Alternative Quality Management Systems for Highway Construction (2015)

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ACKNOWLEDGMENT This work was sponsored by the American Association of State Highway and Transportation Officials (AASHTO), in cooperation with the Federal Highway Administration, and was conducted in the National Cooperative Highway Research Program (NCHRP), which is administered by the Transportation Research Board (TRB) of the National Academies. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FRA, FTA, Transit Development Corporation, or AOC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. DISCLAIMER The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research. They are not necessarily those of the Transportation Research Board, the National Research Council, or the program sponsors. The information contained in this document was taken directly from the submission of the author(s). This material has not been edited by TRB.

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TABLE OF CONTENTS TABLE OF CONTENTS ................................................................................................................. i LIST OF FIGURES ....................................................................................................................... iii LIST OF TABLES ......................................................................................................................... iv AUTHOR ACKNOWLEDGMENTS ..............................................................................................v EXECUTIVE SUMMARY .............................................................................................................1 CHAPTER 1 : INTRODUCTION ...................................................................................................2 1.1 Introduction ....................................................................................................................2 1.2 Problem Statement .........................................................................................................3 1.3 Research Objectives and Tasks ......................................................................................3 1.4 Research Framework .....................................................................................................4 1.5 Task Descriptions...........................................................................................................6 1.6 Report Format ..............................................................................................................10 CHAPTER 2 : STATE OF THE PRACTICE................................................................................12 2.1 Introduction and Overview ..........................................................................................12 2.2 Relevant Definitions ....................................................................................................14 2.3 History of Alternative Quality Management Program Development ..........................17 2.4 Methodologies..............................................................................................................18 2.5 Design Quality Management Tools .............................................................................34 2.6 Construction Quality Management Tools ....................................................................43 2.7 Independent Assurance ................................................................................................46 2.8 Validation, Verification and Acceptance Activities ....................................................49 2.9 Benchmarking Survey ..................................................................................................51 2.9 Summary ......................................................................................................................69 CHAPTER 3 : QUALITY ASSURANCE ORGANIZATIONS ...................................................70 3.1 Introduction ..................................................................................................................70 3.2 Methodology ................................................................................................................70 3.3 Quality Assurance Organization (QAO) presentation .................................................71 3.4 Fundamental Highway QAOs ......................................................................................72 3.5 Summary ......................................................................................................................84 CHAPTER 4 : CASE STUDIES OF ALTERNATIVE QUALITY MANAGEMENT ................87 4.1 Introduction ..................................................................................................................87 4.2 Case Study Protocol .....................................................................................................87 4.3 Case Study Process ......................................................................................................88 4.4 Case Study Selection and Demographics ....................................................................89 4.5 Case Study Summaries ................................................................................................91 4.6 Case Study Synthesis .................................................................................................122 4.7 Summary ....................................................................................................................126 CHAPTER 5: QAO SELECTION AND TOOLS .......................................................................127 i

5.1 Introduction ................................................................................................................127 5.2 QAO Selection Process Development .......................................................................127 5.2 Tools for Alternative QMS ........................................................................................132 5.3 Selection of Tools ......................................................................................................133 5.4 Summary Guidance for Assembling a QMS .............................................................136 CHAPTER 6: CONCLUSIONS, LIMITATIONS AND FUTURE RESEARCH ......................137 6.1 Conclusions ................................................................................................................137 6.2 Challenges to Implementation ...................................................................................138 6.3 Limitations of the Research .......................................................................................138 6.4 Future Research .........................................................................................................139 REFERENCES ............................................................................................................................140 APPENDIX A: GLOSSARY .......................................................................................................149 APPENDIX B: ONLINE SURVEY ............................................................................................158 APPENDIX C: CASE STUDY PROTOCOL .............................................................................167 C.1 Overview of Case Study ......................................................................................167 C.2 Field Procedures...................................................................................................171 C.3 Requested Documents ..........................................................................................176 C.4 Data Analysis .......................................................................................................185 C.5 Case Study Contact Flowchart .............................................................................186 C.6 Sample Letters .....................................................................................................187 C.7 Questionnaire .......................................................................................................191 C.8 Case Study Selection Matrix ................................................................................201 APPENDIX D: GEORGE SELLAR BRIDGE PROJECT, WASHINGTON STATE ...............202 APPENDIX E: WILLAMETTE RIVER BRIDGE, OREGON ..................................................213 APPENDIX F: PORTLAND TRANSIT MALL REVITALIZATION, OREGON ....................228 APPENDIX G: TUTTLE CREEK DAM SAFETY ASSURANCE PROJECT, KANSAS .......237 APPENDIX H: MOUNTAIN VIEW CORRIDOR, UTAH ........................................................250 APPENDIX I: US 160 4TH LANE ADDITION, COLORADO ................................................261 APPENDIX J: I-15 WIDENING, BECK STREET PROJECT, UTAH ......................................271 APPENDIX K: HASTINGS RIVER BRIDGE ...........................................................................283 APPENDIX L: I-595 EXPRESS CORRIDOR, FLORIDA ........................................................295 APPENDIX M: SH130 TURNPIKE EXTENSION, TEXAS .....................................................304 ii

