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Suggested Citation:"Chapter 1 - Introduction ." National Academies of Sciences, Engineering, and Medicine. 2015. Guidebook on Alternative Quality Management Systems for Highway Construction. Washington, DC: The National Academies Press. doi: 10.17226/22128.
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Page 1
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Suggested Citation:"Chapter 1 - Introduction ." National Academies of Sciences, Engineering, and Medicine. 2015. Guidebook on Alternative Quality Management Systems for Highway Construction. Washington, DC: The National Academies Press. doi: 10.17226/22128.
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Page 2
Page 3
Suggested Citation:"Chapter 1 - Introduction ." National Academies of Sciences, Engineering, and Medicine. 2015. Guidebook on Alternative Quality Management Systems for Highway Construction. Washington, DC: The National Academies Press. doi: 10.17226/22128.
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Page 3
Page 4
Suggested Citation:"Chapter 1 - Introduction ." National Academies of Sciences, Engineering, and Medicine. 2015. Guidebook on Alternative Quality Management Systems for Highway Construction. Washington, DC: The National Academies Press. doi: 10.17226/22128.
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1 Introduction 1.1 Background This guidebook focuses on the identification, understand- ing, and dissemination of alternative quality management sys- tems (QMSs) in the highway industry throughout the United States. Innovations in quality assurance organizations (QAOs) and other features of quality programs are being used by state transportation agencies (STAs) across the country. The use of non-traditional QAOs is being used with both design- bid-build (DBB) delivery and alternative delivery methods such as construction manager/general contractor (CMGC) and design-build (DB). The need for this guidebook is, in part, a consequence of both the growing use of alternative project delivery methods and the need for a better definition of qual- ity management in the context of alternative project delivery. The roles of owners and contractors in QMSs are changing. These changes are leading to varying QAOs, which range from the agency-dominated system of quality management asso- ciated with the traditional DBB method to DB/public-private partnership (PPP) agreements where the responsibility for quality management is shared to varying degrees between the contractor and owner (FHWA 2012). One of the attractions of projects using alternative delivery methods like these is the transfer from the owner to other parties of some project responsibilities, which may include design, finance, and/or quality management. These alternatives may result in savings to the owner and are increasingly making inroads into the highway construction industry. This research makes a fundamental assumption—that all projects, whether using alternative quality management methods or traditional methods, must be delivered to meet the same standards and specifications that are found in the baseline method. In traditional DBB contracting in the transportation industry, decades of owner-managed quality assurance (QA) efforts and material supplier quality control (QC) experi- ence provide a wealth of knowledge and standard practices that are readily accessible and widely accepted for producing infrastructure projects that function as intended. For proj- ects using an alternative QMS (whether a modified baseline method or an alternative delivery method), there exists a lim- ited, but rapidly expanding, body of experience associated with ensuring quality. The purpose of this guidebook is to bring together this relatively new body of experience and summarize it in one easily accessible reference treating the subject of quality management in alternative projects. 1.2 What Is Quality? Transportation infrastructure project QMSs in the United States are evolving, due in part to experimentation with changes to the baseline QMS and in part as an accommo- dation of the needs of alternative delivery methods. These alternative delivery methods include DB, CMGC, and PPP. Their use is becoming more prevalent, particularly on larger and higher profile rapid renewal projects. The speed at which rapid renewal projects must be delivered creates a demand for a well-defined QMS that can be successfully instituted on a variety of projects. QMS guidelines on a national level will promote efficiency and allow for the transfer of knowledge to continuously improve these systems. Project delivery methods and project quality management should be concerns for all public transportation agencies. It is important to understand how agencies are approaching the project delivery/quality management issue on their projects. When using project delivery methods in which the contrac- tor is selected before the design is complete and is expected to contribute to the design, the agency should consider the impact of that shift on quality management planning and execution at every phase of project development. Table 1 compares the potential for meeting three quality objectives among three project delivery methods based on an analysis of federal projects (Uhlik and Eller 1999). Uhlik and Eller (1999) conclude that CMGC project deliv- ery has a high likelihood of delivering two of three quality C H A P T E R 1

