National Academies Press: OpenBook

Quality Assurance in Design-Build Projects (2008)

Chapter: Appendix A - Annotated Bibliography

« Previous: Glossary
Page 79
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 79
Page 80
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 80
Page 81
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 81
Page 82
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 82
Page 83
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 83
Page 84
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 84
Page 85
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 85
Page 86
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 86
Page 87
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 87
Page 88
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 88
Page 89
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 89
Page 90
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 90
Page 91
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 91
Page 92
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 92
Page 93
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 93
Page 94
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 94
Page 95
Suggested Citation:"Appendix A - Annotated Bibliography ." National Academies of Sciences, Engineering, and Medicine. 2008. Quality Assurance in Design-Build Projects. Washington, DC: The National Academies Press. doi: 10.17226/23222.
×
Page 95

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

80 AbdelRazig, Y. and L. Chang, “Construction Contract Quality Warranties: Hybrid Quality Assessment Model,” In Transportation Research Record: Journal of the Transportation Research Board, No. 1861, Transportation Research Board of the National Acade- mies, Washington, D.C., 2003, pp. 60–70. The term “quality” is defined as the conformance to predetermined requirements or specifications. An overview of contract quality war- ranties for steel bridge coatings is presented as a practical example, and a hybrid assessment model that can be used to quantitatively measure quality attributes is proposed. The hybrid model combines image processing and neural networks for defect (specifically, rust) recognition and measurement and uses statistical analysis for quality acceptance or rejection on the basis of the contract warranty clauses. The hybrid model incorporates human experience through the train- ing stage to benefit from experts’ knowledge and to correct for other external factors. Adams, T.M. and J.A. Smith, “A Synthesis of Measures for Highway Maintenance Quality Assurance,” 85th Annual Meeting of the Transportation Research Board (CD-ROM), Washington, D.C., Jan. 22–26, 2006, 20 pp. Many transportation agencies are dealing with constrained budgets and reduced funding for maintenance by establishing formal programs to evaluate maintenance priorities. One approach is to relate highway maintenance to highway performance through maintenance quality as- surance (MQA). MQA programs help decision makers understand maintenance conditions, set priorities, and document the relationship between dollars spent and outcomes. There are guidelines to assist agencies in the creation of MQA programs, but few resources to guide the selection of the quantitative measures. This paper presents a syn- thesis of MQA measures used by 26 state transportation agencies. Akao, Y. and G.H. Mazur, “The Leading Edge in QFD: Past, Present and Future,” The International Journal of Quality & Relia- bility Management, Vol. 20, No. 1, 2003, pp. 20–35. Quality function deployment has been practiced by leading companies around the world since 1966. Its twofold purpose is to assure that true customer needs are properly deployed throughout the design, build, and delivery of a new product, whether it be assembled, processed, serviced, or even software, and to improve the product development process itself. This paper describes the evolution of the method, its current best practice, and proposals for future direction, not only to log its history and key players correctly, but also to convey the richness and depth of the applications throughout multiple industries. Allen, L.N., D.D. Gransberg, and K.R. Molenaar, “Partnering Successful Design-Build Contracts in the Naval Facilities Engi- neering Command Southwest Division,” The Military Engineer, SAME, Vol. 94, No. 616, Mar. 2002, pp. 47–48. Results of a study of NAVFAC design-build (DB) projects that found that DB projects outperformed similar design-build-bid (DBB) by lower cost and time growth and equal quality. Anderson, S. and M.I. Schneider, Design-Build Project Deliv- ery, American Council of Engineering