LIST OF FIGURES Figure 1-1 –Project “Roadmap”.......................................................................................................5 Figure 1-2 – Quality Assurance Organization (QAO) Framework .................................................6 Figure 1-3 – Work Flow Tasks 1 to 3 ..............................................................................................7 Figure 1-4 – Work Flow Tasks 3 to 6 ..............................................................................................8 Figure 1-5 – Work Flow Tasks 7 to 9 ............................................................................................10 Figure 2-1 – Project Life Cycle (adopted from Anderson and Blaschke 2004) ............................18 Figure 2-2 – Quality Assurance Concept as Described by the FHWA (adopted from Yakowenko 2010) ..................................................................................................................................21 Figure 2-3 – FHWA Concept of the Relationship between Design QA and Construction QA (Yakowenko 2010).............................................................................................................22 Figure 2-4 – Integrated Quality Management Model (IQ2M) [adapted from Synthesis 376 (Gransberg et al 2008)] ......................................................................................................24 Figure 2-5 – IQ2M Model Adapted to Conform to the FHWA EDC QA Approach (after Yakowenko 2010) ..............................................................................................................25 Figure 2-6 – USACE QA Model for Alternative Project Delivery (USACE 2006) ......................27 Figure 2-7 – USACE Relative Project Delivery Timelines (USACE 2009) .................................30 Figure 2-8 – Expanded IQ2M Model to Further Define Independent Assurance Activities .........47 Figure 2-9 – Survey Responses......................................................................................................53 Figure 2-10 – Agency Quality Management Approaches by Project Delivery Method ................55 Figure 2-11 – Contractor QA Test Usage ......................................................................................64 Figure 2-12 – Rated Impact on Final Quality of Various Factors .................................................66 Figure 2-13 – Challenges to Implementing Effective QM Using Alternative Project Delivery ...68 Figure 3-1 – Generic Quality Assurance Organization (QAO) Model ..........................................71 Figure 3-2 – Fundamental highway industry QAOs based on approach to control and quality ....72 Figure 3-3 – Deterministic QAO ...................................................................................................74 Figure 3-4 – Assurance QAO ........................................................................................................75 Figure 3-5 – Assurance QAO, single contract ...............................................................................76 Figure 3-6 – Assurance QAO, shared assurance variation ............................................................77 Figure 3-7 – Variable QAO, construction assurance single contract.............................................78 Figure 3-8 – Variable QAO, design assurance variation single contract .......................................79 Figure 3-9 – Variable QAO, agency has complete design quality responsibility ..........................80 Figure 3-10 – Oversight QAO .......................................................................................................81 Figure 3-11 – Oversight QAO, single Contract Variation .............................................................82 Figure 3-12 – Acceptance QAO ....................................................................................................83 Figure 4-1 – Geographic Dispersion of Case Studies ....................................................................91 Figure 4-2 – George Sellar Bridge QAO .......................................................................................93 Figure 4-3 – Willamette River Bridge QAO..................................................................................96 Figure 4-4 – Portland Transit Mall QAO .......................................................................................99 Figure 4-5 – Tuttle Creek Dam Safety Assurance Project QAO Model ......................................102 Figure 4-6 – Mountain View Corridor QAO ...............................................................................105 Figure 4-7 – U.S. 160 4th Lane Addition QAO ...........................................................................108 Figure 4-8 – I-15 Widening QAO Model ....................................................................................111 Figure 4-9 – Hastings Bridge QAO Model ..................................................................................114 Figure 4-10 – I-595 Express Corridor Improvements Project QAO............................................117 Figure 4-11 – SH 130 Turnpike QAO .........................................................................................120 iii