2objectives. The third objective, single point of responsi- bility, can only be achieved by DB project delivery and DB has a low probability of achieving the checks and balances objective. Table 1 indicates that CMGC and DB may be the preferred project delivery methods for projects where ensur- ing quality is difficult. Ladino, Reedy, and Carlson (2008) reached the same conclusion: “CM[GC] improves quality and value . . . [by keeping] focus on quality and value—not low bid.” The scope of this guidebook section is to discuss the state-of-the-practice regarding quality management as implemented in projects delivered using alternative project delivery methods. 1.3 Quality Definitions The construction industry uses precise terms to define dif- ferent aspects of quality programs. However, agencies often use these terms inconsistently. Among the authors of literature on quality exists what is best described as “confusion” as to precise definitions for the various aspects of quality and the terminology used to describe the tasks involved in design and construction quality management. The American Society for Quality (ASQ) defines quality as “the totality of features and characteristics of a product or ser- vice that bears on its ability to satisfy given needs” (ASQ 2013). That definition is quite broad, but the focus on “satisfy[ing] given needs” is cogent to this guidebook. The owner must clearly articulate the “given needs” for design and construc- tion quality in project documents (i.e., requests for propos- als (RFPs), specifications, etc.). One way to ensure that these needs are understood is by requesting specific quality-related submittals as a part of any pre-award proposals, if applicable. Another way is to include the requirements for design and construction quality management as submittals required after contract award. The ASQ goes on to define five varying types of quality as follows (ASQ 2013): • Relative Quality: loose comparison of product features and characteristics. • Product-Based: quality is a precise and measurable variable and differences in quality reflect differences in quantity of some product attribute. • User-Based: fitness for intended use. • Manufacturing-Based: conformance to specifications. • Value-Based: conformance at an acceptable cost. Thus, it can be seen that the concept of quality has many facets. As a result, an owner attempting to articulate the requirements for both design and construction quality needs to be very precise in defining quality for each feature of work. Additionally, as the methods used to deliver transpor- tation projects evolve, new definitions must be developed to describe the altered state of roles and responsibilities for managing the quality definition, verification, and acceptance process. In NCHRP Synthesis 65 (Transportation Research Board 1979), ensuring that a QMS is fulfilling a project’s design and construction quality needs is simplified to four basic questions: 1. What do we want? 2. How do we order it? 3. Did we get what we ordered? 4. What do we do if we do not get what we ordered? An example of the need for new definitions is given by Bourne, DeWitt, and Drennon (2006). These authors recognized the specific need for new definitions for actions performed when deploying quality programs on projects delivered using alter- native delivery methods, stating (p. 2, emphasis added) As it relates to QA, the owner is responsible for oversight man- agement and a new definition of QA. This new definition includes oversight to provide confidence that the design–builder is per- forming in accordance with the QC plan, design monitoring and verification through auditing, spot-checking, and participation in the review of the design. For the purposes of this guidebook, Transportation Research Circular E-C137: Glossary of Highway Quality Assurance Terms (2009) is used to define exactly what the quality assurance terms Likelihood of Meeting Objective Quality Objectives DBB CMGC DB A system of checks and balances exists between design and construction High High Low Input on quality is provided during design by someone with construction expertise Low High High Single point of responsibility for design and construction quality Low Low High Adapted from Uhlik and Eller 1999. Table 1. Quality management comparison of project delivery methods.