Companies, Washington, D.C., 2000, pp. 1–10. American Council of Engineering Companies report on DB quality assurance (QA) and quality control (QC) specifically advocates that an owner with a third-party design consultant should be involved in design QA and when a design consultant is the engineer-of-record on a DB team that the consultant should take responsibility for con- struction QA. “Approach to Quality Management,” Minnesota DOT Design- Build Program White Paper No. 1, St. Paul, Sep. 23, 2005, 2 pp. This is a brief discussion of the Minnesota DOT (MnDOT) quality management approach. Arditi, D. and D. Lee, “Service Quality Performance of Design/ Build Contractors Using Quality Function Deployment,” Construc- tion Management and Economics, Vol. 22, No. 2, Feb. 2004, pp. 123–157. This note describes a model that measures the quality of the project service of a DB firm using quality function deployment. This model is an add-on to a model developed previously by the authors to mea- sure the corporate service quality performance of DB firms. The project service quality performance model makes use of 10 service quality factors and their relative weights (transferred from the cor- porate service quality performance model), three components of quality management systems in place in DB projects (ranked by se- nior managers in DB firms), and the relationships between service quality factors and quality system requirements (established by a professional quality system assessor). It uses quality function de- ployment to calculate a quality performance index. Arizona Department of Transportation Intermodal Transporta- tion Division, Design-Build Procurement and Administration Guide, 2nd ed., ADOT Construction Group, Phoenix, Dec. 2001 [Online]. Available: http://www.azdot.gov/Highways/ConstGrp/ DesignBuildGuide.asp [accessed Jan. 24, 2007]. Arizona DOT’s guide to DB. Aschenbrener, T., R. DeDios, and S. Shuler, “Effect of Perfor- mance Warranties on Cost and Quality of Asphalt Pavements,” 86th Annual Meeting of the Transportation Research Board (CD-ROM), Washington, D.C., Jan. 21–25, 2007, 14 pp. This study documents the cost–benefit relationship for these projects during the warranty period and beyond and compares the perfor- mance of these projects with comparable nonwarranty pavements. Cost comparisons include the initial hot-mix asphalt, maintenance, pavement evaluation team, weigh-in-motion station, and construc- tion engineering. An analysis was also conducted on the competi- tion, performance, and use of experimental features. Ashley, D.B., J.E. Diekmann, and K.R. Molenaar, Guide to Risk Assessment and Allocation for Highway Construction Manage- ment, Report FHWA-PL-06-032, Federal Highway Administration, Washington, D.C., Oct. 2006, 72 pp. In 2004, a team of representatives from the FHWA, state highway agencies (SHAs), industry, and academia visited Canada, Finland, Germany, the Netherlands, Scotland, and the United Kingdom. The purpose of this International Technology Scanning Program study was to identify practices that might be evaluated and applied in the United States to improve construction management. Asphaltic Pavement Warranties: Three-Year Progress Report, Wisconsin Department of Transportation, Madison, 1998. APPENDIX A Annotated Bibliography

81 Report for the Wisconsin DOT on the performance of roads with as- phalt pavement warranties. Atkison, W., “Build Quality in, Don’t Add It on,” Design/Build Business, Vol. 70, No. 8, Oct. 2005, p. 44. In DB quality, those who actually practice what they preach insist that quality is not an add-on; it is part of the culture. Barner, C., “For Missouri Highway Job, Designs Cross State Lines,” Engineering News-Record, Vol. 257, No. 22, Dec. 4, 2006, p. 16. Design innovation, regardless of Missouri state codes, is the key to a $535 million reconstruction of a 10.5-mile-long segment of Inter- state 64 in St. Louis. It is the state’s first DB effort. Standards from other state agencies were allowed to be proposed if they had previ- ously received the approval of AASHTO or FHWA. Battikah, M.G., “Quality Management Practice in Highway Construction,” The International Journal of Quality & Reliability Management, Vol. 20, No. 4/5, 2003, pp. 532–550. This paper describes the quality management function as practiced in highway construction. This function is displayed as an interrelated system, which identifies the main quality activities. A model for mul- tilevel quality management involvement is defined, encompassing contractors, engineers, and managers. The model describes the qual- ity management tasks and the roles assumed in a scheme relating construction QC, QA, and the