Alternative Quality Management Systems for Highway Construction (2015)

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APPENDIX B: ONLINE SURVEY NCHRP 10-83 Alternative Quality Management Systems for Highway Construction INTRODUCTION/BACKGROUND: The purpose of this questionnaire is to identify how state highway agencies (SHA) have implemented alternative QA programs and from that baseline, identify commonly used practices for dissemination and use by SHAs that intend to implement alternative procurement on future projects or alternative QA methods in their current program. DEFINITIONS: The research will use TRB Circular E-C074, Glossary of Highway Quality Assurance Terms to standardize its terminology. The following are terms that must be carefully understood to properly complete this survey. Quality Assurance (QA). All those planned and systematic actions necessary to provide confidence that a product or facility will perform satisfactorily in service [QA addresses the overall problem of obtaining the quality of a service, product, or facility in the most efficient, economical, and satisfactory manner possible. Within this broad context, QA involves continued evaluation of the activities of planning, design, development of plans and specifications, advertising and awarding of contracts, construction, and maintenance, and the interactions of these activities.] TRB E-C074. Quality control (QC). Also called process control. Those QA actions and considerations necessary to assess and adjust production and construction processes so as to control the level of quality being produced in the end product. TRB E-C074. Quality Management (QM): The overarching system of policies and procedures that govern the performance of QA and QC activities. The totality of the effort to ensure quality in design and/or construction. Design-bid-build (DBB): A project delivery method where the design is completed either by in-house professional engineering staff or a design consultant before the construction contract is advertised. Also called the “traditional method.” Design-build (DB): A project delivery method where both the design and the construction of the project are simultaneously awarded to a single entity. Construction Manager-General Contractor (CMGC): A project delivery method where the contractor is selected during the design process and makes input to the design via constructability, cost engineering, and value analysis reviews. Once the design is complete, the same entity builds the projects as the general contractor. CMGC assumes that the contractor will self-perform a significant amount of the construction work. Construction Manager-at-Risk (CMR): A project delivery method similar to CMGC, but where the CM does not self-perform any of the construction work. Design deliverable: A product produced by the design-builder’s design team that is submitted for review to the agency. (i.e. design packages, construction documents, etc.) Construction deliverable: A product produced by the design-builder’s construction team that is submitted for review to the agency. (shop drawings, product submittals, etc.)

General Information: 1. US state in which the respondent is employed: 2. You are employed by what type of organization? State Department of Transportation Other public transportation agency; Name of Agency: Federal Agency; Name of Agency: Other; Please describe: 3. What group/section do you work in? Design group/section Construction group/section Operations group/section Maintenance group/section Alternative project delivery group/section Materials group/section Contracts/procurement group/section Other, please specify: 4. Please check the appropriate boxes for your agency’s project delivery program. Project Delivery Method Legislative/Legal Authority PDM Experience DBB NA; 1-5; 5-10; > 10 CMGC NA; Pilot projects only; General authorization NA; 1-5; 5-10; > 10 DB NA; Pilot projects only; General authorization NA; 1-5; 5-10; > 10 P3 NA; Pilot projects only; General authorization NA; 1-5; 5-10; > 10 Other NA; Pilot projects only; General authorization NA; 1-5; 5-10; > 10 5. Are Quality Management systems different between Project Delivery Methods? Yes No 6. What is the approximate proportion of in-house design versus outsourced design services? In- house design services % Outsourced design services % Agency Quality Management Policy/Procedures Information: The following questions will break up the quality management process into the following three phases: ♦ Procurement phase: Actions taken regarding the quality management process that are reflected in the agency’s contractor prequalification requirements and/or solicitation documentation such as in the Invitation to Bid (IFB), Request for Qualifications (RFQ) and the Request for Proposals (RFP). ♦ Design Phase (in-house): Actions taken after approval to start design work regarding ensuring the quality of the design deliverables as well as that the final design complies with contractual requirements. OR 159

