i l l i o n t o $ 21 m i l l i o n , but the number of
budgeted FTEs f o r the D i s t r i c t lab descreased only by one. D i s t r i c t 4 lab
had eight budgeted FTEs i n both 1979- 80 and 1980- 81, although t h e amount
of c o n s t r u c t i o n f e l l from $ 42 m i l l i o n t o $ 20 m i l l i o n .
Wide D i s p a r i t i e s i n Lab P r o d u c t i v i t y
F a i l u r e t o match s t a f f i n g l e v e l s with work load caused wide d i s p a r i t i e s i n
the p r o d u c t i v i t y of d i s t r i c t labs. Some l a b s performed a s l i t t l e a s
one- fourth the amount of t e s t i n g per employee a s o t h e r l a b s ; i n a d d i t i o n ,
most d i s t r i c t labs experienced wide f l u c t u a t i o n s i n t h e i r own p r o d u c t i v i t y
from year t o year.
Method f o r Measuring P r o d u c t i v i t y - We used annual t e s t i n g hours per
employee as an i n d i c a t o r of lab productivity.* We f i r s t determined the
types and number of samples processed annually by each lab. Next, each
type of sample was assigned a standard t e s t i n g time-- that is, an estimate
of how much time was required t o perform a l l necessary t e s t s on t h a t
sample.** This information allowed us t o c a l c u l a t e each l a b ' s annual
t e s t i n g work load expressed as t o t a l standard t e s t i n g hours ( STH).
F i n a l l y , we converted each l a b ' s annual work load ( STH) t o standard
t e s t i n g hours per employee.***
* Although m a t e r i a l s t e s t i n g i s not a d i s t r i c t l a b ' s only d u t y , it i s
the primary a c t i v i t y and most other a c t i v i t i e s r e l a t e t o the t e s t i n g
function. Other a c t i v i t i e s include lab a d m i n i s t r a t i v e d u t i e s ,
q u a l i t y c o n t r o l of p r o j e c t - l e v e l t e s t i n g , obtaining m a t e r i a l s
samples, t r a i n i n g and informal m a t e r i a l s research.
- A * Standard t e s t i n g times per sample were developed i n c o n s u l t a t i o n with
ADOT m a t e r i a l s personnel.
* Appendix I explains i n more d e t a i l how we measured p a s t p r o d u c t i v i t y
of the d i s t r i c t labs.
Results of Analysis - Analysis of the standard t e s t i n g hour d a t a showed
annual p r o d u c t i v i t y v a r i e d a s much a s 400 percent between d i s t r i c t labs
and as much as 200 percent within labs over a six- year period. Table 3
shows the annual p r o d u c t i v i t y of each lab where d a t a was a v a i l a b l e f o r the
period 1975- 76 through 1980- 81.
D i s t r i c t 1
( Phoenix)
D i s t r i c t 2
( Tucson)
D i s t r i c t 3
afford)
D i s t r i c t 4
( HOl brook)
D i s t r i c t 5
( F l a g s t a f f )
D i s t r i c t 6
( P r e s c o t t )
TABLE 3
PRODUCTIVITY OF DISTRICT LABS,
FISCAL YEARS 1975- 76 THROUGH 1980- 81
( STANDARD TESTING HOURS PER EMPLOYEE)
D i s t r i c t 7
lobe) 576 352 479 635 669 6 14
The d i s p a r i t i e s among d i s t r i c t s are best i l l u s t r a t e d by D i s t r i c t s 2 and 7.
D i s t r i c t 2 ' s productivity of 1,332 STH/ FTE i n 1978- 79 was nearly 400
percent higher than D i s t r i c t 7 ' s p r o d u c t i v i t y of 352 STH/ FTE i n 1976- 77.
D i s t r i c t s 2 and 3 i l l u s t r a t e the f l u c t u a t i o n s t h a t occurred w i t h i n l a b s
from year t o year. Annual p r o d u c t i v i t y i n D i s t r i c t 2 ranged from 640 t o
1,332 STH/ FTE, and D i s t r i c t 3 had a low of 466 and a high of 975 STH/ FTE
f o r the two years data was available-- more than 200 percent v a r i a t i o n i n
both d i s t r i c t s .
D i s t r i c t Labs Are Overstaffed
D i s t r i c t labs are s u b s t a n t i a l l y o v e r s t a f f e d , according t o our a n a l y s i s of
lab work load and productivity. Our a n a l y s i s revealed t h a t d i s t r i c t labs
on the whole were overstaffed by 10 p o s i t i o n s i n f i s c a l year 1981- 82 and
t h a t 19 p o s i t i o n s should be cut by f i s c a l year 1983- 84. This problem of
o v e r s t a f f i n g was previously addressed i n a 1978 ADOT i n t e r n a l study;
however, s t a f f i n g l e v e l s remained l a r g e l y unchanged u n t i l f i s c a l year
1982- 83.
Method For Projecting Staffing Requirements - We developed a model f o r
determining lab s t a f f i n g requirements based on work load p r o j e c t i o n s . This
model c o n s i s t s of the fo, llowing elements:
1. Productivity standards, expressed a s t o t a l number of t e s t i n g hours
per employee per year.
2. A s t a t i s t i c a l formula f o r p r o j e c t i n g t o t a l lab t e s t i n g hours or
work load on the b a s i s of the estimated highway c o n s t r u c t i o n
program f o r each d i s t r i c t .
3. Conversion of projected lab work load ( a product of element 2 )
i n t o FTE requirements by applying the p r o d u c t i v i t y standards i n
element 1.
The model should enable ADOT t o make reasonable lab s t a f f i n g p r o j e c t i o n s
more than one year i n advance.* For a d e t a i l e d discussion of t h e model,
see Appendix I.
* The Executive Budget Office and J o i n t L e g i s l a t i v e Budget Committee
analysts may a l s o be i n t e r e s t e d i n t h i s model f o r budgeting purposes.
Labs Overstaffed by 10 P o s i t i o n s i n F i s c a l Year 1981- 82 - According t o our
a n a l y s i s , ADOT o v e r s t a f f e d d i s t r i c t labs by 10 p o s i t i o n s i n f i s c a l year
1981- 82. Table 4 compares budgeted FTEs, a c t u a l FTEs and FTEs required f o r
f i s c a l year 1981- 82. The t a b l e reveals t h a t o v e r s t a f f i n g occurred i n a l l
d i s t r i c t labs except D i s t r i c t 2.
TABLE 4
COMPARISON OF BUDGETED, ACTUAL AND MODEL- GENERATED FTEs
FOR DISTRICT LABS: FISCAL YEAR 1981- 82
D i s t r i c t 1
D i s t r i c t 2
D i s t r i c t 3
D i s t r i c t 4
D i s t r i c t 5
D i s t r i c t 6
D i s t r i c t 7
T o t a l s
FTEs Required
Budgeted FTEs Actual FTEs by Model Overstaffing
1981- 82 1981- 82* 1981- 82 1981- 82
* Actual FTEs do not include s e c r e t a r i a l p o s i t i o n s .
.'--'-
0- D i s t r i c t 4 lab reduced a c t u a l FTEs from seven t o four during the l a s t
half of f i s c a l year 1981- 82.
S t a f f Should Be Reduced Nearly 50 Percent by J u l y 1983 - Our a n a l y s i s
i n d i c a t e s t h a t ADOT should reduce d i s t r i c t lab s t a f f nearly 50 percent by
July 1, 1983. This reduction of 19 FTEs would save nearly one- half m i l l i o n
d o l l a r s annually. Table 5 shows the FTE requirements f o r d i s t r i c t labs i n
f i s c a l years 1982- 83 through 1984- 85 as projected by the model.
TABLE 5
FTE PROJECTIONS FOR DISTRICT LABS:
FISCAL YEARS 1982- 83 THROUGH 1984- 85
D i s t r i c t
T o t a l s
FTEs Required FTEs Required FTEs Required
Actual FTEs by Model by Model by Model
1981- 82 1982- 83 1983- 84 1984- 85
10 8 8
4 5 7
3 Eliminated under f o u r - d i s t r i c t plan
2 Eliminatedunder f o u r - d i s t r i c t plan
3 ( ~ e wD i s t r i c t 4)
4 * 4%
4 ( New D i s t r i c t 3)
4 > k 4 *
4 Eliminated under f o u r - d i s t r i c t plan
* According t o the model, D i s t r i c t s 3 and 4 each need only t h r e e FTEs i n
f i s c a l year 1983- 84 and 1984- 85. However, the model- generated FTEs i n
these cases have been adjusted upward f o r t h r e e reasons: t o 1) o f f s e t
t h e a d d i t i o n a l t r a v e l time which w i l l be required under the
f o u r - d i s t r i c t plan; 2) provide adequate s t a f f i n g i n times of sickness
o r vacation; and 3) o f f s e t the increased work load i f core sampling
d u t i e s a r e t r a n s f e r r e d t o the d i s t r i c t labs ( s e e Finding 111).
Table 5 shows t h a t the 1981- 82 s t a f f i n g l e v e l ( 40 FTES) should be reduced
by 19 p o s i t i o n s i n order t o reach the j u s t i f i a b l e l e v e l of 21 FTEs i n
f i s c a l year 1983- 84. Assuming t h a t s a l a r y and employee- related expenses
average $ 25,000 per year f o r each FTE, a reduction of 19 FTEs r e p r e s e n t s an
annual savings of $ 475,000.
The model's 1983- 84 and 1984- 85 FTE p r o j e c t i o n s f o r D i s t r i c t 1, a s well as
the 1984- 85 p r o j e c t i o n f o r D i s t r i c t 2, may be i n f l a t e d . These p r o j e c t i o n s
are based on o f f i c i a l highway c o n s t r u c t ion estimates which include
unusually large sums f o r purchasing right- of- way. Right- of- way a c q u i s i t i o n
does not generate work load f o r the d i s t r i c t l a b ; t h e r e f o r e , the model's
estimate of work load is probably o v e r s t a t e d . The D i s t r i c t 1 l a b , f o r
example, may be able t o support a c t u a l c o n s t r u c t i o n i n 1983- 84 with fewer
than e i g h t FTEs.
1978 Study Revealed Overstaffing - Overstaffing i n t h e d i s t r i c t labs has
been previously addressed. A 1978 ADOT i n t e r n a l study concluded t h a t some
d i s t r i c t labs were o v e r s t a f f e d and recommended t h a t f u t u r e s t a f f i n g l e v e l s
be based on p r o j e c t i o n s of lab work load. However, s t a f f i n g l e v e l s
remained l a r g e l y unchanged through f i s c a l year 1981- 82 ( See Tables 2 and
4).
ADOT D i s t r i c t Reorganization - During the course of our a u d i t , ADOT
developed plans t o reorganize the d i s t r i c t s and reduce the number of
d i s t r i c t personnel. An i n t e r n a l committee recommended t h a t t h e number of
d i s t r i c t s be reduced from seven t o four. The t r a n s i t i o n t o four d i s t r i c t s
w i l l occur during f i s c a l year 1982- 83 and w i l l e l i m i n a t e some d i s t r i c t lab
FTEs. In August 1982 ADOT o f f i c i a l l y adopted a plan t o reduce t h e number
of d i s t r i c t lab personnel t o 24 by J u l y 1983. As shown i n Table 5 , our
analysis-- which was completed p r i o r t o ADOT's-- indicates t h a t t o t a l s t a f f
i n the d i s t r i c t labs should be only 21 FTEs a t t h a t time.
Changes i n Record Keeping Are Needed - Accuracy of FTE p r o j e c t i o n s could be
improved i n the f u t u r e i f d i s t r i c t labs made changes i n t h e way they record
work load data. As explained i n Appendix I, lab personnel p r e s e n t l y log
the types of samples received each day but not the kinds of t e s t s performed
on each sample. Therefore, we had t o estimate past work load ( t e s t i n g
hours) using the number of samples. I f lab personnel began recording the
types of t e s t s performed and summarized t h i s d a t a p e r i o d i c a l l y , then
standard t e s t i n g hours per lab could be c a l c u l a t e d more p r e c i s e l y ,
eventually improving the model i n two ways:
1. The s e l e c t i o n of p r o d u c t i v i t y standards ( STH/ FTE) would be based
on more exact h i s t o r i c a l measures of p r o d u c t i v i t y and
2. The r e l a t i o n s h i p between c o n t r a c t o r payments and standard t e s t i n g
hours needed t o support t h a t c o n s t r u c t i o n could be e s t a b l i s h e d
more p r e c i s e l y . ( s e e Appendix I f o r explanation of the
r e l a t i o n s h i p between c o n t r a c t o r payments and standard t e s t i n g
hours. )
* A s i g n i f i c a n t change i n sampling frequency would a f f e c t the
r e l a t i o n s h i p between c o n t r a c t o r payments and standard t e s t i n g hours and
thus would a l t e r the model's p r o j e c t i o n formula. See Appendix I.