interface between them. Beard, J.L., M.C. Loulakis, and E.C. Wundram, Design Build Planning Through Development, McGraw–Hill, New York, N.Y., 2001. An overview and guide to the DB process. The seminal work on DB theory. Benson, P.E., “Performance Review of a Quality Control/Quality Assurance Specification for Asphalt Concrete,” In Transportation Research Record 1654, Transportation Research Board, National Research Council, Washington, D.C., 2002, pp. 88–94. A statistical review of 50 jobs recently completed by using California’s QC/QA specification for asphalt concrete is presented. Performance is contrasted to the quality achieved under method and end-result specifications. A cost analysis is made and issues related to verifi- cation are discussed. Improvements to the current specification are proposed. However, a significant lack of agreement between the contractor QC and agency QA testing brings this finding into question. Benson, P.E., “Process for Selecting Innovative Quality Assur- ance Practices for Materials,” In Transportation Research Record: Journal of the Transportation Research Board, No. 1900, Trans- portation Research Board of the National Academies, Washington, D.C., 2004, pp. 67–78. A process used in California to evaluate and implement innovative QA practices for materials is described. The process involves three distinct phases: an audit of current practice, a structured evaluation of innovative practices, and the planned development of a materials management system. Analyses of these data reveal that testing and inspection costs are higher, dollar for dollar, for materials whose consequence of failure is low. This suggests that innovative practices such as QC/QA, pre- or post-qualification of bidders, and warranties should be considered seriously for these materials. Biggar, J.L., “Total Quality Management in Construction,” Transactions of the American Association of Cost Engineers 1990, American Association of Cost Engineers, Morgantown, W.Va., pp. Q.1.1–Q.1.4. Total quality management is the key to the implementation of an ef- fective management system. In studying U.S. industries, Dumas found a correlation between the maturity of a firm’s approach to quality management and the definition of quality used. The final level of maturity is reaching the “it develops” stage. At this stage, the firm strives to develop its customers through education and exposure to ways of better utilizing its products and receiving greater value. The Chemicals Division of Eastman Kodak Co. has begun to be rec- ognized as a leader in the implementation of an effective total qual- ity management program. Blanding, J., “Quality Incentives: A Federal Perspective,” Transportation Research Circular E-C090: Design-Build: A Qual- ity Process, Transportation Research Board of the National Acade- mies, Washington, D.C., 2006, 9 pp. Special Experimental Project No. 14 (SEP-14), Innovative Contract- ing, was initiated in 1990. The objective was to evaluate project-spe- cific contracting practices that maintain product quality and reduce life-cycle cost. Special Experimental Project No. 15 (SEP-15), Pub- lic Private Partnerships, was introduced as a new FHWA program to encourage tests and experimentation in the entire development process for transportation projects. Born, M. and C. Burner, “Experience, Economics, and Evolu- tion: From Starter Lines to Growing Systems,” In Transportation Research Circular E-C058, 9th National Light Rail Transit Confer- ence, Portland, Ore., Nov. 16–18, 2003, pp. 576–581. The building of the Gold Line using the DB model has been an en- riching experience to all the members of the Project Management Consultant and the design-builders. There have been many lessons learned during the course of bringing light rail transit to the commu- nities affected by the Gold Line. This paper has outlined the most suc- cessful and the most challenging of these lessons learned in an effort for others to learn from and apply these lessons to the next project. Bourne, J., S. DeWitt, and P. Drennon, “Ensuring Quality Is Built into the Request for Proposal Process,” In Transportation Re- search Circular E-C090: Design-Build: A Quality Process, Trans- portation Research Board of the National Academies, Washington, D.C., 2006. There are cultural challenges that must be overcome within trans- portation agencies, the contracting industry, and private engineering firms to make DB successful. These challenges include fear of change, maintenance of control of a different way, and avoidance of personnel preferences. The tenets of teamwork, trust, and ownership are critical for the success of DB projects. The owner is