♦ Design Phase (out-source): Actions taken after design contract award regarding ensuring the quality of the design deliverables as well as that the final design complies with contractual requirements. ♦ Construction Phase: Actions taken after contract award regarding the quality of the final constructed product to ensure that it complies with both the completed design and other contractual requirements. The research team understands that term “Approval” has a variety of slightly different meanings from state to state. It is used here to indicate the process by which the agency indicates that it is satisfied with the quality of the design or construction deliverable and is willing to make payment for satisfactory completion of that task if asked. Procurement phase: Administrative prequalification: A set of procedures and accompanying forms/ documentation that must be followed by a construction contractor to qualify to submit bids construction projects using traditional project delivery. Performance based prequalification: A set of procedures and back-up documents that must be followed by a construction contractor to qualify to submit a bid on a construction project based on quality, past performance, safety, specialized technical capability, project-specific work experience, key personnel, and other factors. 1. Does your agency use a prequalification program for design firms? Yes No If the answer to the previous question is YES, please answer for your agency’s program to prequalify design firms. Designer prequalification program factors Prequalification Type Administrative Performance Based Prequalification required for all projects Prequalification required for selected projects only Prequalification standards are the same for all projects Prequalification standards are different by project class Other: please specify: 2. Does your agency use a prequalification program for construction contractors? Yes No If the answer to the previous question is YES, please answer for your agency’s construction contractor prequalification program. Construction prequalification program factors Prequalification Type Administrative Performance Based Prequalification required for all projects Prequalification required for selected projects only Prequalification standards are the same for all projects Prequalification standards are different by project class Other: please specify: 3. Please answer for your agency’s typical procurement process. If your process can be conducted in more than one way, please answer for the most prevalent set of procedures 160

Do the IFB, RFQ or the RFP require the following to be submitted as part of the process to reach a design, construction, and/or design-build contract award? Required proposal/ bid package submittal? If YES: Is it evaluated to make the award decision? If NO: Is it a required submittal after contract award? Yes No Yes No Yes No Qualifications of the Design Quality Manager Qualifications of the Construction Quality Manager Qualifications of other Quality Management Personnel (inspectors, technicians, etc.) Design quality management plan Design quality assurance plan Design quality control plan Construction quality management plan Construction quality assurance plan Construction quality control plan Do your IFB, RFQ or your RFP contain the following? Quality management roles and responsibilities Design criteria checklists Construction testing matrix Quality-based incentive/disincentive features Warranties Optional warranties Design Phase: 1. Does your agency have a formal design quality assurance program for design performed in- house? Yes No 2. Does your agency have a formal design quality assurance program for design performed by design consultants? Yes No 3. Does your agency combine in-house design services with projects delivered by alternative methods (CMGC, DB, P3)? Yes No Who performs the following design quality management tasks? (Check all that apply) Does not apply Agency design staff Agency project manage- ment staff Project design consult- ant Project con- struction staff in CMGC, DB, P3 Indepen- dent quality consultant Other Please specify below Technical review of design deliverables Checking of design calculations Checking of quantities Acceptance of design deliverables Review of specifications Approval of final construction plans & other design documents Approval of progress payments for design progress Approval of post-award design QM/QA/QC plans 161

Other: Construction Phase: Who performs the following construction quality management tasks? (Check all that apply) Does not apply Agency design staff Agency project manage- ment staff Project design consult- ant Project con- struction staff in CMGC, DB, P3 Indepen- dent quality consultant Other Please specify below Technical review of construction shop drawings Technical review of construction material submittals Checking of pay quantities Routine construction inspection Quality control testing Verification testing Acceptance testing Approval of progress payments for construction progress Approval of construction post-award QM/QA/QC plans Report of nonconforming work or punchlist. Other: Quality Management Planning: Please answer the following questions from a general perspective based on your experience. 1. Are the construction QA plans used on CMGC/DB/P3 projects significantly different from the QA plan used on traditional DBB construction projects? Never Sometimes Always If yes, what is the major difference? 2. Are the design QA plans used on CMGC/DB/P3 projects significantly different from the QA plan used on traditional design projects? Never Sometimes Always If yes, what is the major difference? 3. Does the agency specify what must be included in the design-builder’s QA plans? Never Sometimes Always 4. Does the agency mandate the use of its own standard QA plans? 162