The model may a l s o need t o be adjusted i n the f u t u r e t o r e f l e c t changes i n
the frequency of sampling and t e s t i n g during c o n s t r u c t i o n ( see Finding V) .
If ADOT reduces sampling frequency s i g n i f i c a n t l y , then the model o v e r s t a t e s
the number of FTEs needed t o support f u t u r e e s t i m a t e d c o n s t r u c t i o n . *
CONCLUSION
ADOT has f a i l e d t o a d j u s t d i s t r i c t lab s t a f f i n g l e v e l s t o match changes i n
work load. As a r e s u l t , d i s t r i c t labs a r e s u b s t a n t i a l l y o v e r s t a f f e d .
Keducing o v e r s t a f f i n g w i l l save up t o $ 475,000 annually.
1. ADOT immediately begin reducing d i s t r i c t lab FTEs, working toward a
t o t a l s t a f f of 21 FTEs ( o r fewer) by July 1, 1983.
2. DOT require d i s t r i c t lab personnel t o begin logging the number and
types of t e s t s performed each day and summarizing t h i s data
p e r i o d i c a l l y i n order t o improve t h e p r o j e c t i o n model developed by
audit s t a f f .
3. ADOT use t h e p r o j e c t i o n model a s t h e b a s i s f o r budgeting FTEs f o r
d i s t r i c t labs.
4. ADOT p e r i o d i c a l l y review the p r o d u c t i v i t y of each d i s t r i c t lab,
comparing a c t u a l p r o d u c t i v i t y a g a i n s t the standard.
FINDING I1
ADOT COULD SAVE $ 175,000 ANNUALLY BY REDUCING STAFF I N THE DISTRICT 1 AREA
LAB.
The ADOT Division 1 Area Lab was o v e r s t a f f e d by seven p o s i t i o n s during the
f i r s t half of 1982. This o v e r s t a f f i n g r e p r e s e n t s a n annual c o s t of
$ 175,000. Because a d e c l i n e i n work load i n 1982 was not matched by a
reduction i n s t a f f s i z e , p r o d u c t i v i t y dropped 47 percent from the 1981
l e v e l . This d e c l i n e i n work load is not expected t o change i n t h e near
f u t u r e . I n a d d i t i o n t o e l i m i n a t i n g p o s i t i o n s i n t h e Area Lab, ADOT may
a l s o be able t o reduce t e s t i n g c o s t s i n D i s t r i c t 1 by expanding the Area
Lab's j u r i s d i c t i o n t o include a l l c o n s t r u c t i o n within t h e d i s t r i c t .
Background
The D i s t r i c t 1 Area Lab functions a s a p r o j e c t - l e v e l lab f o r a l l ADOT
p r o j e c t s i n the Phoenix a r e a except the 1- 10 p r o j e c t s , which a r e supported
by a separate lab. Materials samples from t h e c o n s t r u c t i o n s i t e a r e taken
and t r a n s p o r t e d t o the Area Lab by p r o j e c t personnel, whereas samples from
commercial p l a n t s ( concrete and a s p h a l t p l a n t s ) a r e obtained by Area Lab
personnel. The Area Lab r e p o r t s t h e r e s u l t s of a l l t e s t s t o the
r e s p e c t i v e p r o j e c t engineers.
Work Load and P r o d u c t i v i t y Declined
ADOT has not adjusted the Area Lab s t a f f i n g l e v e l t o match t h e d e c l i n e i n
work load. Work load-- as measured by standard t e s t i n g hours-- during the
f i r s t half of 1982 was 54 percent l e s s than t h e work load f o r the same
period i n 1981. Table 6 compares work load and s t a f f i n g l e v e l s f o r the
same six- month periods i n 1981 and 1982. As shown, monthly work load
declined from 904 t o 418 standard t e s t i n g hours; however, lab s t a f f was
reduced by only one p o s i t i o n ( from 19 t o 18 FTEs).
TABLE 6
DISTRICT 1 AREA LAB
WORK LOAD AND STAFFING LEVELS FOR THE
FIRST SIX MONTHS OF 1981 AND 1982
Monthly
- Year Jan. - Feb. - Mar. Apr. May June Average
1981 STH*: 697 1,046 1,198 1,074 844 564 9 04
FTEs : ( 19) ( 19) ( 19) ( 19) ( 19) ( 19) ( 19)
1982 STH": 5 6 1 278 399 532 332 404 418
FTE s : ( 18) ( 18) ( 18) ( 18) ( 18) ( 18) ( 18)
* Standard t e s t i n g hours
Overstaffing caused p r o d u c t i v i t y t o f a l l almost one- half ( 47 percent)
i n 1982. We determined lab p r o d u c t i v i t y by d i v i d i n g the t e s t i n g work
load ( STH) by t h e number of employees a c t u a l l y performing tests.** As
shown i n Table 7, average monthly p r o d u c t i v i t y f o r comparable periods
i n 1981 and 1982 f e l l from 113 t o 60 standard t e s t i n g hours per
t e s t i n g employee.
* 7 of t h e c u r r e n t 18 personnel perform t e s t s . The o t h e r 11 perform
f i e l d o r a d m i n i s t r a t i v e functions.
TABLE 7
Year
AKEA LAB PRODUCTIVITY
FOR THE FIRST SIX MONTHS OF 1981 AND 1982
1981 Standard t e s t i n g
Jan.
hours : 697
Number of t e s t i n g
personnel: ( 8)
P r o d u c t i v i t y
( STH~ FTE: ) 87
1982 Standard t e s t i n g
hours : 561
Number of t e s t i n g
personnel: ( 7)
P r o d u c t i v i t y
( STH~ FTE: ) 80
Monthly
Feb. Mar. Apr. May June Average
ADOT should reduce the Area Lab s t a f f by a t o t a l of seven
p o s i t i o n s t o regain the 1981 p r o d u c t i v i t y l e v e l . Testing
personnel should be reduced from seven t o f o u r , which was
determined by dividing the 1982 average monthly work load by the
1981 average monthly p r o d u c t i v i t y r a t e . Corresponding reductions
should a l s o be made among the nontesting personnel because t h e i r
a c t i v i t i e s are roughly p r o p o r t i o n a l t o t h e amount of t e s t i n g
performed. Table 8 compares the a c t u a l number of lab personnel
i n 1982 with p o s i t i o n s required t o accomplish t h e work ( based on
1981 p r o d u c t i v i t y r a t e s ) .
TABLE 8
ACTUAL AND JUSTIFIED STAFFING LEVELS FOR THE AREA LAB -
JANUARY THROUGH JUNE 1982
Function
Testing Personnel
Nontesting Personnel:
Sampler
P l a n t i n s p e c t o r s
Lab manager
Lab supervisor
Secretary
Computation of t e s t r e s u l t s
Receiving and logging samples
TOTALS
Actual Personnel Number of Personnel
( ~ a n u a r ~ - ~ u n e ) t o Maintain 1981
1982 P r o d u c t i v i t y Kate
Lab manager and supervisor p o s i t i o n s can be combined due t o the fewer
number of personnel t o supervise. ** Because of the 54 percent d e c l i n e i n work load, one employee can
compute t e s t r e s u l t s a s well a s receive and log samples.
As shown, the area lab could have processed the work load i n 1982 with
seven fewer employees. These seven p o s i t i o n s r e p r e s e n t an annual s a l a r y
c o s t of $ 175,000.
Future Area Lab S t a f f i n g Requirements
The a n t i c i p a t e d f u t u r e work load f o r the Area Lab does not j u s t i f y a
s t a f f i n g l e v e l of 18 FTEs. Area Lab work load should not increase i n the
near f u t u r e , according t o a D i s t r i c t 1 o f f i c i a l and our review of the
estimated c o n s t r u c t i o n program f o r D i s t r i c t 1. Although the 1- 10 and
Papago Freeway p r o j e c t s w i l l bring an increased amount of c o n s t r u c t i o n t o
D i s t r i c t 1, these p r o j e c t s w i l l continue t o be supported by a p r o j e c t lab
r a t h e r than the Area Lab. Therefore, the Area Lab could s e r v i c e f u t u r e
work load with 11 or fewer employees, assuming its j u r i s d i c t i o n remains
unchanged.
Eliminate Project Lab i n D i s t r i c t 1
ADOT may be able t o f u r t h e r reduce p r o j e c t - l e v e l t e s t i n g c o s t s i n D i s t r i c t
1 by expanding the Area Lab's j u r i s d i c t i o n t o include a l l c o n s t r u c t i o n i n
D i s t r i c t 1. Under the new f o u r - d i s t r i c t plan, D i s t r i c t 1 w i l l be
g e o g r a p h i c a l l y s m a l l e r and w i l l e s s e n t i a l l y include the Phoenix
m e t r o p o l i t a n a r e a . Four labs a r e p r e s e n t l y i n t h e Phoenix a r e a : 1) ADOT
Central Lab; 2) D i s t r i c t 1 lab; 3) the Area Lab; and 4 ) a p r o j e c t lab
supporting 1- 10 c o n s t r u c t i o n west of Phoenix. I n o u r o p i n i o n , s e p a r a t e
p r o j e c t l a b s i n a d d i t i o n t o the Area Lab a r e unnecessary i n the new,
smaller D i s t r i c t 1. Under the present arrangement, Area Lab and p r o j e c t
lab personnel a r e s e r v i c i n g overlapping geographical a r e a s . For example,
i n 1982 Area Lab personnel o f t e n t r a v e l e d t o concrete p l a n t s within two
miles of another plant which was supplying concrete t o the 1- 10 p r o j e c t .
We believe equipment and personnel savings may be p o s s i b l e i f t h e Area Lab
supported c o n s t r u c t i o n * i n the Phoenix a r e a , including the 1- 10
p r o j e c t s . The f e a s i b i l i t y of using the Area Lab t o support 1- 10
c o n s t r u c t i o n w i l l become even more apparent a s the freeway progresses
eastward i n t o Phoenix.
CONCLUSION
The ADOT D i s t r i c t 1 Area Lab was o v e r s t a f f e d by seven p o s i t i o n s during t h e
f i r s t half of 1982 because s t a f f s i z e was n o t a d j u s t e d t o match a
declining work load. The work load f o r the Area Lab is not expected t o
increase i n t h e f u t u r e . These seven p o s i t i o n s r e p r e s e n t an annual s a l a r y
cost of $ 175,000.
KECOWENDAT IONS
1. ADOT eliminate seven p o s i t i o n s i n t h e D i s t r i c t 1 Area Lab.
2. ADOT consider expanding the Area ~ a b ' s j u r i s d i c t i o n t o include a l l
c o n s t r u c t i o n i n D i s t r i c t 1 and thereby eliminate the need f o r a
s e p a r a t e p r o j e c t lab.
FINDING I11
ADOT COULD PERFORM THE MATERIALS INVESTIGATION FUNCTION MORE EFFICIENTLY.
ADOT could save $ 125,000 annually by performing the m a t e r i a l s
i n v e s t i g a t i o n function more e f f i c i e n t l y . ADOT could eliminate f i v e
p o s i t i o n s and reduce t r a v e l - r e l a t e d c o s t s by 1) t r a n s f e r r i n g core
sampling a c t i v i t i e s t o the d i s t r i c t l e v e l and 2) reducing the s i z e of the
materials p i t i n v e s t i g a t i o n crews. In a d d i t i o n , during the c o u r s e o f our
a u d i t ADOT c o r r e c t e d a n o t h e r i n e f f i c i e n t pract ice-- that of allowing
members of c e n t r a l crews t o l i v e i n widely s c a t t e r e d a r e a s of the S t a t e
and then commute t o work s i t e s on S t a t e time and i n S t a t e vehicles.
Duties of Materials Field Crews
The Geotechnical S e r v i c e s U n i t , M a t e r i a l s Section c o n s i s t s of f i v e f i e l d
crews and an o f f i c e support s t a f f . Table 9 shows the number of personnel
i n each f i e l d crew.