critical in making sure all of this happens. Communication, commitments, in- formation sharing, a sense of urgency, and short turnaround times are all important. Buckley, B., “Building Confidence,” Texas Construction, Vol. 14, No. 9, Sep. 2006, p. 25. DB is driving the progress of SH 130, a major component of the Cen- tral Texas Turnpike System. The first 29 miles will soon open—early and under budget. A paving crew lays a 13-in. layer of steel-reinforced concrete on a main lane of segment two, part of SH 130 that is sched- uled to open nearly a year ahead of schedule. Design treatments for elements such as abutments and retaining walls have a decidedly Texas feel. Burati, J.L., R.M. Weed, C.S. Hughes, and H.S. Hill, Optimal Procedures for Quality Assurance Specifications, Report FHWA- RD-02-095, Federal Highway Administration, Washington, D.C., 2003, 47 pp. This manual is a comprehensive guide that a highway agency can use when developing new, or modifying existing, acceptance plans and QA specifications. It provides necessary instruction and illustrative

examples to lead the agency through the entire process of acceptance plan development. Burati, J.L., R.M. Weed, C.S. Hughes, and H.S. Hill, Evaluation of Procedures for Quality Assurance Specifications, Report FHWA-HRT-05-046, Federal Highway Administration, Washing- ton, D.C., 2004, 418 pp. This technical report summarizes the steps taken to develop a com- prehensive QA manual, supported by scientific evidence and statis- tical theory, along with the analyses that were conducted to support the recommendations made in the QA manual (FHWA-RD-02-095). Byrd, L.G. and A.A. Grant, Prerequisites for a Successful Design/ Build/Warranty Highway Construction Contract, Federal Highway Administration, Washington, D.C., Mar. 1993 [Online]. Available: http://www.fhwa.dot.gov/programadmin/contracts/byrd.cfm [ac- cessed Feb. 4, 2007]. Keys to receiving a successful design-build-warranty highway project. Calderon, E., R. West, T. Jurkofsky, H. Crockett, and D.S. Alexander II, Contracting Out Bench Marking Study Phase 1—Part 2—External Data Collection, Federal Lands Highway, Federal Highway Administration, Washington, D.C., Sep. 25, 2000, 108 pp. The Contracting Out–Bench Marking Study Group has worked very hard in a short amount of time to provide accurate and timely data to support the Executive Quality Council’s effort to collect data and report on the (1) status of FLH (Federal Lands Highway) current activities, (2) information on state and consultant activities, and (3) best practices identified during our effort. Capka, J.R., “Memo of Major Project Guidance from FHWA Administrator to the Division Administrators,” Jan. 19, 2007 [On- line]. Available: http://www.fhwa.dot.gov/programadmin/mega/ 011907.cfm [accessed Feb. 21, 2007]. The FHWA issued Interim Major Project Guidance on January 27, 2006. This final guidance was developed in close consultation with several FHWA Division Offices and states to ensure it was informed by the knowledge and experience of those who are most familiar with these day-to-day responsibilities. This material is intended to be a tool to assist FHWA field offices in fulfilling current law. Carpenter, B., E. Fekpe, and D. Gopalakrishna, Performance- Based Contracting for the Highway Construction Industry: An Evaluation of the Use of Innovative Contracting and Performance Specification in Highway Construction Final Report, Battelle, Columbus, Ohio, Feb. 2003, 49 pp. The objectives of this project are to synthesize information on the shortcomings and limitations of traditional methods of highway con- struction and maintenance contracting, identify new and innovative alternatives to include performance-based outputs, and make recom- mendations that are mutually beneficial. The findings presented in this report are based on a review of literature and a survey of state DOT officials, representatives of the highway construction industry, and experts in highway construction management. Carter, R., O. Tomeh, G. Darido, D. Schneck, and F. Waesche, Quality Assurance and Quality Control Guidelines, Federal High- way Administration, Washington, D.C., 2002 [Online]. Available: http://www.fta.dot.gov/1311_ENG_HTML.htm [accessed Jan. 24, 2007]. This report was developed in 1992 and subsequently updated in 2002 under FTA sponsorship to assist transit agencies in developing qual- ity management systems and plans for their FTA-funded transit capital improvement projects. FTA regulations require each FTA- 82 funded major capital program to submit a Program Management Plan for FTA approval. These regulations also stipulate that a Qual- ity Plan must be