Never Sometimes Always 5. Does the agency mandate the use of standard agency specifications? Never Sometimes Always 6. Does the agency mandate the use of standard agency design details? Never Sometimes Always 7. Does the agency mandate the use of standard agency construction means and/or methods? Never Sometimes Always 8. Does the agency mandate a specific set of qualifications for the quality management staff of design consultants and construction contractors in DBB projects? Never Sometimes Always If yes, what are those qualifications? 9. Does the agency mandate a specific set of qualifications for the quality management staff of design consultants and construction contractors in CMGC projects? Never Sometimes Always If yes, what are those qualifications? 10. Does the agency mandate a specific set of qualifications for the design-builder/P3 concessionaire’s design quality assurance staff? Never Sometimes Always If yes, what are those qualifications? 11. Does the agency mandate a specific set of qualifications for the design-builder/P3 concessionaire’s construction quality assurance staff? Never Sometimes Always If yes, what are those qualifications? 163

12. Does your agency utilize contractor quality assurance acceptance testing on any of its projects? Yes. Do you use a performance based prequalification process in conjunction with the contractor acceptance testing program? Yes No No. Would you use it if you could prequalify contractors and/or their quality assurance personnel on a performance basis? Yes No General Quality Management Procedures: 1. Is the quality management system used on federal-aid projects different from that used on projects funded using other resources? Never Sometimes Always If yes, what is the major difference? 1. Do you think that the agency holds the outsourced design consultant’s staff to a higher standard of care than it sets for its internal design staff? Yes No No opinion Comments? 2. Do you think that the agency holds the CMGC/design-builder/P3 concessionaire’s construction quality management staff to a higher standard of care than it sets for its internal construction inspection staff? Yes No No opinion Comments? 3. Does your organization have a document that outlines its approach to quality assurance on projects delivered using alternative methods like CMGC, DB, and or P3? Yes No If yes and would you be willing to share it with this research project, please contact Dr. Doug Gransberg at dgran@iastate.edu 4. Does your agency use an approach to quality management that is substantially different than that used by other agencies and might be considered an “alternative QA system”? An example might be a statistical analysis of material test reports that eliminates the need for agency acceptance testing. Yes No If yes and would you be willing to share it with this research project, please contact Dr. Doug Gransberg at dgran@iastate.edu 164

5. Which of the below best describes your agency’s approach to QA for each delivery method? DBB CMGC DB P3 Design consultant primarily responsible for QA/Agency audits consultant program Contractor primarily responsible for QA/Agency audits contractor program Agency retains traditional QA roles Agency retains an independent party to perform QA roles Agency uses two or more of the above depending on the project None of the above Design consultant primarily responsible for QA/Agency audits consultant program Contractor primarily responsible for QA/Agency audits design-builder’s program Agency retains traditional QA roles Agency retains an independent party to perform QA roles Agency uses two or more of the above depending on the project None of the above Design-builder primarily responsible for QA/Agency audits design-builder’s program Agency retains traditional QA roles Agency retains an independent party to perform QA roles Agency uses two or more of the above depending on the project None of the above Concessionaire primarily responsible for QA/Agency audits concessionaire’s program Agency retains traditional QA roles Agency retains an independent party to perform QA roles Agency uses two or more of the above depending on the project None of the above 6. What are the three biggest challenges to implementing QA on projects delivered using alternative project delivery methods? 1. 2. 3. 7. Please rate the following factors for their impact on the quality of the project. Factor Very High Impact High Impact Some Impact Slight Impact No Impact Qualifications of agency design staff Qualifications of agency project management staff Qualifications of agency construction staff Qualifications of the design consultant’s staff Design consultant past project experience Qualifications of the construction contractor’s staff Construction contractor’s past project experience Quality management plans submitted/reviewed Level of agency involvement in the QA process Use of agency specifications and/or design details Level of detail expressed in the procurement documents (IFB/RFQ/RFP) Use of performance criteria/specifications Detailed design criteria Warranty provisions Incentive/disincentive provisions Follow-on maintenance provisions Innovative financing (PPP/concession) 165

8. Do you have any other information that you would be willing to share with the researchers that might add value to this research? If so, please submit it in the following text block. Thank you very much for participating in this research. The results of the research will be published by NCHRP and should be available on the TRB website within the next 18 months. If you have questions or would like to contribute a case study project or other informational material, please contact Dr. Doug Gransberg at 405-325-6092 or send him an email at dgransberg@ou.edu. 166