TABLE 9
NUMBER OF PERSONNEL I N FIELD CREWS,
GEOTECHNICAL SERVICES, MATERIALS SECTION
- Crew
P i t location crew
P i t i n v e s t i g a t i o n crew
D r i l l crew
Core crew
Number of Staff
Crews p e r Crew
* This crew sometimes divides i n t o two crews and i n c l u d e s a n
engineering g e o l o g i s t . -
The p i t l o c a t i o n crew t r a v e l s throughout the S t a t e l o c a t i n g p o t e n t i a l
sources f o r road- building m a t e r i a l s . The two p i t i n v e s t i g a t i o n crews
explore the s i t e s i d e n t i f i e d by the f i r s t crew. Using backhoe equipment,
these two crews dig p i t s , sample the various s o i l l a y e r s and t r a n s p o r t the
samples to the ADOT c e n t r a l l a b o r a t o r y f o r a n a l y s i s . The d r i l l crew
i n v e s t i g a t e s rock q u a r r i e s ( f o r road- building m a t e r i a l s ) and the m a t e r i a l s
below proposed roadways. This crew a l s o removes hazardous m a t e r i a l s from
slopes above e x i s t i n g roadways.* The core crew t r a v e l s throughout the
S t a t e obtaining t h r e e types of pavement core samples: 1) " f i n a l record''
cores of newly completed roadways t o v e r i f y t h a t s p e c i f i c a t i o n s have been
met, 2) cores of e x i s t i n g roadways t o provide d a t a f o r pavement
r e h a b i l i t a t i o n , and 3) cores of e x i s t i n g pavements a s p a r t of ADOT's
research a c t i v i t i e s . A l l cores a r e transported t o the c e n t r a l lab f o r
a n a l y s i s . An o f f i c e support s t a f f provides supervision, work scheduling
and other s e r v i c e s f o r the f i e l d crews.
Transfer of Core Sampling t o D i s t r i c t s
ADOT could eliminate t h r e e p o s i t i o n s and reduce t r a v e l - r e l a t e d c o s t s by
t r a n s f e r r i n g core sampling d u t i e s t o the d i s t r i c t s .
High Travel- Related Costs of Core Crew - The three- man core crew t r a v e l s
e x t e n s i v e l y throughout the S t a t e , i n c u r r i n g high t r a v e l - r e l a t e d
costs-- including employee t r a v e l time, v e h i c l e usage and per diem
expenses. We analyzed the crew's t r a v e l schedule f o r the period
January 1, 1981, through March 31, 1982. Table 10 shows the crew's
movement f o r s e l e c t e d weeks during t h a t period when t r a v e l appeared
unusually high.
* This d r i l l crew i s the subject of Finding I V .
2 6
TABLE 10
MOVEMENT OF ADOT CORE CREW FOR SELECTED WEEKS
DURING THE PEKIOD JANUARY 1, 1981, THROUGH MARCH 31, 1982
WeeKk Approximate Locat ion
March 9- 12, 1981 Phoenix
Prescot t
Ash Fork
Taylor
Saf f ord
Benson
Phoenix
Approximate t o t a l mileage:
July 13- 16, 1981 Phoenix
Kingman
Tucson
Nogales
Sasabe
Phoenix
Approximate t o t a l mileage:
August 10- 13, 1981 Phoenix
Tucson
I) F l a g s t a f f
Taylor
Ash Fork
Phoenix
Approximate t o t a l mileage:
October 26- 29, 1981 Phoenix
Robles J c t .**
( near ~ u c s o n )
Phoenix
Joseph City
Phoenix
Approximate t o t a l mileage:
Type of A c t i v i t y
Depart f o r f i r s t work s i t e
P r e l i m i n a r y e n g i n e e r i n g cores ( PE)
F i n a l record cores ( FR)
F R
FR
FR
Return home
740
Depart f o r f i r s t work s i t e
F R
FR
PE
PE
Return home
790
Depart f o r f i r s t work s i t e
F R
PE
FR
FK
Return home
810
Depart f o r f i r s t work s i t e
Research cores
FR
FR
Return home
680
-
* A work week c o n s i s t s of four 10- hour days.
* The previous week the crew was a l s o i n Robles J c t . t o o b t a i n research cores.
TABLE 10 ( Concl'd)
MOVEMENT OF ADOT CORE CREW FOR SELECTED WEEKS
DUKING THE PERIOD JANUARY 1, 1981, THROUGH MARCH 31, 1982
- Week
January 4- 7, 1982
January 25- 28, 1982
Approximate Locat ion Type of A c t i v i t y
Phoenix Depart f o r f i r s t work s i t e
S e l l s PE
Chino Valley Research
Bullhead City Research
Kingman PE
Phoenix Return home
Approximate t o t a l mileage: 860
Phoenix Depart f o r f i r s t work s i t e
Yuma PE
Santa Maria Maintenance
Yard lo ear Bagdad) Miscellaneous
Show Low Research
Phoenix Return home
Approximate t o t a l mileage: 820
Within a four- day period, the crew may c r i s s c r o s s t h e S t a t e s e v e r a l
times. For example, Figure 3 shows g r a p h i c a l l y the crew's movement
f o r the period August 10- 13, 1981. The crew t r a v e l e d from Phoenix t o
Tucson, F l a g s t a f f , Taylor and Ashfork before r e t u r n i n g t o phoenix,
logging a t o t a l of 810 miles of t r a v e l . Assuming t h e crew t r a v e l e d a t
45 m i l e s p e r hour,* almost 18 hours ( o r 45 percent of the work week)
was spent t r a v e l i n g .
According t o the crew's scheduling o f f i c e r , assignments f o r t h e crew
a r e grouped geographically - a s much a s f e a s i b l e t o minimize t r a v e l .
However, the d e s i r e t o keep the crew busy f o r the e n t i r e work week
( r a t h e r than s i t t i n g i d l e a t the Phoenix o f f i c e ) may explain why the
crew is sometimes sent t o widely dispersed p a r t s of t h e S t a t e .
* Average speed of the core d r i l l r i g on the highway i s 45 m i l e s
per hour.
FIGURE 3
Travel Schedule for Core Crew
August 10- 13, 19812
Taylor
( 4 )
Z
J-
" Refer to Table 10 for description of crew a c t i v i t i e s during t h i s period.
The core crew incurs high c o s t s r e l a t e d t o i t s statewide t r a v e l . Much of
the crew's p o t e n t i a l work time is consumed t r a v e l i n g . High mileage a l s o
means high vehicle usage c o s t s . In a d d i t i o n , crew members must be paid
f o r food and lodging expenses while on the road-- a t o t a l of $ 17,500 i n
f i s c a l year 1980- 81.
Costs Could Be Reduced - ADOT could reduce personnel and t r a v e l - r e l a t e d
c o s t s i f core samples were obtained by d i s t r i c t m a t e r i a l s personnel.
D i s t r i c t s already have the equipment and a v a i l a b l e manpower t o assume
these d u t i e s . This t r a n s f e r of d u t i e s would enable ADOT t o eliminate
t h r e e p o s i t i o n s and would reduce employee t r a v e l time, vehicle mileage and
per diem expenses.
ADOT p r e s e n t l y has enough trailer- mounted core d r i l l s ( s i m i l a r t o
equipment used by the c e n t r a l crew) t o equip each of t h e four d i s t r i c t s
f o r core sampling. I n f a c t , each d i s t r i c t is already o b t a i n i n g c o r e
samples of c o n s t r u c t i o n work i n progress.
D i s t r i c t labs could assume a l l core sampling without increasing t h e i r
s t a f f s above the l e v e l s recommended i n Finding I. As documented i n
Finding I, d i s t r i c t labs i n general have been o v e r s t a f f e d i n recent
years. Finding I proposes a method f o r matching f u t u r e lab s t a f f i n g
l e v e l s with expected work loads. However, even i f such adjustments are
made, d i s t r i c t labs w i l l s t i l l experience seasonal f l u c t u a t i o n s i n work
load as well as week- to- week and day- to- day f l u c t u a t i o n s . D i s t r i c t lab
t e c h n i c i a n s could e a s i l y be t r a i n e d to assume a l l core sampling within the
d i s t r i c t . With s u f f i c i e n t advance n o t i c e from the Materials Section, many
core sampling requests could be reserved f o r the slow days and periods.
One- day excursions t o o b t a i n core samples could be i n s e r t e d on days when
lab t e s t i n g i s minimal ( which f r e q u e n t l y occurs even during the peak
c o n s t r u c t i o n season).* One way of accommodating p r i o r i t y requests f o r
core samples and s t i l l maintain a necessary complement of- lab personnel
might be t o use d i s t r i c t maintenance personnel as nontechnical members of
the core crew ( a s flagmen, f o r example) a s needed.
* Travel could be minimized by assigning t h e c l o s e s t lab t o o b t a i n t h e
samples, regardless of d i s t r i c t boundaries.
Transferring coring d u t i e s t o the d i s t r i c t s would save ADOT a t l e a s t
$ 75,000 annually. Three p o s i t i o n s i n the Materials Section could be
eliminated ( t h e c e n t r a l core crew). Shorter d i s t a n c e s t o work s i t e s would
mean more employee time f o r a c t u a l work and l e s s v e h i c l e mileage. Per
diem c o s t s would be reduced because one- day excursions-- without overnight
expenses-- would be f e a s i b l e more often.
P i t Invest i e a t ion Crews Overstaffed
ADOT could eliminate two more p o s i t i o n s by reducing the m a t e r i a l s p i t
i n v e s t i g a t i o n crews t o three- man crews. The crews were recently increased
t o four- man crews allegedly f o r s a f e t y reasons. These s a f e t y concerns,
however, can be s a t i s f i e d with three- man crews.
ADOT's p i t i n v e s t i g a t i o n crews operated with t h r e e members each f o r many
years p r i o r t o March 1982. In March one of t h e t h r e e crews was eliminated
due t o decreased work loads, but the remaining two crews were expanded t o
four- man crews. According t o the S t a t e Materials Engineer, crew s i z e was
increased f o r s a f e t y reasons; t h a t is, t h r e e employees should be on the
job when the backhoe equipment is used. Thus, a four- man crew, including
two equipment operators, enables t h r e e employees t o be on the job even
when one crew member i s absent f o r i l l n e s s or other reasons.
These s a f e t y concerns can be s a t i s f i e d , however, with three- man crews.
For those times when a regular crew member is absent, the d i s t r i c t i n
which the crew is working could provide the t h i r d crew member. This
employee could come from the d i s t r i c t m a t e r i a l s , maintenance or
c o n s t r u c t i o n u n i t s . This source of manpower is already being used by the
c e n t r a l core crew when it needs an e x t r a person f o r t r a f f i c c o n t r o l .
Another p o t e n t i a l source. f o r temporary help i s the Central Lab, which
might be able t o loan an employee t o the crew.
By reducing the p i t i n v e s t i g a t i o n crews t o t h r e e members each, ADOT would
eliminate two p o s i t i o n s , saving $ 50,000 annually. In a d d i t i o n , t h e crews
could operate with two l e s s vehicles.
Commuting Policy Changed
During the course of our a u d i t , ADOT corrected an i n e f f i c i e n t p r a c t i c e
which existed f o r several years-- allowing members of c e n t r a l crews t o l i v e
i n widely s c a t t e r e d areas of the S t a t e and then commute t o work s i t e s on
S t a t e time and i n S t a t e vehicles. However, a d d i t i o n a l a c t i o n i s needed t o
e l i m i n a t e v e h i c l e s which a r e no longer needed under t h i s new policy.
Allowing crew members t o l i v e i n widely s c a t t e r e d areas of the S t a t e was a
holdover from e a r l i e r years when p i t i n v e s t i g a t i o n crews were
g e o g r a p h i c a l l y d e c e n t r a l i z e d . During the peak of i n t e r s t a t e highway
c o n s t r u c t i o n ADOT had seven p i t i n v e s t i g a t i o n crews, each assigned t o a
p a r t i c u l a r area of t h e S t a t e . For e f f i c i e n c y reasons, crew members lived
i n the area i n which they worked. As the amount of new construction
declined, ADOT eventually reduced the number of p i t i n v e s t i g a t i o n crews to
two. Members of abolished crews were t r a n s f e r r e d t o o t h e r Materials
Section crews as vacancies occurred and began working o u t s i d e t h e areas i n
which they lived. As of May 1982, members of the various crews lived i n
the following locat ions:
Core crew -- Tonto Basin, Phoenix, Phoenix
P i t location crew -- Show Low, Phoenix
P i t i n v e s t i g a t i o n crew -- Ash f o r k , Indian Wells ( near Holbrook),
Sanders, Phoenix
P i t i n v e s t i g a t i o n crew -- G i l b e r t , G i l b e r t , Pima, Pima ( near Safford)
D r i l l crew -- Pima, Tucson, Tucson, Phoenix
To accomodate t h i s arrangement, ADOT allowed crew members t o drive between
home and t h e i r posts of duty or work s i t e s i n ADOT vehicles and on ADOT
time. This accommodation required more vehicles and employee t r a v e l time
than should have been necessary t o perform the work.
