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22 Quality Assurance Organization Selection 4.1 Introduction to QAO Selection The selection of a QAO should occur as early in the project development process as possible. At a minimum, it should be completed before any procurement of design and/or construc- tion begins. Inclusion of the QAO in the procurement process allows for the RFQ, RFP, and/or IFB to define the project QAO so that the responding party can appropriately account for costs, risks, or staffing requirements. Agencies tend to default to the traditional Deterministic QAO, in which the agency is responsible for all of the quality responsibilities. This research did not find a standard procedure or any formal guidance for defining roles and responsibilities when an agency determines that an alternative QAO is required. The purpose of this chapter is to provide guidance in selecting a project QAO. This chapter presents the factors that influence the selection of a project QAO and provides a tool to select appropriate QAOs based on the relationships between particu- lar selection factors and the QAOs. The project QAO analysis selection tool provides transparency and further understand- ing to better define appropriate project QAOs. 4.2 Factors Influencing the Selection of the Project QAO Appropriate project QAO selection requires an analysis of the factors that influence the selection and their relation- ship factors to each QAO. Ten different factors influencing the selection of a project QAO have been identified through interviews with agency project staff from 23 different projects in 13 different states. Further, the relationships between the selection factors and the fundamental QAOs have been deter- mined by a panel of 12 experts through a three round Delphi study rating the appropriateness of each QAO to different cat- egories of each selection factor. The contractorâs final report for NCHRP Project 10-83 (published as NCHRP Web-Only Document 212) provides a detailed description of this process. In this research, 10 factors that influence the selection of a project QAO were discovered and validated. These 10 factors fell into three groups: project, agency, and industry (see Table 3). The selection is intended to be made prior to any procurement. Any factors that were a condition of circumstances occurring after the procurement process were excluded because this information is unknown at the time QAO selection for a proj- ect takes place. 4.2.1 Project Factors Project factors include four factors that influence the selec- tion of a QAO: (1) project size, (2) project complexity, (3) sched- ule sensitivity, and (4) project delivery method. Project size is determined by the budget of the project including both design and construction. Project complexity is related to how similar the project is to a typical agency project. Complexity can result from characteristics including project scope, design requirements and constraints, construction methods, site con- ditions, budget and funding constraints, quality requirements, project delivery method, and specialty materials. Schedule sensitivity refers to the vulnerability of the project schedule to changes due to delays, conflicts, and/or events outside of the designerâs and/or contractorâs control. Examples include schedule items such as coordination of observations, inspec- tions, and/or testing performed by the agency. Project deliv- ery method is âthe process by which a construction project is comprehensively designed and constructed for an owner including project scope definition, organization of designers, constructors and various consultants, sequencing of design and construction operations, execution of design and con- struction, and closeout and start-upâ (Touran et al. 2011). The delivery methods include DBB, CMGC, DB, and PPP. 4.2.2 Agency Factors Agency factors are the characteristics and abilities of STAs that are responsible for projects. The four agency factors C H A P T E R 4
23 are (1) culture, (2) staffing availability, (3) staffing experi- ence, and (4) the amount of quality responsibility the agency wants to shift to another project participant. The culture of the agency is the agencyâs attitude toward the implementa- tion of change in quality management techniques. Agency staffing availability stems from quantity of staff available at an STA. Agencies across the nation have noted that they are experiencing a reduction in staff size. This factor is defined by the quantity of agency staff available to commit to projects as compared to the traditional levels of agency staffing for comparable projects. Agency staffing experience is the average number of years of experience of the agency staff committed to the project. The amount of quality responsibility shifted away from the agency has to do with shifting responsibility for quality to another project participant. These shifts refer to the amount of liability for the management of the projectâs quality that an agency wants to shift to another project partner (e.g., contractor, designer, engineer, design builder, CMGC, or concessionaire). 4.2.3 Industry Factors Industry factors are the characteristics or abilities of local design, engineering, contracting, and consulting communi- ties. The two industry factors are (1) the industryâs ability to manage its own quality and (2) the level of trust established between the industry and the agency. The industryâs ability to manage its own quality refers to the local communitiesâ levels of competence in managing their own quality. This competence may result from education, training, experience, or industry culture, or a combination of these. The level of trust estab- lished between the industry and agency is important because as agency control over a project is reduced, increased levels of trust are required, and the project becomes more collaborative. Effective collaboration depends on an agencyâs level of con- fidence that project decisions made by industry partners will be based on achieving the best results for the project, rather than on the partnersâ interests. 4.2.4 Establishing Relationships Between Selection Factors and QAOs Four ratings were developed to indicate the relationship between the selection factors and the QAOs. These ratings are fatal flaw (denoted with Ã), least appropriate (-), appro- priate (+), and most appropriate (++). The selection factors and the appropriateness ratings presented in this section form the basis for the development of the project QAO selection process tool with the intent of providing guidance, transpar- ency, and understanding to the process. 4.3 Guidance on Using Project Factors to Select a QAO The goal of the QAO selection process is to help STAs identify the most appropriate QAO for projects at hand by rating the appropriateness of the five fundamental QAOs according to the categories of selection factors that apply to the projects. This guide strongly suggests that project QAOs be selected before the RFQ, RFP, or IFB process for design or construction begins so that project quality roles and respon- sibilities can be accurately accounted for the procurement. The QAO selection process tool uses a three-step process for selecting the most appropriate QAOs for a particular project (see Figure 18). The three steps are identifying barriers to QAO adoption, creating a selection process profile, and apply- ing the QAO factor analysis to select the most appropriate QAO. The steps are discussed in more detail in the following sections, and forms for the process are provided in Appendix C of this guidebook. 4.3.1 Step 1: Identifying Barriers to QAO Selection Barriers are regulations or policies that either prevent the use of an alternative QAO or dictate that a specific QAO be used on the project. Possible barriers include, but are not limited to, federal, local, or funding regulations; political issues; and agency policies. It is important to identify these barriers at the begin- ning of the QAO selection process because it is very likely that if barriers exist, the QAO selection process will begin and end at this step. For example, when a specific QAO is required, that QAO must be selected. 4.3.2 Step 2: Preparing the Project QAO Selection Factor Profile The goal of the second step is to prepare the project QAO selection factor profile (see Figure C5). The project QAO selec- tion factor profile identifies which category of each selection factor applies to the project being analyzed. Selection factor group Selection factor Project Project size Project complexity Schedule sensitivity Project delivery method Agency Culture Staffing availability Staffing experience Amount of quality responsibility shifted away from the agency Industry Ability to manage its own quality Trust between industry and agency Table 3. Factors influencing the selection of a project QAO.