referenced or included as part of the Program Man- agement Plan. Chen, C. and J.I. Messner, “An Investigation of Chinese BOT Projects in Water Supply: A Comparative Perspective,” Construc- tion Management and Economics, Vol. 23, Nov. 2005, pp. 913–925. Three representative build-operate-transfer (BOT) water projects in China were compared to provide both descriptive and predictive in- sights to both public and private parties involved in water BOT proj- ects in China. Four generic strategies used by private sponsors were identified through these case studies including cost leadership, trans- action size maximization, localization, and involvement of multilat- eral financial organization. Collier, P., M. Corbett, and B. Lundrigan, “Quality Performance in a Design-Build Mega-Project,” American Society for Quality 55th Annual Quality Congress, Charlotte, N.C., 2001, 10 pp. This paper outlines several significant lessons drawn from quality management of a major highway project from the initial proposal through three seasons of construction. It describes solutions and in- novations in integrated quality management and assessment, includ- ing a web-based quality management tool developed for the project. Measurement and reporting of quality performance are used to drive an effective, participative quality improvement process with tangi- ble benefits for both the Developer and the Owner. Committee on Management of Quality Assurance, Transporta- tion Research Circular E-C037: Glossary of Highway Quality As- surance Terms, Transportation Research Board, National Research Council, Washington, D.C., Apr. 2002, 27 pp. A glossary of terms associated with QA for highway projects. “Contractor to Honor Road Warranty,” Albuquerque Journal, Vol. A12, Sep. 1, 2004, p. 1. The private contractor that oversaw the widening of U.S. 550 pledged Thursday to live up to the terms of a $62 million warranty to fix problems on newly widened U.S. 550. Cornick, T.C. and N.J. Barre, “Quality Management and Design- Build: The Opportunities for This Method of Procurement,” The In- ternational Journal of Quality & Reliability Management, Vol. 8, No. 3, 1991, pp. 17–20. The single and continuous responsibility for design and production that the standard promotes should encourage building procurement routes that reflect the links between design and production. The es- sential mechanisms of implementing a quality management system to building—namely, design review, project audit, and feedback— can be directly applied within the DB method and, as a single com- pany is responsible for all processes, the professional–commercial separation no longer exists. The design and build method of pro- curement ensures effective and consistent communication of all as- pects of design and production. Cox, D.O., et al., Contract Administration: Technology and Practice in Europe, Report FHWA-PL-02-0xx, Federal Highway Administration, Washington, D.C., Oct. 2002, 106 pp. In June 2001, a team comprising federal, state, contracting, legal, and academic representatives traveled to Portugal, the Netherlands, France, and England to investigate and document alternative con- tract administration procedures for possible implementation in the United States. The scan team discovered that European highway agencies appear to be better at exploiting the efficiencies and resources that the private sector offers, through the use of innovative

83 financing, alternative contracting techniques, DB, concessions, per- formance contracting, and active asset management. Dahl, P., M. Horman, T. Pohlman, and M. Pulaski, “Evaluating Design-Build-Operate-Maintain Delivery as a Tool for Sustainabil- ity,” Proceedings of the Construction Research Congress 2005: Broadening Perspectives, San Diego, Calif., Apr. 5–7, 2005. Building and other capital projects usually have a clear distinction between project development phases (i.e., design and construction), and the operations and maintenance phases of a facility. Over the life of the facility, operations and maintenance expenses often far exceed the initial cost of a facility. Importantly, the decisions made early in a project have a strong affect on the life cycle costs of a building. Op- eration and maintenance knowledge needs to be incorporated early in design to make these critical decisions. DB has been shown to in- troduce often crucial and reliable construction input during design to improve the performance of a project. Likewise, the design-build- operate-maintain (DBOM) project delivery system brings critical operations and maintenance knowledge into design. This paper de- fines the DBOM delivery system, explores the benefits of