A s of July 1, 1982, ADOT began enforcing a new policy addressing t h i s
condition. ADOT now requires t h a t crew members t r a v e l between home and
duty posts i n t h e i r own vehicles and on t h e i r own time. . P hoenix is the
duty post f o r a l l materials crews with the exception of one p i t
i n v e s t i g a t i o n crew which is now s t a t i o n e d i n F l a g s t a f f . ADOT has offered
crew members a moving allowance so they may l o c a t e c l o s e r t o t h e i r duty
posts.
We concur with t h i s recent policy change. This change w i l l reduce t r a v e l
time and vehicle usage and should enable the Materials Section t o
eliminate three vehicles from its f l e e t . ( This reduction i s i n addition
t o the two vehicles mentioned e a r l i e r on page 3 3 . ) As of June 1982, the
Section had plans t o eliminate only two of these unnecessary v e h i c l e s .
CONCLUSION
ADOT could perform t h e m a t e r i a l s i n v e s t i g a t i o n function more e f f i c i e n t l y
by t r a n s f e r r i n g core sampling a c t i v i t i e s t o the d i s t r i c t l e v e l and by
reducing the s i z e of the m a t e r i a l s p i t i n v e s t i g a t i o n crews.
1. ADOT t r a n s f e r core sampling a c t i v i t i e s t o the d i s t r i c t l e v e l and
eliminate t h e t h r e e c o r e crew p o s i t i o n s i n the Materials Section.
2. ADOT reduce the s i z e of p i t i n v e s t i g a t i o n crews t o t h r e e members each,
thereby eliminating two p o s i t i o n s and use d i s t r i c t or Central Lab
personnel as needed t o f i l l i n f o r absent crew members.
3. The Materials Section reduce its f l e e t s i z e by f i v e vehicles i n
conjunct ion with recommendat ion 2 and the new policy af f e c t ing t r a v e l
between home and duty post.
FINDING I V
MOT COULD REDUCE COSTS BY COMBINING DRILL CREWS INTO ONE UNIT.
ADOT could reduce personnel and equipment c o s t s by combining d r i l l crews
of the S t r u c t u r e s and Materials Sections i n t o a s i n g l e u n i t . The two
crews perform s i m i l a r functions using s i m i l a r equipment and personnel.
Both crews may have been needed during the height of i n t e r s t a t e highways
c o n s t r u c t i o n ; however, the d e c l i n e i n new c o n s t r u c t i o n has a l t e r e d the
crews' work loads and a c t i v i t i e s , making a c o n s o l i d a t i o n more d e s i r a b l e .
ADOT could manage equipment more e f f i c i e n t l y and eliminate two p o s i t i o n s
by combining the two crews i n t o one u n i t .
Organization and Function of Crews
Two d i f f e r e n t sections of the ADOT Highways Division have d r i l l crews
which perform s i m i l a r functions using s i m i l a r equipment and personnel.
One crew i s located i n the Foundation Engineering Branch of the S t r u c t u r e s
Section; the other one is i n the Geologic I n v e s t i g a t i o n Branch of the
Materials Section.
The S t r u c t u r e s Section d r i l l crew i n v e s t i g a t e s the s u b s o i l of proposed
bridge s i t e s , provides s o i l samples f o r laboratory t e s t s and g a t h e r s o t h e r
geological in£ onnation r e l a t i v e t o bridge s i t e s . This in£ ormat ion is used
i n the design phase of a c o n s t r u c t i o n p r o j e c t . The crew's main equipment
i s a l a r g e truck- mounted d r i l l .
The M a t e r i a l s S e c t i o n d r i l l crew is a l s o involved i n s u b s o i l
i n v e s t i g a t i o n . Using d r i l l i n g equipment very s i m i l a r t o t h a t used by the
S t r u c t u r e s crew, the Materials crew i n v e s t i g a t e s p o t e n t i a l m a t e r i a l p i t s
( q u a r r i e s ) and the s o i l below proposed roadways. This information is a l s o
used i n the design process.
The two crews a r e composed of personnel with s i m i l a r t r a i n i n g and
q u a l i f i c a t i o n s . Table 11 shows the c l a s s i f i c a t i o n of p o s i t i o n s associated
with each crew.
TABLE 11
CLASSIFICATION OF POSIT IONS
ASSOCIATED WITH EACH DRILL CREW
Materials Section,
Geologic I n v e s t i g a t i o n Branch
C i v i l Engineer I1
Field Crew*:
Engineering Geologist
Equipment Operator 111
Equipment Operator 111
Highway Maintenance
Worker I11
Equipment Operator I
S t r u c t u r e s Section,
Foundation Engineering Branch
C i v i l Engineer I1
Field Crew:
Engineering Geologist
Equipment Operator 111
Equipment Operator I1
* The five- member f i e l d crew is sometimes divided i n t o two crews.
Personnel have t r a n s f e r r e d between the two crews, f u r t h e r i n d i c a t i n g t h e
s i m i l a r i t i e s between the crews, and one crew has even performed work f o r
t h e o t h e r crew on occasion.
Decline i n New Construction
Has Altered Crew A c t i v i t i e s
A s h i f t i n emphasis i n the highway c o n s t r u c t i o n program has a l t e r e d the
work load and a c t i v i t i e s of the two d r i l l crews. The amount of new
highway c o n s t r u c t i o n has declined i n r e c e n t y e a r s as the i n t e r s t a t e system
neared completion.* A l a r g e r percent of a v a i l a b l e highway funds i s now
being used t o maintain or r e h a b i l i t a t e t h e e x i s t i n g roadways.
* The i n t e r s t a t e highway system i n Arizona is 98 percent complete, as
measured i n l a n e m i l e s completed.
The decline i n i n t e r s t a t e c o n s t r u c t i o n h a s decreased the t r a d i t i o n a l work
load of the S t r u c t u r e s Section d r i l l crew. The number of bridge s i t e s
investigated annually by t h i s crew has declined i n r e c e n t y e a r s . Table 12
shows the number of " projects" i n v e s t i g a t e d by the crew and t h e r e s u l t i n g
number of borings f o r t h e period 1974- 1981. This d a t a comes from
q u a r t e r l y reports of the Foundation Engineering Branch, S t r u c t u r e s Section.
TABLE 12
STRUCTURES SECTION DRILL CREW WORK LOAD
CALENDAR YEARS 1974- 1981
Year Number of P r o j e c t s
23
3 5
2 9
2 3"
- - ( d a t a unavailable)
21
14
9
Number of Borings
* Estimate: One q u a r t e r l y report unavailable f o r 1977; estimate
based on e x t r a p o l a t i o n of three a v a i l a b l e q u a r t e r s .
Table 12 shows t h a t the crew's work load i n 1980 and 1981 was only about
half the annual work load i n e a r l i e r years-- as measured by numbers of
I I p r o j e c t s " and borings.
The decline i n new highway construct ion has a l s o a£ £ ected the a c t i v i t i e s
of the Materials S e ~ ~ i odnr- i l l crew. In t h e p a s t , t h e main a c t i v i t y of
t h i s crew was to i n v e s t i g a t e p o t e n t i a l m a t e r i a l sources and t h e s u b s o i l
along the routes of proposed roadways. This a c t i v i t y required regular use
of the crew's d r i l l i n g equipment. As new c o n s t r u c t i o n declined, the crew
began performing more a c t i v i t i e s r e l a t e d t o the maintenance of e x i s t i n g
roadways-- such as removing hazardous rocks on slopes and s t a b i l i z i n g
p o t e n t i a l s l i d e areas. Approximately 50 percent of the crew's work load
i n 1981 could be categorized as " n o n t r a d i t i o n a l . " Some of these
a c t i v i t i e s were t r a d i t i o n a l l y performed by c o n t r a c t o r s .
Combining Crews Would Keduce Costs
ADOT could r e a l i z e s e v e r a l b e n e f i t s by combining t h e two d r i l l crews
i n t o a s i n g l e u n i t . F i r s t , ADOT could avoid the replacement of some
expensive d r i l l i n g equipment which is not being f u l l y u t i l i z e d under
the present arrangement. Second, personnel could be u t i l i z e d more
e f f i c i e n t l y , allowing f o r a reduction of two p o s i t i o n s . Third, ADOT
may r e a l i z e other nontangible b e n e f i t s r e l a t i n g t o p r o f e s s i o n a l
competence and c a r e e r development o p p o r t u n i t i e s .
Equipment Savings - By combining the two crews, ADOT could avoid
replacement of some expensive d r i l l i n g equipment which c u r r e n t l y is
n o t being f u l l y u t i l i z e d . As mentioned elsewhere, the crews have
s i m i l a r d r i l l i n g equipment. Each crew has a l a r g e truck- mounted
d r i l l . In a d d i t i o n , the M a t e r i a l s S e c t i o n crew has a smaller d r i l l
r i g . Usage of these d r i l l s i n recent years does not j u s t i f y continued
replacement of a l l t h r e e r i g s . Table 13 shows t h e usage of t h i s
equipment during 1980 and 1981.
TABLE 13
DRILLING EQUIPMENT USAGE
AS SIlOWN BY PERCENTAGE OF DAYS I N USE -
1980- 1981
1980 1981
Number of Number of
Number of Days D r i l l Percent Number of Days D r i l l Percent ((
Workdays* Was Operated Usage Workdays* Was Operated Usage
S t r u c t u r e s Section -
Large d r i l l 200 119 60% 200 124 62%
Materials Section -
Large d r i l l 200 5 9 30 200 0 90k 0 ( 111
Small d r i l l - 200
Combined U t i l i z a t i o n 6- 00
Based on 10- hour workdays, 4 days per week; holidays not included
_ I _ I
xX D r i l l was inoperable; eventually replaced i n 1982.
A s shown i n Table 13, combined u t i l i z a t i o n of the d r i l l i n g equipment,
which averaged l e s s than 40 percent i n 1980 and 1981, does not j u s t i f y the
continued replacement of a l l t h r e e r i g s . However, i n J u l y 1981 ADOT
awarded a bid f o r $ 150,000 t o replace the l a r g e d r i l l i n the Materials
Section.* The S t r u c t u r e s Section d r i l l r i g w i l l be due f o r replacement i n
four or f i v e years, according t o an ADOT e s t i m a t e . T h i s replacement can
be avoided i f the two crews are combined i n t o one unit-- a savings of a t
l e a s t $ 150,000.
Personnel Savings - S t a f f i n g could be reduced and personnel could be
u t i l i z e d more e f f i c i e n t l y i f the two crews were combined i n t o a s i n g l e
u n i t .
We estimate t h a t two p o s i t i o n s could be eliminated i f the crews were
combined. Combining crews would s t i l l allow the M a t e r i a l s S e c t i o n -
Geologic I n v e s t i g a t i o n Branch t o s t a f f two d r i l l i n g r i g s ( 3 members each)
and meet a l l the d r i l l i n g work load. As shown previously i n Table 16, the
combined u t i l i z a t i o n of a l l d r i l l i n g equipment has r e c e n t l y been from 35
t o 38 percent. This work load could be performed by a combined crew using
two d r i l l i n g r i g s . F u r t h e r , a combined crew would s t i l l have a s much as
40 percent of i t s time a v a i l a b l e f o r n o n d r i l l i n g a c t i v i t i e s .
Combining d r i l l i n g crews and s t a f f i n g two d r i l l i n g r i g s with t h r e e crew
members each would allow f o r a reduction of two p o s i t i o n s a t a savings of
$ 40,000 t o $ 50,000 per year.**
Combining functions would a l s o provide f o r more e f f i c i e n t use of
personnel. Bad weather, equipment downtime, s i c k leave and vacations
would have l e s s impact on p r o d u c t i v i t y i f the crews were combined.
P r e s e n t l y , members of the S t r u c t u r e s Section d r i l l crew a r e l a r g e l y
limited to one type of a c t i v i t y - - i n v e s t i g a t i o n of foundations of e x i s t i n g
o r proposed s t r u c t u r e s . Therefore bad weather, equipment downtime, s i c k
* Equipment was delivered t o ADOT i n August 1982.
* Amount of savings depends on which p o s i t i o n s ADOT e l i m i n a t e s .
leave or vacations h a l t the crew's a c t i v i t y . Equipment downtime alone
caused 45 crew- days of l o s t work i n 1980 and 1981 f o r the S t r u c t u r e s
Section d r i l l crew; s i c k leave caused an a d d i t i o n a l 20 crew- days of l o s t
work during the same period. Loss of p r o d u c t i v i t y due t o these reasons
would be much l e s s under a combined u n i t because personnel could be
s h i f t e d among crews o r t o other assignments a s needed.