24 Local regulaons Federal regulaons Funding regulaons Any regulaons prohibing alternave QAO Use tradional agency QAO Yes No Pr oj ec t d el iv er y m et ho d Pr oj ec t co m pl ex ity Does this determine the QAO QAO selected QAO selected Yes Do any of these dictate the QAO No QAO selectedYes No Any policies prevenng alternave QAO Is an excepon allowed No Yes Barrier idenficaon Selecon factor preparaon QAO selecon Q A sh i a w ay fro m a ge nc y Pr oj ec t s ize Sc he du le ri sk Ag en cy cu ltu re In du st ry a bi lit y Ag en cy âs tr us t i n in du st ry Ag en cy st aff ex pe rie nc e Set project goals and define project selecon factors No Yes Ag en cy st aff av ai la bi lit y Figure 18. Project QAO selection process flowchart. The information in the selection factor profile will be used in Step 3 to identify the appropriateness ratings for each selection factor that applies to the project. For some selection factors, such as project size or project delivery method, it is easy to identify which category applies to the project; however, identifying the correct category for selection factors such as the amount of quality responsibility the agency wants to shift to other project participants requires the project goals to be established and understood so that the correct selection factor category is determined. The project goals also provide the user with further understanding of the motivation of the project as a whole, including why the project is diverging from the standard default project QAO for the agency. This ensures that the agency is making a fully educated decision. Once the
25 goals are established, the user can complete the project QAO selection factor profile form. 4.3.3 Step 3: Using the QAO Analysis Form to Select an Appropriate QAO The final step of the QAO selection process is a compre- hensive understanding of the appropriateness ratings for each QAO. In this step, the user transcribes the appropriateness ratings for the category of each selection recorded in the project QAO selection factor profile form (see Figure C5 in Appendix C) onto the project QAO analysis form (see Figure C6 in Appendix C). The four appropriateness ratings are fatal flaw (denoted with Ã), least appropriate (â), appropriate (+), and most appro- priate (++). The fatal flaw rating (Ã) indicates that a particu- lar selection factor category has potential to irrevocably harm the success of the project, effectively eliminating that QAO from further consideration. A least appropriate rating (-) indicates that for the particular selection factor category the QAO can work, but it is not the best option, and, if this QAO is imple- mented, there may be extra measures needed to accommodate this issue. An appropriate rating (+) indicates that the QAO can work for that particular selection factor category. In essence, it neither harms nor improves the potential success of the project. Finally, the most appropriate rating (++) indicates that a project can be improved by the implementation of the associated QAO. As an example, the factor appropriateness ratings for the project delivery method selection factor are provided in Table 4. Looking at the appropriateness ratings for the project delivery method selection factor categories in combination with various QAOs shown in Table 4, it is apparent that as the amount of project responsibility shifts away from the agency (i.e., from DBB to PPP) the amount of project quality respon- sibility shifts away from the agency (i.e., from Deterministic to Acceptance), allowing both the project responsibilities and the quality responsibilities to remain in sync. Note that there is fatal flaw rating for the implementation of the Deterministic QAO on PPP projects. The Deterministic QAO requires the agency to retain all control of quality assurance. However, PPP projects shift almost all quality control away from the agency to the concessionaire. Acceptance is rated least applicable for both DBB and DB because the agency retains some respon- sibility for the day-to-day management of the project, which does not equate to the limited amount of quality responsibility the agency retains with the acceptance QAO. The factor appropriateness ratings for each selection factor/ QAO combination are transcribed onto the project QAO analy- sis form. This form is organized into two sections: primary selection factors and secondary selection factors. The primary factors are selection factors that resulted in at least one fatal flaw rating during the research and testing for NCHRP Proj- ect 10-83. The secondary selection factors did not result in a fatal flaw. Primary factors have a more decisive role in the project QAO selection. In many cases, a tally of the primary selection factor results will narrow down the choice of QAO to one or two options. If this is not the case, a tally of the sec- ondary selection factor results can be used to get more informa- tion. This section has presented the three steps of the project QAO selection tool: barrier identification, selection factor prep- aration, and QAO selection. Appendix C presents the selec- tion tool with forms and instructions. It also provides an abstracted demonstration project from this research study as an illustrative example. 4.4 Chapter 4 References Touran, A., D. D. Gransberg, K. R. Molenaar, and K. Ghavamifar. âSelection of Project Delivery Method in Transit: Drivers and Objectives,â Journal of Management in Engineering, ASCE, Vol. 27, No. 1, 2011, pp. 21â27. Table 4. Project delivery method selection factor appropriateness ratings. Selection factor category Deterministic Assurance Variable Oversight Acceptance Project delivery method DBB ++ + + +* â DB â â + ++ â CMGC â + + ++ + PPP x â â + ++ *Needs to be considered in conjunction with other factors