DBOM, investigates the ability of DBOM to achieve important sustainable initiatives, and concludes that this is a promising development for the advancement of sustainable projects. DeCorso, E., How Owners Communicate Quality in Public Sec- tor Design-Build Requests for Proposals, Honors thesis, University of Oklahoma, Norman, 2004. An analysis of how design quality is communicated in requests for proposals (RFPs) for the public sector. Defazio, P.A., “Rep. Peter A. Defazio Holds a Hearing on Public- Private Partnerships,” House Transportation and Infrastructure Committee, Subcommittee on Highways and Transit, FDCH Polit- ical Transcripts, Washington, D.C., Feb. 13, 2007. There is an annual deficit in this country in terms of meeting our transportation infrastructure needs, both for maintenance of the ex- isting system and enhancements to that system to mitigate conges- tion and better move our citizens and our freight and bolster the economy. We are confronted with these sorts of twin problems—that is, the need for more investment and the overdependence on the gas tax, which has not been increased since 1991; [this] is leading to the point where we may not even have full funding for the last trans- portation bill, let alone a new transportation bill for the 21st century. Design-Build Effectiveness Study—As Required by TEA-21 Sec- tion 1307(f): Final Report, Federal Highway Administration, Wash- ington, D.C., Jan. 2006, 215 pp. [Online]. Available: http:// www.fhwa.dot.gov/reports/designbuild/designbuild0.htm [accessi- ble Aug. 30, 2006]. This study focuses on completed DB projects authorized under SEP- 14. This is the first comprehensive study of the SEP-14 program in- volving both program and project managers who have been directly responsible for federal-aid highway projects delivered under the DB contracting approach. Its findings and conclusions are based on the results of an extensive literature search, interviews with key stake- holders involved in the federal-aid highway program and SEP-14, and an integrated set of surveys of transportation agency personnel responsible for DB programs and projects developed under SEP-14. Design-Build Guidelines, Colorado Department of Transporta- tion, Denver, Aug. 1, 1997. The original Colorado DOT DB guidelines. Design-Build Guidelines, Florida Department of Transportation, Tallahassee, Feb. 8, 2006. Florida DOT DB guidelines. Design-Build Guidelines, Montana Department of Transporta- tion, Helena, Mar. 1, 2004. The Montana DOT guide to DB. Design-Build Guidelines and Procedures, Arkansas Department of Transportation, Little Rock, Apr. 2006. Arkansas DOT’s guide to DB. Design-Build Institute of America, “Non-Residential Construc- tion in the United States,” Unpublished presentation slides based on data from Lawson International Research and Engineering News- Record, 2005. Presentation on nonresidential construction in the United States con- tains data on DB growth over time. “Design/Build in the Public Sector,” Position Statement #1726, National Society of Professional Engineers Board of Directors, Alexandria, Va., 1995 [Online]. Available: http://www.nspe.org/ govrel/gr2-ps1726.asp [accessed Nov. 17, 2006]. In the public sector, DB is used as a specialized project delivery system in certain limited situations. Public agencies have used an array of DB arrangements for project construction. Government officials, design professionals, and construction contractors involved in these efforts report mixed opinions on the organization and success of this system. Design-Build Manual, Colorado Department of Transportation, Denver, April 16, 2006, 46 pp. The most recent Colorado DOT DB guidelines. Design-Build Manual and Instructions for Completing the Scope of Services Form, Ohio Department of Transportation, Columbus, Oct. 20, 2006. The Ohio DOT guide to DB. Design-Build Manual of Practice, Design-Build Institute of America, Washington, D.C., 1996. An introduction and overview of the DB process. Design-Build Policy & Procedures, North Carolina Department of Transportation, Raleigh, Jan. 6, 2000. North Carolina DOT DB guidelines. Design-Build Policy Guide Draft B, Kansas Department of Transportation, Topeka, n.d. The Kansas DOT guide to DB. Design-Build Procedures Manual, Vol. 1, New York State Department of Transportation, Albany, Sep. 2005, 141 pp. New York State DOT DB guidelines. Design Build Procurement Guide, Massachusetts Highway Department, Boston, Jan. 19, 2006. Massachusetts Highway Department DB guidelines. DeWitt, S., et al., Construction Management Practices in Canada and Europe, Report FHWA-PL-05-010, Federal Highway Administration, Washington, D.C., 2005, 57 pp.