Nontangible Benefits - The Federal Highway Administration ( FHWA) believes
ADOT would r e a l i z e some a d d i t i o n a l nontangible b e n e f i t s by combining the
crews i n t o one u n i t . In 1974 FHWA reviewed t h e s o i l s - r e l a t e d functions
within ADOT; t h e r e p o r t c o n t a i n s t h i s statement:
11 The majority of S t a t e s have found it b e n e f i c i a l t o
combine t h e s o i l e n g i n e e r i n g f u n c t i o n s i n t o one u n i t .
These b e n e f i t s a r e t h e u n i f i e d c o n t r o l o f personnel and
equipment t h a t a r e involved with t h e same basic
problems-- soils and geology, the a b i l i t y t o maintain a
h i g h e r g e n e r a l l e v e l of s o i l engineering e x p e r t i s e due
t o the c o n c e n t r a t i o n of experience within t h e s i n g l e
s e c t i o n , the opportunity f o r engineers and g e o l o g i s t s
t o more rap i d l y develop broad experience i n highway
s o i l s engineering, and the means o f providing a c a r e e r
program i n the s o i l s and geology area, which i s most
necessary and a t t r a c t i v e i n r e t a i n i n g p r o f e s s i o n a l
personnel. It is f e l t t h a t the Arizona Department of
Transportation could b e n e f i t by a c o n s o l i d a t i o n of t h i s
e f f o r t . ' I
In a follow- up review i n 1975, FHWA again recommended combining t h e crews
i n t o one u n i t .
ADOT Response t o Proposal - Our proposal t o combine the d r i l l crews i n t o a
s i n g l e u n i t received mixed response from ADOT managers a s s o c i a t e d with
these functions. Supervisory personnel i n the Geologic I n v e s t i g a t i o n
Branch, Materials Section, supported the idea of a combined u n i t . In
f a c t , during the course of o u r a u d i t , they submitted t h i s suggestion t o an
ADOT group seeking c o s t - c u t t i n g i d e a s . They made t h e same recommendation
t o upper management within t h e Highways Division i n June 1981. In both
cases they estimated t h a t two p o s i t i o n s could be eliminated i f t h e crews
were merged i n t o a s i n g l e u n i t . When we reviewed our proposal with
S t r u c t u r e s Section o f f i c i a l s , however, they expressed two r e s e r v a t i o n s
about a c o n s o l i d a t i o n , p a r t i c u l a r l y i f the u n i t was located within the
Materials Section. F i r s t , they f e a r e d a l o s s of q u a l i t y i n the foundation
data used i n the design of structures.* Secondly, they feared the
timeliness of foundation i n v e s t i g a t i o n s would s u f f e r , thereby a f f e c t i n g
design a c t i v i t i e s .
According t o t h e S t r u c t u r e s Section manager, the f i r s t r e s e r v a t i o n would
be mitigated i f t h e C i v i l Engineer I1 p o s i t i o n , which is a foundations
engineer, was retained i n the S t r u c t u r e s Section. This engineer
i n t e r p r e t s the s o i l s data and works with the bridge designers on a d a i l y
basis. Our recommendation f o r s t a f f r e d u c t i o n l e a v e s t h i s p o s i t i o n i n the
S t r u c t u r e s Section. We believe the second p o t e n t i a l problem could be
avoided by advance scheduling and by a d m i n i s t r a t i v e mechanisms which would
c l e a r l y e s t a b l i s h crew p r i o r i t i e s when c o n f l i c t s arose.
CONCLUSION
The combining of d r i l l i n g crews i n t o a s i n g l e u n i t would enable ADOT t o
reduce equipment and personnel c o s t s . The replacement of some expensive
d r i l l i n g equipment could be avoided-- a savings of a t l e a s t $ 150,000. In
a d d i t i o n , two p o s i t i o n s could b e e l i m i n a t e d a t a savings of $ 40,000 t o
$ 50,000 per year.
KECOPIMENDAT IONS
1. ADOT combine the Foundation Engineering Branch of the S t r u c t u r e s
Section and the Geologic I n v e s t i g a t i o n Branch of the Materials Section
i n t o a s i n g l e o r g a n i z a t i o n a l u n i t located within the Materials Section.
* A 1974 FHWA r e p o r t , c i t e d e a r l i e r , seems t o d i s p u t e t h i s claim. The
report notes t h a t other s t a t e s with combined u n i t s have achieved ". . . a
higher general l e v e l of s o i l engineering e x p e r t i s e due t o the
concentration of experience w i t h i n t h e s i n g l e section...."
KECOWIENDAT IONS ( Conc 1 ' d)
2. ADOT eliminate two p o s i t i o n s a s t h i s merger occurs.
3. ADOT adopt p o l i c i e s and a d m i n i s t r a t i v e mechanisms which w i l l enable
the timely transmission of requests and foundation data between the
S t r u c t u r e s Section and the combined i n v e s t i g a t i v e u n i t .
4. ADOT not replace t h e S t r u c t u r e s Section d r i l l r i g but use it as a
backup r i g f o r the combined d r i l l crew u n t i l i t s u s e f u l l i f e i s
expended.
FINDING V
ADOT COULD 1EDUCE THE FKEQUENCY OF MATERIALS SAMPLING AND TESTING.
ADOT could reduce s t a f f i n g requirements and p r o j e c t engineering c o s t s by
c o n t r o l l i n g m a t e r i a l s oversampling. Although the Department h a s i s s u e d
g u i d e l i n e s aimed a t reducing the frequency of m a t e r i a l s sampling, i n some
i n s t a n c e s p r o j e c t personnel have not f u l l y implemented the g u i d e l i n e s and
do not adequately c o n t r o l oversampling. In a d d i t i o n , ADOT should consider
e l i m i n a t i n g some concrete c y l i n d e r t e s t s a s another way t o reduce lab work
loads.
E f f o r t s to Keduce Materials Testing Costs
In r e c e n t y e a r s governmental agencies involved i n road building have
experimented with ways t o reduce m a t e r i a l s t e s t i n g c o s t s without
jeopardizing the q u a l i t y of roads b u i l t . ADOT has taken s e v e r a l s t e p s i n
t h i s d i r e c t i o n .
The Blatnik I n v e s t i g a t i o n i n 1962- 63* i n i t i a t e d a period i n which s t a t e
governments e s t a b l i s h e d comprehensive, c o s t l y sys tens of contro 1 over
road- building a c t i v i t i e s , i n c l u d i n g a n extensive system f o r sampling and
t e s t i n g c o n s t r u c t i o n m a t e r i a l s . More r e c e n t l y , however, t h e cost- benefit
of some t e s t i n g has been s e r i o u s l y questioned by governmental o f f i c i a l s ,
leading to experimentation i n t h e m a t e r i a l s t e s t i n g area.
* The Blatnik I n v e s t i g a t i o n was a congressional i n v e s t i g a t i o n i n t o
c o n s t r u c t i o n p r a c t i c e s i n federal- aid highway p r o j e c t s throughout the
nation. The i n v e s t i g a t i o n revealed t h a t s t a t e supervision and c o n t r o l
over these p r o j e c t s was generally inadequate.
For example, some s t a t e s have adopted " end- product" type s p e c i f i c a t i o n s
which reduce the o v e r a l l amount of m a t e r i a l s t e s t i n g . End- product
s p e c i f i c a t i o n s require t h a t t h e product of c o n s t r u c t i o n be t e s t e d r a t h e r
than t h e i n d i v i d u a l m a t e r i a l s which make up t h a t product. In a d d i t i o n ,
FHWA g u i d e l i n e s concerning federal- aid highway p r o j e c t s have been revised
to allow small q u a n t i t i e s of m a t e r i a l s t o be accepted on the b a s i s of
v i s u a l i n s p e c t i o n o r manufacturer's c e r t i f i c a t i o n .
ADOT has taken s e v e r a l notable s t e p s toward reducing m a t e r i a l s t e s t i n g
c o s t s . For example, i n 1978 ADOT adopted an end- product type
s p e c i f i c a t i o n f o r concrete* which reduces the amount of t e s t i n g and
i n s p e c t i o n required before the c o n c r e t e c a n be used i n t h e p r o j e c t .
F u r t h e r , i n September 1981 ADOT discontinued a t h r e e - l e v e l c o r r e l a t i o n
t e s t i n g program, concluding it added an unnecessary and i n e f f e c t i v e layer
of c o n t r o l t o the t e s t i n g system. F i n a l l y i n February 1982, ADOT issued a
new Sampling Guide which e s t a b l i s h e d lower sampling frequencies f o r many
types of materials.** This was i n response t o a s e r i e s of FHWA a u d i t s
c i t i n g ADOT f o r oversampling c e r t a i n types of m a t e r i a l s .
New Sampling Guide Is Not
Fully Implemented
Although ADOT has issued g u i d e l i n e s e s t a b l i s h i n g reduced sampling
frequencies, i n some i n s t a n c e s p r o j e c t personnel have not f u l l y
implemented the new sampling g u i d e l i n e s and philosophy. More
p a r t i c u l a r l y , some p r o j e c t personnel 1) a r e not knowledgeable of t h e new
sampling frequencies, 2) lack methods f o r a c t i v e l y monitoring and
c o n t r o l l i n g oversampling, or 3) have not adopted a f l e x i b l e approach to
e s t a b l i s h i n g a c t u a l sampling frequencies.
Some p r o j e c t personnel ' r e s p c n s i b l e f o r m a t e r i a l s q u a l i t y a r e not well
informed regarding the new guidelines. In June and J u l y 1982 we v i s i t e d
s i x ADOT p r o j e c t o f f i c e s t o d i s c u s s t h e new Sampling Guide and review
m a t e r i a l s t e s t i n g records. At one p r o j e c t o f f i c e we learned t h a t the
of £ ice had received the new g u i d e l i n e s ; however, concrete t e s t c y l i n d e r s
* 5503 - S t r u c t u r a l concrete ( c l a s s S ) , ADOT Supplemental S p e c i f i c a t i o n s
( August 1978)
** The changes i n sampling frequency were o f f i c i a l l y adopted i n November
1981.
were s t i l l being made according t o the frequency e s t a b l i s h e d i n the old
guidelines-- one s e t per 25 cubic yards. The o f f i c e labman was - not aware
t h a t the new recommended frequency was one s e t p e r 50 cubic yards. A t a
second p r o j e c t o f f i c e we learned t h a t the o f f i c e labman was not aware of
the new sampling frequency f o r concrete aggregates, even though the
revised g u i d e l i n e s had been received s e v e r a l months e a r l i e r . A t a t h i r d
p r o j e c t o f f i c e we learned t h a t t h e m a t e r i a l s personnel did not receive the
new Sampling Guide u n t i l t h r e e months a f t e r the o f f i c i a l issuance of t h e
document by the Central Lab.
I n a d d i t i o n , some p r o j e c t o f f i c e s a r e not a c t i v e l y monitoring the
frequency of m a t e r i a l s sampling. In 1981, FHWA conducted
I' i' nspections- in- depth" of 13 highway p r o j e c t s i n Arizona. These
i n s p e c t i o n s included a d e t a i l e d review of t h e m a t e r i a l s t e s t i n g records.
According t o FHWA o f f i c i a l s involved i n t h o s e i n s p e c t i o n s , t h e y n o t i c e d a
conscious e f f o r t t o c o n t r o l oversampling i n only t h r e e of the 13 p r o j e c t
o f f i c e s . I n i t s summary report issued i n January 1982, FHWA recommended a
monitoring method t h a t it had seen used i n a few p r o j e c t o f f i c e s .
"...( A) a c t i v e monitoring of frequencies by t h e p r o j e c t
q u a l i t y c o n t r o l supervisor o r r e s i d e n t engineer a s the
p r o j e c t progresses would a i d i n d e t e c t i n g m a t e r i a l s
t h a t a r e undergoing excessive t e s t i n g o r i n s u f f i c i e n t
t e s t i n g . The M a t e r i a l s S e r v i c e s D i v i s i o n ' s " Sample
Checklist" could be used i n e s t a b l i s h i n g the basic
number of samples needed t o meet the Sampling Guide
recommendation p r i o r t o the s t a r t of the p r o j e c t . This
could be used a s a guide as the p r o j e c t progresses and
modified when conditions change. In a d d i t i o n a running
t o t a l of m a t e r i a l q u a n t i t i e s used could be maintained
i n t h e m a t e r i a l s logs t o monitor t h e sampling and
t e s t i n g a c t i v i t y . "
Uuring our v i s i t s t o p r o j e c t o f f i c e s , we noted t h a t s e v e r a l o f f i c e s used
t h i s method. However, o t h e r o f f i c e s had no apparent method t o a c t i v e l y
monitor sampling frequency.