3 in this report mean. The major definitions are reproduced in Appendix A. Additionally, this guidebook makes extensive use of the terms QMS and QAO, and some care must be taken to distinguish between the two concepts. As seen in Figure 1, the QMS for a construction project consists of two primary components: a QAO and the tools and procedures used to manage quality on a project. As used throughout this guidebook, a QAO is a component of the broader QMS used on a project as a whole and deals with organizational relationships related to quality management. QAOs give structure to the quality management process and define the roles each party will play when managing qual- ity on a project from the start of design to acceptance of the final product. QAOs specify who will be performing quality control and acceptance functions for both design and con- struction on a project and will be discussed in greater detail in Chapters 3 and 4. The tools and procedures component of the QMS con- sists of specific actions taken to manage the quality on a proj- ect and perform the functions specified in the QAO (i.e., over-the-shoulder design checks, design checklists, contrac- tor quality control testing, acceptance testing, independent verification, etc.). The number and types of tools used on any given project will vary based on project characteristics, agency and project team preferences, legal requirements, and many other factors. These tools are not limited to quality con- trol testing or inspection in the field, but can include actions taken before, during, or after the procurement, design, and construction phases. 1.4 Organization of the Guidebook The guidebook is organized to lead the reader through the process of developing a QMS that is both responsive to spe- cific project needs and broad enough to be replicated with project-specific adaptations on future projects of similar scope, complexity, and delivery schedule. A brief summary of the remainder of the guidebook is as follows: • Chapter 2: The Business Case for Alternative Quality Management Systems. A QMS is fundamentally an assign- ment of roles and responsibilities for design and construc- tion QA tasks aligned with FHWA Technical Advisory 6120.3 (FHWA 2004) for projects with federal funds between the project owner, its designated representatives, and the design and construction professionals involved in delivering the project. This guidebook starts by presenting five models that have been used successfully on projects with alter- native QMSs. The purpose of this chapter is to assist project managers in relating the selected QAO and its attendant, alternative QMS tools to the current state-of-the-practice in project QA. The chapter will also assist the practitioner in articulating the improvements that the new system has over the traditional DBB QA system. • Chapter 3: Quality Assurance Organizations. This chapter furnishes the information necessary to differentiate among QAOs that could potentially be applied to a given project and provides a framework upon which the project manager can build a project-specific QMS. • Chapter 4: Quality Assurance Organization Selection. The essence of alternative quality management is the selection of an appropriate QAO. This chapter furnishes the necessary guidance to assist the project manager and its consultant in the QAO selection decision. • Chapter 5: Useful Tools for an Alternative Quality Manage- ment System. Implementing an alternative QMS demands that the project manager carefully plan the manner in which it will be executed on a project-by-project basis. This chap- ter furnishes a set of tools that can be considered for each project. • Appendix A: Glossary of Terms. The use of consistent definitions is paramount in quality management processes. This appendix provides the definitions of the terms used in this guidebook. • Appendix B: Common Quality Management Tools. This appendix provides a list of 26 quality management tools found in the research. Each tool is described through the following questions and statements. What is it? Why use it? What does it do? When to use it. How to use it. Example applications of the tools are also provided. • Appendix C: Highway Project Quality Assurance Organization Selection Guide. This appendix provides a basic QAO selection tool, including instructions on the use of the tool and blank forms for application. It also presents a demonstration of the tool on a project for illustration. 1.5 Chapter 1 References ASQ (American Society for Quality), “Quality Glossary.” http://www.asq.org/glossary/. Viewed May 2013. Bourne, J., S. DeWitt, and P. Drennon, “Ensuring Quality Is Built into the Request for Proposal Process,” Transportation QAO Tools and Procedures QMS Figure 1. QAO framework.

4Research Circular E-C090: Design-Build: A Quality Process. Transportation Research Board of the National Academies, Washington, D.C., 2006, pp. 1–2. http://onlinepubs.trb. org/onlinepubs/circulars/ec090.pdf FHWA, Construction Quality Assurance for Design-Build Highway Projects, Technical Briefing, FHWA Publication No. FHWA-HRT-12-039, April 2012, 8 pp. FHWA, Use of Contractor Test Results in the Acceptance Decision, Recommended Quality Measures, and the Identification of Contractor/Department Risks, Technical Advisory 6120.3, August 2004. Ladino, M. J., K. A. Reedy, and J. E. Carlson, “Alternate Project Delivery in Horizontal Construction,” presentation, Annual Meeting, Associated General Contractors of America, Las Vegas, Nevada, March 2008, 25 pp. Transportation Research Board, NCHRP Synthesis of Highway Practice 65: Quality Assurance, National Research Council, Washington, D.C., 1979, 42 pp. Transportation Research Circular E-C090: Design-Build: A Qual- ity Process, Transportation Research Board of the National Academies, Washington, D.C., 2006. http://onlinepubs.trb. org/onlinepubs/circulars/ec090.pdf Transportation Research Circular E-C137: Glossary of Highway Quality Assurance Terms (Fourth Update), Transportation Research Board of the National Academies, Washington, D.C., 2009. http://onlinepubs.trb.org/onlinepubs/circulars/ ec137.pdf Uhlik, F. T., and M. D. Eller, “Alternative Delivery Approaches for Military Medical Construction Projects,” Journal of Architectural Engineering, Vol. 5, No. 4, 1999, pp. 149–155.

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TRB’s National Cooperative Highway Research Program (NCHRP) Report 808: Guidebook on Alternative Quality Management Systems for Highway Construction provides national guidance on standard approaches relating to quality management systems (QMSs).

The basis for the report stems from a lack of guidance that resulted in significant investment on the part of transportation agencies, contractors, and consultants to develop unique QMSs for different agencies on a project-by-project basis. The speed at which rapid renewal projects must be delivered creates a demand for a well-defined QMS that can be successfully replicated on a variety of projects.

The report will guide readers through the process of developing a QMS that is both responsive to specific project needs and broad enough to be replicated with project-specific adaptations on future projects of similar scope, complexity, and delivery schedule.

The project quality assurance organization (QAO) selection forms presented in the report are available online.

NCHRP Web-Only Document 212: Alternative Quality Management Systems for Highway Construction documents the research process to develop the guidebook.

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