Sampling frequency could be f u r t h e r reduced i f a l l p r o j e c t m a t e r i a l s
personnnel used a f l e x i b l e , judgmental approach t o e s t a b l i s h i n g a c t u a l
sampling frequency. FHWA has encouraged ADOT t o base sampling frequency
somewhat on p r i o r t e s t r e s u l t s f o r m a t e r i a l s from t h e same source. In i t s
January 1982 r e p o r t , FHWA recommended:
... the development of the philosophy among supervisory
ersonnel t h a t sound judgement can be used with t h e
ampling Guide t o e s t a b l i s h a c t u a l sampling
requencies. When t h e r e a r e doubts o r problems with
t h e q u a l i t y of a m a t e r i a l , the frequency may be
increased. When t h e r e i s s u f f i c i e n t d a t a , p l a n t
h i s t o r y and/ or p r o j e c t t e s t r e s u l t s , which would
support a high degree o f confidence i n t h e q u a l i t y of
m a t e r i a l s , t h e frequency may be decreased which would
allow personnel t o be used f o r other duties."
A r e l a t e d recommendation i n the same report reminded ADOT t h a t they could
accept small q u a n t i t i e s of m a t e r i a l s on t h e b a s i s of v i s u a l i n s p e c t i o n o r
manufacturer's c e r t i f i c a t i o n . FHWA o f f i c i a l s , i n a l a t e r interview with
Auditor General s t a f f , reaffirmed t h e i r opinion t h a t ADOT could b e t t e r
a l l o c a t e p r o j e c t personnel i f sampling was based p a r t l y on p a s t t e s t
r e s u l t s , p a r t i c u l a r l y when small q u a n t i t i e s a r e involved and t h e high
q u a l i t y of past m a t e r i a l s from the same source i s well documented.
As a r e s u l t of our v i s i t s t o p r o j e c t o f f i c e s and c o n s t r u c t i o n s i t e s , we do
not b e l i e v e t h a t t h i s f l e x i b i l t y has been adopted by a l l ADOT f i e l d
personnel involved with m a t e r i a l s sampling. This new philosophy d i f f e r s
from past p r a c t i c e s and the adjustment i s a p p a r e n t l y o c c u r r i n g slowly.
An example of how t h i s f l e x i b i l i t y can be f u r t h e r implemented involves t h e
sampling of aggregates a t commercial c o n c r e t e p l a n t s . The ADOT Sampling
Guide recommends t h a t aggregates from a p l a n t be sampled every o t h e r day
during the period the p l a n t i s supplying concrete t o ADOT p r o j e c t s . The
D i s t r i c t 1 Area Lab has t h i s r e s p o n s i b i l i t y f o r most of t h e p l a n t s i n the
Phoenix area. According t o Area Lab personnel, many of these p l a n t s use
aggregates which a r e c o n s i s t e n t l y within s p e c i f i c a t i o n s over long periods
of time. In cases l i k e t h i s , when s u f f i c i e n t d a t a e x i s t s t o e s t a b l i s h the
p l a n t ' s h i s t o r y , we believe it would be c o n s i s t e n t with t h e FHEJA
recommendation c i t e d e a r l i e r t o reduce the a c t u a l sampling frequency t o
perhaps once a week on a random b a s i s .
Reduce Number of
Concrete Lylinder Tests
In addit ion t o c o n t r o l l i n g m a t e r i a l s oversampling, ADOT could reduce i t s
laboratory t e s t i n g work load by e l i m i n a t i n g some concrete c y l i n d e r t e s t s .
By making appropriate changes i n s p e c i f i c a t i o n s and lab procedures, a
number of 28- day concrete c y l i n d e r t e s t s could be avoided.
Concrete cylinder t e s t s a r e an important p a r t of p r o j e c t q u a l i t y c o n t r o l .
Concrete used i n highway p r o j e c t s must have a compressive s t r e n g t h equal
t o o r exceeding t h e s t r e n g t h required i n t h e s p e c i f i c a t i o n s 28 days a f t e r
it is poured. During a pour, ADOT personnel f a b r i c a t e s e v e r a l s e t s of
concrete c y l i n d e r s which a r e t o be t e s t e d f o r s t r e n g t h l a t e r . Seven days
a f t e r the pour, one s e t of c y l i n d e r s is broken by l a b o r a t o r y equipment.
This 7- day t e s t serves a s a n e a r l y i n d i c a t o r of what concrete s t r e n g t h i s
expected t o be a t 28 days.* Sometimes c y l i n d e r s a r e a l s o broken a t other
i n t e r v a l s - f i v e days, ten days, e t c . - f o r o t h e r purposes.* fi In a l l
cases, a s e t of c y l i n d e r s i s broken a t 28 aays t o serve a s the o f f i c i a l
determination t h a t s p e c i f i c a t i o n compressive s t r e n g t h was achieved.
Plost concrete used on ADOT p r o j e c t s equals o r exceeds 28- day requirements
within t h e f i r s t week a f t e r being poured. For 10 p r o j e c t s completed
during 1981, we determined t h a t 66 percent of a l l 7- day c y l i n d e r t e s t s
exceedeu the 28- day s t r e n g t h requirements.;?*"
* Concrete c o n t i n u a l l y becomes stronger a s time passes. The industry
has developed t a b l e s which allow 28- day s t r e n g t h t o b e p r e d i c t e d on
tile b a s i s of i t s s t r e n g t h a t 7 days.
A. --*- For example, c y l i n d e r s a r e o f t e n broken t o determine i f concrete is
oi s u t f i c i e n t s t r e n g t h t o allow forms t o be removed.
. <.? -!. We analyzed t e s t r e s u l t s f o r Class S concrete only. According t o
ABOT o i i i c i a l s , most concrete now used i n highway p r o j e c t s i s Class S.
Current ADOT s p e c i f i c a t i o n s require t h a t a 28- day t e s t be performed i n a l l
cases. I f ADOT r e v i s e s i t s s p e c i f i c a t i o n s t o take i n t o account the
r e s u l t s of the 7- day t e s t , a number of the 16,000 concrete c y l i n d e r t e s t s
performed annually could p o t e n t i a l l y be eliminated.
CONCLUSION
Some ADOT p r o j e c t personnel have not f u l l y implemented t h e new sampling
g u i d e l i n e s or do not use adequate methods t o c o n t r o l oversampling. In
a d d i t i o n , t h e o v e r a l l laboratory t e s t i n g work load could be reduced by
r e v i s i n g s p e c i f i c a t i o n s t o take i n t o account t h e r e s u l t s of the 7- day
concrete cylinder t e s t s .
1. The ADOT X a t e r i a l s Section and d i s t r i c t m a t e r i a l s engineers
a. Immediately determine i f a l l m a t e r i a l s personnel a t t h e p r o j e c t
l e v e l a r e knowledgeable of the recent changes i n recommended
sampling frequencies and provide i n s t r u c t i o n a s needed;
b. Encourage a l l p r o j e c t m a t e r i a l s s u p e r v i s o r s t o e s t a b l i s h methods
t o act i v e l y monitor and contro 1 a c t u a l sampling frequency ( such
as t h a t recommended by FHWA - see page 45); and
c. Continually promote the a t t i t u d e of f l e x i b i l i t y regarding
sampling frequencies and encourage reduct ions where past t e s t
r e s u l t s i n d i c a t e a c o n s i s t e n t l y high q u a l i t y of m a t e r i a l s .
2. ADOT consider r e v i s i n g standard s p e c i f i c a t i o n s and lab procedures t o
allow 7- day concrete c y l i n d e r t e s t s t o s a t i s f y s t r e n g t h requirements
where appropriate.
AKEAS FOR FURTHER AUDIT WORK
1) urir- g the course of the a u d i t , we i d e n t i f i e d s e v e r a l p o t e n t i a l a r e a s f o r
f u r t h e r a u d i t work. These a r e a s , which were o u t s i d e t h e scope of our
audit ( s e e page 6 ) , include a s follows:
a Whether more preliminary engineering ( p r e c o n s t r u c t i o n ) a c t i v i t i e s
should be t r a n s f e r r e d from the Pfaterials Section t o the d i s t r i c t s ,
inc lud ing
- p i t locat ion and i n v e s t i g a t i o n and
- pavement design.
Causes of p r o j e c t engineering c o s t overruns on minor c o n s t r u c t i o n
p r o j e c t s .
P o t e n t i a l unnecessary d u p l i c a t i o n between research a c t i v i t i e s of the
Materials Section and the Research Section, Highways Division.
e Adoption of more end- product type s p e c i f i c a t i o n s which w i l l reduce
p r o j e c t sampling and t e s t i n g c o s t s .
,*%! g,\ 2$= ARIZONA DERRrMCNI. OF TRANSPORTATION
206 South Seventeenth Avenue P h o e n l x , Ar~ zona 85007
I BRUCt 84P81TT
Governor November 9, 1982
Mr. Douglas Norton
Auditor General
Auditor General's Office
111 W. Monroe, Suite 600
Phoenix, AZ 85003
WILLIAM A. ORDWAY
D~ rector
--.- -. /"
Dear iloug:
Thank you for the opportunity to review the revised preliminary report
draft of the performance audit of the Arizona Department of Transportation
- Materials Testing Function.
Since high- quality materials testing is essential to the proper design,
construction, and maintenance of our roadways, we are quite naturally very
interested in the audit report and have, within the time limits, carefully
reviewed it. Our attached comments include one overall comment and comments
on each specific finding, as well as an appendix which analyzes the mathematical
model utilized in Finding 1 of the report. We understand that these comments
@ will be included in the text of the published report.
Again, thanks for this opportunity to comment and for the cooperation
extended by the Audit staff.
Sincerely yours,
- - WILLIAM A. ORDWAY /
Director ,/
Attachment
HIGHWAYS - AERONAUTICS ' MOTOR VEHICLE ' PUBLIC TRANSIT ' ADMINISTRATIVE SERVICES ' TRANSPORTATION PLANNING
ADOT'S COMMENTS ON AUDITOR GENERAL'S PERFORMANCE AUDIT
OF THE ARIZONA DEPARTMENT OF TRANSPORTATION'S MATERIALS TESTING FUNCTION
The Arizona Department of Transportation believes the report prepared
by the Auditor General's staff on the materials testing function contains
some points with which we certainly agree and others which warrant further
study. Adoption of certain of the recommendations could reduce effectiveness
in designing, constructing and maintaining our state highway system. Our
concern over the possible adverse effects might be better explained by a very
brief description of ADOT1s Materials Engineering practice.
Since state roadways are constructed of many different materials, the
practice of highway materials engineering is very important. ADOT engineers
have developed a system for designing and obtaining materials for roadways
to give the required performance at least possible cost. This system consists
of gathering all the necessary materials information, utilizing this data and the
latest " state of the art" technology to design and siecify the materials,
and finally, controlling the materials received. Each of these tasks is of
extreme importance in the economics and performance of Arizona's roadways. In-sufficient
or inaccurate materials information may result in overdesign that
wastes construction funds or underdesign, resulting in early failure and high
maintenance costs.
Comments on specific findings follow:
FINDING I - REDUCING OVERSTAFFING IN THE DISTRICT LABS WILL SAVE UP TO $ 475,000
ANNUALLY. 4
ADOT POSITION: PARTIALLY CONCUR
While we do not agree that the mathematical model presented in the report
.--
. L.
realistically predicts our District Materials staffing requirements, we were
aware that the anticipated completion of the interstate system and the present
economic conditions demand austerity in our operations. Accordingly, early *
in 1981 we decided to reduce the number of engineering Districts. After con-siderable
analysis, a decision was made to reduce the number of Districts from
seven to four. Our present - budget reflects that decision which will save
over one million dollars per year. Included are reductions in District Materials
personnel which lower the number of these personnel to 24 by January 1, 1983. This
is six less than that recommended in Table 5 of the audit report.
ADOT's Comments
Auditor General's
Performance Audit
Page 2
! Is previously mentioned, we do not fully agree with the model ( see our
commcrits in the ;~ ppericits ). In actuality, we predict considerable understr- lff' :: e
during peak woriii~~~ ipcir iocls which we hope to alleviate with temporary measures.
We plan to closely monitor this siiuation and if additional full- time assistance
is necessary, we will arrange for such.
The real solution, we feel, is to accept those recommendations on page 16 of
the report wherein changes in record keeping are suggested. We are committed
to do just that. \< e will begin keeping account 92 rhe time necessary to accomplish
every function of the District Materials units, and plan shortly to be able to
predict those needs.
I,
FINDING I1 - ADOT COULD SAVE $ 175,000 ANNUALLY BY REDUCING STAFF IN T9E 3ISTRICT I
AREA LAB.
ADOT POSITION: P:\ R?' I:\ LLY CONCUR
B The conclusions are based on a productivity study comparing the first
six months of 1981 with the same period in 1982, recommending reductions based
on the comparisons. Such comparisons are not totally accurate as they omit con-sideration
of overtlme which was considerably higher in 1981 than in 1982,
thereby narrowing the productivity differences. Regardless, the variation
in testing- hour requirements in this lab points out a problem with which we
I)
are currently dealing, that being the significant fluctuation in workload over
periods of time. Such s problem affects not only laboratory work, but other
construction engineering work areas as well. Recognizing this, in the fall
of 1981, ADOT began the development of a Construction Engineering Manpower
Management Systern ( CEIWS). This system is designed to accurately predict
project manpower requirements including lab personnel. When personnel are
found to be unnecessary in any assignment, they will be transferred to other
productive work assignments.
AUDITOR GENERAL COLclMENT: ADOT's statement above regarding overtime is not correct.
Audit staff documented overtime for both 1981 and 1982 and included this in the
productivity m a l - i u is.
The 3rea l ~ bis , in effect, a consolidation of several project labs for the
sake of efficiency. t\ ccordingly, manpower for the area lab will be controlled
by the new system ( CECIiLIS) which will be in effect by January 1, 1983. We
have every confidence that this system will assure the efficiency of the area
lob.
FINDISG 111 - ,\ DO'T COULD PERFORM THE MA'I'ERIRLS INVESTIGATION FUNCTION MORE
I< I: I'ICIEN'I'LY.
ADO'I' I'OSTIO!; : I'.\ K I'I,\ LLY CONCUR
!$'( I , igrc> cb t? i, it scheduling of the core crew's travel can be improved; however,
we ti~ sa~ rcteh , jt the core sampling crew duties can be transferred to the Districts
I tn, lt tiic f ' l t Investigation crews should be reduced from four to three
men each.
ADOT's Comments
Auditor General's
Performance Audit
Page 3
As out1 ined i n our response t o Finding 1 and Appendix, D i s t r i c t Materials
l ~ n i t sw i l l be i n no p o s i t i o n t o handle t h i s a d d i t i o n a l task. l l i t h a s t a f f
o f f o u r technicians ( as i n new D i s t r i c t s 3 and I t ) , they w i l l possibly be
understaffed t o f u l f i l l t h e i r r e g u l a r d u t i e s . It i s therefore not l i k e l y
t h a t they could assune the duties o f c o n t i n u a l l y marshal1 in? three personnel
t o meet the demands f o r core samples. Nearly 60% o f t h e c o r e crew's work
l i e s i n obtaining samples f o r u t i l i z a t i o n by our designers i n pavement
prp-? c- r?+:- CI r e h a b i l i t a t i o n , and - ,. T ~ O - orj eqianerc hq. 12 7 .,
; e; la, i~ i r ~ g sched~ i, ,.. a ,: d; Eng such t~ a t t h e i r C I ~ S ; ; C S & I , i i
Section assures the provision o f the necessary information on a t i m e l y basis
which provides a proper flow of budgeted p r o j e c t s on schedule.
\ le believe the selected examples are not t y p i c a l o f our crew's t r a v e l
practice. We recognize the need t o b e t t e r schedule such a c t i v i t i e s i n order
t o redace t r a v e l t i ~ n e , per diem and equipment costs.
The second recomriendation deals w i t h the observation that P i t I n v e s t i g a t i o n
Crews are overstaffed. This observation i s based on the f a c t t h a t we r e c e n t l y
changed f r o n three 3- man crews t o two & man crews, It i s stated i n the report
that we increased the crew size s o l e l y f o r safety reasons and reduced the
number of crews due t o d e c l i n i n g workload. Safety i s d e f i n i t e l y a concern
i n crew s i z e determination; however, tlie reason f o r t h i s change was e f f i c i e n c y .
Also, w i t h the new emphasis on pavement preservation p r o j e c t s r e q u i r i n g numerous
materials p i t s , our workload i s very high and has not decreased,
The report does not analyze the e f f i c i e n c y o f a 11- man crew 11s. 3- man
crew. During the recent reorganization o f the Materials Section, t h i s area
was investigated by our State Materials Engineer. That i n v e s t i g a t i o n indicated
t h a t & man crews o f f e r e d s u f f i c i e n t a d d i t i o n a l e f f i c i e n c y t h a t one o f the
crews could be eliminated, and was the basis f o r the change, although increased
safety was c e r t a i n l y an added asset. A recent analysis confirmed t h i s e a r l i e r
i n d i c a t i o n ; however, t h i s operation i s being studied i n d e t a i l by our P r o d u c t i v i t y
Resource Management Study. Should t h i s study reveal that 3- man crews can a
perform the operation more e f f i c i e n t l y , without s a c r i f i c i n g safety, we w i l l
r e t u r n t o three 3- nan crews.
F lND 1 tlG I V - ARIZONA DEPARTIIENT OF Tl? A? JSPORTATOI f4 COULD REDUCE COSTS BY
COl1B I IJ I NG DRl LL CREilS INTO ONE IIN IT.
AaOT POS IT 1 9i4: CONCUR
This suqgestion has been under consideration f o r some time. As the a u d i t
r e p o r t p o i n t s out, the nearing cor! lpletion o f the i n t e r s t a t e system now makes
implementation o f the suggestion possible. We w i l l begin immediately t o analyze
our projected r~ orkload t o determine the best method f o r accomplishing t h i s
consol i d a t ion.
ADOT's Comments
Auditor General's
Performance Audit
Page 4
FINDIXG V - ADOT COULD REDUCE THE FREQUENCY OF MATERIALS SAMPLING AND TESTING.
ADOT POSITION: PARTIALLY CONCUR
We do agree that occasionally there are instances of oversampling, and
as was noted in the report, we have taken several steps to reduce materials testing.
One of these steps was the issuance of a new Sampling Guide Schedule. The
report points out that ?? is new guide has not been fully implemented by project
. 22,. cf tr1.2 ~ 3 . 5 i l r ~ h. j; j LL iAL;. jL ; he,,: :? a - i4;. :.~ ;! c~ en-- d, is :'? at
Ir the new Sampling Guide Schedule can only be used on contracts advertised for
bid after the effective date of the new Sampling Guide Schedule. On contracts
advertised prior to this date, the old Sampling Guide Schedule would have to
be used. Our Quality Control Services personnel have been checking ongoing
construction projects to make sure that, where appropriate, the new Sampling
Guide Schedule is being used. Another reason is that the Sampling Guide Schedule
8 is intended to be used as a guide only and establishes certain minimum sampling
frequencies. Our Resident and Project Engineers are charged with assuring
that materials incorporated into the work meet all the applicable specifications.
There will be many occasions when they feel it is necessary to take more samples
than dictated by the guide. For example, when a certain material is barely
meeting specifications, many samples are taken to determine whether the material
is acceptable or unacceptable.
Our present specifications require that concrete cylinders are broken
at 28 days. In fact, these cylinders are the acceptance point for all of
our Class ' IS" concrete. The 28- day concrete cylinders are a nationally- accepted
standard, and are specified in the manuals of the American Concrete Institute.
At the present time, we have no plans to revise our specifications to allow
any cylinders, other than the 28- day concrete cylinders, to be our acceptance
point for concrete.
APPENDIX ' IW ADOT COMMENTS ON AUDITOR GENERAL'S PERFORMANCE AUDIT
OF THE ARIZONA DEPARTMENT OF TRANSPORTATION MATERIALS TESTING FUNCTION
ANALYSIS OF STAFFING PROJECTION MODEL FOR DISTRICT LABS.
The mathematical model developed by the audit is a very ambitious endeavor
for an understandable purpose, which is to determine a method to predict the
staffing needs of District materials units. Such a procedure is of value
and assistance in functions where variables are controlled, such as in factories.
In this particular case, however, there :----~- r iableasn d outside factors which
were either not addressed or not fully considered in developing the model,
thereby weakening the model's applicability and accuracy. The following is
? l: r - n? lysis nc the two major weaknesses of the model:
Weakness 1. The model does not fully address the other duties of a 3isc:-_,;
materials unit. The model utilizes testing hours as its measure of personnel
requirements, assuming all other duties are proportional to the testing performed.
Productivity rates are thus defined as the average amount of testing time
per employee and acceptable rates are selected based on past demonstrated
ability to meet these rates. This has two major shortcomings: First, far from
being just a testing unit, these units have a vast number of other duties
necessary to each District's proper functioning. The duties of these units
are fully described in the attachment to this appendix. While some of these
duties are dependent on construction, many are not. With the new vastly larger
Districts, the personnel assigned will assume an even more important role. Our
experienced materials engineers estimate the following requirements for each
District for non- testing personnel.
( 1) A District Materials Engineer. Consultant to the District staff
and overall director of District materials functions.
( 2) An experienced lab supervisor to oversee the day- to- day materials
testing functions.
( 3) An experienced technician to perform the District quality assurance
program; visiting projects, checking lab logs, equipment, etc.
Another major shortcoming in this same area is that past productivity rates
did not consider that these units were often understaffed and had to utilize
considerable overtime and/ or additional assistance in order to perform their
duties; thus the model's decision as to acceptable productivity is based on
insufficient information. This effect is better seen when examined in the
light of Weakness 2, below.
Weakness 2. The model does not consider the effects on testing requirements
of different types of construction projects. Large projects, which have little,
if any, surfacing work (" grade and drain" projects) do not require a large amount
of testing, while smaller surfacing projects are highly materials intensive
and require a great amount of testing. Also, small urban projects require an in-ordinate
amount of testing. Surfacing ( pavement preservation) projects are often
prevalent in the rural Districts, especially during times of low construction
budgets, while small urban projects are common in District 1. To examine
this effect, we combined the information from Tables 2 and 3 of the report
to obtain
Appendix t o ADOT
Comments
Page 2
the r e l a t i o n s h i p of materials t e s t i n g i n t e n s i t y ( STH/$ m i l 1 i o n c o n t r a c t o r payments)
t o construct ion vol une ($ m i 11 ion contractor payments). The r e s u l t i s shown
on the attached graph 1 . This graph shows that as c o n s t r u c t i o n volume increases,
the t e s t i n g i n t e n s i t y decreases. As suspected, the r u r a l D i s t r i c t s o r d i n a r i l y
experience high c o n s t r u c t i o n volume only when given a few large " grade and drain"
type p r o j e c t s , while D i s t r i c t 1, w i t h i t s prevalent urban work, has a much
higher base, but experiences the same e f f e c t . Uhile c o r r e l a t i o n i s poor and
a d e f i n i t e representation i s not possible, graph 2 represents a " reasonable"
c o n s o l i d a t i o n o f the points on qraph 1. To properly assess f u t u r e s t a f f i n g
requirenents f o r any D i s t r i c t for any f i s c a l year, \% le would have t o analyze
the number and types o f construct ion p r o j e c t s scheduled f o r t h a t year; however,
lacking t h a t information, graph 2 allows f o r a " reasonable" estimate. Assuming
the formula f o r constructionvolurne ( contractor payments) i s c o r r e c t , we need
only t o f i n d the i n t e n s i t y ( ~ ~ H / c o n t r a c t opra ynents) from graph 2 and m u l t i p l y
it by t h e c o n t r a c t o r payment f i g u r e t o obtain an estimate o f the number of
t e s t i n g hours required f o r that f i s c a l year. Dividing t h i s by the average
yearly t e s t i n g hours a v a i l a b l e f o r each t e s t i n g employee g i v e s t h e r e s u l t a n t
estimate o f number o f t e s t i n g employees required. Adding non- testing employees
gives estinaced t o t a l s t a f f i n g requirements.
A method t o demonstrate the e f f e c t o f t h i s consideration i s t o recompute
the exampl e given on the l a s t page o f the a u d i t report ( 1- 5) ; however, before
doing so, the average year1 y t e s t i n g hours a v a i l a b l e f o r each employee must
be determined:
Total hours, excluding holidays
I1 lness, vacations ( average)
Subtota 1
Training, break time ( - G , % ~ G ), administration,
lab cleanup, etc. = 25%. .25x1776 = -- 444
Fdet t e s t i n g hours avai l a b l e 1332
Recomputation o f example:
Contractor Payments = $ 5,190,888 + .514 x ($ 22,943,200)
= $ 5,190,888 + $ 11,792,804
= $ 16,983,693
Usincj graph 2, t e s t i n g i n t e n s i t y = 270 STH/$ M i l l i o n
270 x 16.93 = 4585 STH
4585 t 1332 = 3.44 o r 4 employees j u s t - f o r t e s t i n g . -
Adding the 3 non- testing employees, a t o t a l s t a f f o f 7 i s indicated.
Another good example w u l d be D i s t r i c t 1' s 1980- 01 f i g u r e , which showed a
high " p r o d u c t i v i t y " ( see tables 2 and 3 o f the a u d i t r e p o r t ) .
Appendix to ADOT
Comments
Page 3
Lsing graph 2 for tk:? 553.5 nillion in contractor payments, testing
intensity = 170 ' JTH/$ Flillion. 65.5 x 170 = 11,61! 5 STH for FY 80- 81.
11,645 : 1332 = 3.74 or 9 employees for testing. Adding the 3 non- testing
enployees gives a total of 12. In effect, then, District 1 was understaffed
by one employee. This helps us to understand why overtime and additional
assistance was necessary in that District lab during that period.
We do not feel that such models are appropriate. If, as suggested in
the rc- oar:, record ken?: qg ~ ractices are improved, we will obtain infarnation
,*,( i_ d_ L_ !,.: i i i a I ; oii us r:, 2rcuratel y estinare f u ~ ~ rI-.. : - - !, re " 7 ' " 4- '
so.
AUDITOR GENERAL COMMENTS: The models projections do include administrative and
other nontesting duties. For example, the model's productivity standard of 800
STH/ FTE ( expressed as an average for all lab employees) for districts 11, I11
and IV allows nearly 1000 hours per FTE for the performance of nontesting activities -
even after allowing for holidays, illness and vacations. The need for three non-testing
employees - in addition to the model's projections is not supported by the
workload data.
ADOT's " testing intensity" curve in Graph 2 is - not a reasonable representation
of how testing intensity fluctuates with construction volume because:
1) ADOT used budgeted rather than actual FTEs in deriving the points
plotted in Graph 1. This artificially shifted the points upward
beyond our data which used actual figures.
2) ADOT's curve for districts 2- 7 on Graph 2 was drawn free- hand on the
basis of visual judgment of the points in Graph 1. No statistical
method was used so validate the appropriate~ ess of their 2- r- re.
Finally, ADOT's own representation of our model does in fact account for testing
intensity as shown by the downward slope of the model's curve in Graph 2.
ATTACHMENT TO APPENDIX
DISTRICT MATERIALS UNIT RESPONSIBILITIES
QUALITY CONTROL ON CONSTRUCTION PROJECTS
1. Obta i n independent assurance ( progress record) samples.
2. Witness and perform t e s t i n g f o r d i r e c t checks on t h e p r o j e c t t e s t i n g
procedures,
3. Check c o n s t r u c t i o n m a t e r i a l s logs and m a t e r i a l s c e r t i f i c a t i o n s .
4. Assist construction p r o j e c t personnel w i t h materials q u a l i t y c o n t r o l
problems, e s p e c i a l l y i n a s p h a l t i c c - - - - - - - - - ' -
5. Repair and c a l i b r a t e p r o j e c t lab equipment.
6. Perform l i a i s o n work between p r o j e c t , d i s t r i c t and c e n t r a l l a b on
special t e s t s and a s s i s t in c l a r i f i c a t i o n o f s p e c i f i c a t i o n s and
t e s t procedures.
7. i l i t n e s s and a s s i s t p r o j e c t labs i n hot p l a n t and concrete batch
p l a n t c a l i b r a t i o n and scale tolerance checking.
3, Review computer forms, computer p r i n t o u t s and maintain accurate
cofi~ puter a p p l i c a t i o n work on a l l materials t e s t r e s u l t s .
3. Perform core d r i 1 1 ing and t e s t i n g on p r o j e c t s t o c o r r e l a t e and
set up nuclear density t e s t i n g o f a s p h a l t i c concrete.
1. Perform c a r r e l a t i o n t e s t i n g and t e s t independent assurance samples.
2. Perform t e s t i n g f o r which p r o j e c t l a b o r a t o r i e s are not equipped.
3. Test r~ iaintenance materials and materials used i n permit work.
DES l GN
1. Perforrii mix design checks f o r a s p h a l t i c concrete and portland cement
concrete f o r c o n s t r u c t i o n p r o j e c t s and then c o n t i n u a l l y check mix
design as a s p h a l t i c concrete i s produced.
2. Perform s o i l cement, cement treated base and l i n e s t a b i l i z a t i o n desi, gns
f o r c o n s t r u c t i o n p r o j e c t s .
3. Perform a s p h a l t i c concrete or portland cement concrete mix designs f o r
maintenance or permit work.
4. flake reconmendations For materials design on proposed c o n s t r u c t i o n
projects. Review and comment on Materials Design Memos, communicating
w i t h the Hater i a l s Section.
Attachment t o Appendix
D i s t r i c t b? aterials Unit
R e s p o n s i b i l i t i e s
Page 2
TRAI i? l l flG
1. Conduct lab t r a i n i n g courses f o r c o n s t r u c t i o n and maintenance personnel.
2. Conduct nuclear density t r a i n i n g course w i t h emphasis on r a d i o l o g i c a l
safety.
3. Conduct special seminars as the need arises.
1. Assist d i s t r i c t and p r o j e c t s i n preparing and coordinating materials
r e l a t e d changes.
2. Assist in or perform research and prepare reports.
3. Act as materials consultant t o U i s t r i c t Engineer, his s t a f f and f i e l d
ma intenance.
4. Make recor. imendat ions regarding rehabi 1 i t a t i v e needs, workinp w i t h the
klaintenance Supervisor and the D i s t r i c t S t a f f .
5. Help locate and sample material sources f o r Maintenance.
6. Advise and consult w i t h C i t y and County personnel on matters i n v o l v i n g
local government projects.
7. A s s i s t c e n t r a l laboratory i n t e s t i n g products and materials f o r p r i o r
approva 1.
GRAPH I
DIST. l r; 7 ----
DIST. 2 A -----
DIST. 3 0 -------
DIST. 4
MODEL
ANNUAL CONTRACTOR PAYMENTS IN MILLIONS ( P)
STANDARD TESTING HOURS REQUIRED PER MILLION DOLLARS OF ANNUAL CONTRACTOR PAYMENTS ( STH/ P
APPENDIX I
STAFFING PROJECTION MODEL FOR
ADOT DISTRICT MATERIALS LABS
STAFFING PROJECTION MODEL FOR DISTRICT LABS
The s t a f f i n g p r o j e c t i o n model used i n Finding I c o n s i s t s of t h r e e main
elements:
1. P r o d u c t i v i t y standards expressed a s t o t a l number of t e s t i n g hours
per employee per year,
2. A s t a t i s t i c a l formula f o r p r o j e c t i n g t o t a l lab t e s t i n g hours o r
work load on the b a s i s of the estimated highway c o n s t r u c t i o n
program f o r each d i s t r i c t , and
3. Conversion of p r o j e c t e d l a b work load ( a product of element 2 )
i n t o FTE requirements by applying the p r o d u c t i v i t y standards i n
element 1.
Each of these elements is described more f u l l y below.
S e l e c t i n g P r o d u c t i v i t y Standards
P r o d u c t i v i t y standards used i n the model a r e based on p r o d u c t i v i t y r a t e s
achieved i n r e c e n t y e a r s by the d i s t r i c t l a b s . P r o d u c t i v i t y d a t a was not
a v a i l a b l e a t the beginning of the a u d i t , however, and had t o be developed
by a u d i t s t a f f .
We used annual t e s t i n g hours per employee a s an i n d i c a t o r of lab
p r o d u c t i v i t y . Lab personnel do not keep records which allow us t o
r e c o n s t r u c t the exact number and types of t e s t s performed during given
periods of time. However, lab logs show the number and types of samples
processed by the lab each day. Therefore, we estimated t o t a l annual
t e s t i n g hours per lab by using the following information:
1. Number and types of samples processed by each lab annually. We
gathered t h i s d a t a by reviewing lab logs.
2. Typical s e t of t e s t s performed on each type of sample. Typical
t e s t s were i d e n t i f i e d by ADOT m a t e r i a l s personnel.
3. Standard time t o perform each type of t e s t . Standard times were
provided by ADOT and a r e known as Standard Testing Hour ( STH).
This information allowed us t o estimate t o t a l annual t e s t i n g hours f o r
each lab. After determining the number of lab employees f o r each period,
we were then able t o estimate the annual p r o d u c t i v i t y of each lab
expressed as standard t e s t i n g hours per employee.
P a s t p r o d u c t i v i t y r a t e s provided the b a s i s f o r t h e p r o d u c t i v i t y standards
used i n t h e p r o j e c t i o n model. Table 3 ( s e e page 12) shows the range of
p r o d u c t i v i t y achieved by each d i s t r i c t lab during a s ix- year period where
d a t a could be obtained. I n g e n e r a l , labs i n t h e metropolitan d i s t r i c t s
( phoenix and Tucson) h i s t o r i c a l l y achieved higher p r o d u c t i v i t y r a t e s than
labs i n the r u r a l d i s t r i c t s . This d i f f e r e n c e can be a t t r i b u t e d t o a t
l e a s t two f a c t o r s : 1) employees i n the r u r a l d i s t r i c t labs spent more
time t r a v e l i n g than employees i n t h e metropolitan labs and 2) economies
of s c a l e a r e p o s s i b l e i n high- volume labs. Traveling d i s t a n c e becomes
even more important a s a f a c t o r when s e l e c t i n g p r o d u c t i v i t y standards f o r
the four new d i s t r i c t s because t h r e e of these d i s t r i c t s w i l l have enlarged
geographical areas t o s e r v i c e . With t h i s i n mind, we adopted a
p r o d u c t i v i t y standard of 800 STHs per employee per year f o r new D i s t r i c t s
2, 3 and 4 and a standard of 1,150 STHs per employee per year f o r D i s t r i c t
1. We b e l i e v e these standards a r e achieveable, a s evidenced by the
h i s t o r i c a l r a t e s shown i n Table 3 , and s t i l l allow adequate time f o r
vacations, i l l n e s s and the performance of o t h e r l a b duties.*
* There are approximately 2,000 hours per employee i n a f i s c a l year, not
inc luding holidays.
P r o j e c t i n g Lab Work Load
The second element of the model is a s t a t i s t i c a l formula f o r p r o j e c t i n g
t o t a l lab work loads ( t e s t i n g hours) on the b a s i s of the estimated highway
c o n s t r u c t i o n program f o r each d i s t r i c t . The formula involves two main
s t e p s :
1. P r o j e c t i n g the amount of c o n s t r u c t i o n l i k e l y t o occur i n each
d i s t r i c t expressed a s payments t o c o n t r a c t o r s and
2. Estimating the number of t e s t i n g hours needed t o support t h a t
c o n s t r u c t ion.
Using s t a t i s t i c a l techniques, we developed a method f o r p r o j e c t i n g the
amount of c o n s t r u c t i o n l i k e l y t o occur i n each d i s t r i c t a s measured by
payments t o c o n t r a c t o r s . We analyzed t h e h i s t o r i c a l r e l a t i o n s h i p between
1) annual c o n s t r u c t i o n e s t i m a t e s f o r each d i s t r i c t and 2) c o n t r a c t o r
payments during the same and subsequent periods.* The f i r s t - y e a r
estimates of t h e five- year c o n s t r u c t i o n programs were used a s the
c o n s t r u c t i o n e s t i m a t e s i n t h e model.** We found a very high c o r r e l a t i o n
between the f i r s t - y e a r estimates and t h e a c t u a l c o n s t r u c t i o n i n the
d i s t r i c t the following y e a r , a s measured by payments t o contractors.***
This high c o r r e l a t i o n allows u s t o p r e d i c t c o n t r a c t o r payments i n a f u t u r e
year on t h e b a s i s of the o f f i c i a l c o n s t r u c t i o n e s t i m a t e s f o r t h e preceding
year.
W e a l s o found a high c o r r e l a t i o n h i s t o r i c a l l y between payments t o
c o n t r a c t o r s and the number of standard t e s t i n g hours performed by the
d i s t r i c t lab during the same period.""-" 0 %" Therefore, the number of
standard t e s t i n g hours needed t o support c o n s t r u c t i o n can be estimated
from c o n t r a c t o r payments.
* A l l h i s t o r i c a l d a t a was converted t o 1982 d o l l a r s .
** In the a n a l y s i s we used the f i r s t - y e a r estimates of s i x consecutive
five- year programs.
* C o e f f i c i e n t of c o r r e l a t i o n ( R) = .902
C o e f f i c i e n t of determination ( R2) = .814
- 3 _ I C o e i f i c i e n t of c o r r e l a t i o n ( R) = .845
C o e f f i c i e n t of determination ( R ~ =) .714
In summary then, we discovered strong r e l a t