Construction management is an essential element of transportation project success, and evolving industry roles are creating changes in conventional U.S. construction management practices. FHWA, AASHTO, and NCHRP sponsored a scanning study of construction management practices used in Canada and Europe for effective proj- ect delivery, contract compliance, and QA. Drennon, P.W., “Utah’s I-15, a Transportation Case Study: Role of the Owner’s Design Professional in Design/Build and in the Pro- visions for Quality,” American Society for Quality 52nd Annual Quality Congress Proceedings, Milwaukee, Wis., 1998, p. 166. Once an owner has made the decision to use DB as an alternate de- livery method (assisted possibly by a design professional) and has decided that additional professional expertise is required to prepare DB contract documents and procedures for proposals (or bidding), evaluation and/or award, the role of the owner’s design professional begins. The design professional may be identified in a number of ways, including criteria professional, owner’s consultant, or pro- gram manager. The responsibility of the design professional may vary with the capability and/or capacity of each owner from support of the owner’s staff to a full program manager responsible for all the work or to somewhere in-between. Dunn, K.D., R.G. Hicks, and J. Gower, “Performance Factors and Quality Control/Quality Assurance for Porous Pavements,” Trans- portation Research Record 1575, Transportation Research Record, National Research Council, Washington, D.C., 2002, pp. 10–17. As a part of a larger research effort, a survey was administered to various national and international agencies inquiring about their knowledge of and experience with porous pavements. Administra- tion of this survey was sponsored by ODOT [Oregon Department of Transportation]; the purpose of the larger research effort was to de- velop an improved specification for porous pavements that would contain pay incentives and disincentives. Findings from this survey are reported. Because this study was conducted to determine appro- priate pay factors for open-graded mixtures, the survey was designed to learn about how other agencies were dealing with specifications and adjustment factors for porous pavements. Eby, M., “The Inevitability of Design/Build,” Electrical Con- struction and Maintenance Magazine, 2005 [Online]. Available: http://ecmweb.com/ar/viewpoint_0605/ [accessed Feb. 2, 2007]. It appears that old habits die hard when it comes to choosing a proj- ect delivery method, because some private owners and public-sector representatives are still hanging on to the traditional design/bid/build method for completion of their projects. However, recent data sug- gest that the tide is changing and that DB is destined to become the preferred choice of project delivery in the North American construc- tion industry, as it already is in Europe and Japan. I, for one, believe this change is long overdue. Ellicott, M.A., “Best-Value Contracting,” Proceedings, Area Engineer’s Conference, TransAtlantic Division, U.S. Army Corps of Engineers, Winchester, Va., 1994. A presentation on best-value contracting. Elliot, R.P. and Y. Qiu, “Analysis of Contractor Pay Adjustment Schedule Using Simulation,” Transportation Research Record 1544, Transportation Research Board, National Research Council, Washington, D.C., 2002, pp. 109–115. A common provision in QC/QA construction contracts is the adjust- ment of the contractor’s pay on the basis of the quality of the con- struction. The expected impact of the provision on the pay should be examined to ensure that the adjustments are neither unduly severe nor excessively lenient. The analyses demonstrate that the pay ad- justments are at least as sensitive to construction variability as they are to construction averages. It is also shown that the simulation 84 process can provide a better, more detailed examination of the pay schedule than is possible by simply determining the expected pay. In particular, the simulation process can provide an indication of the variability of pay at various quality levels and can identify the fac- tors most responsible for pay adjustments. Ellis, R.D., Z. Herbsman, and A. Kumar, Evaluation of the FDOT Design/Build Program, Final Report, Submitted to Florida Department of Transportation, State Project No. 99700-7543-010, Department of Civil Engineering, University of Florida, Gainesville, 1991. An overview and analysis of the Florida DOT DB program. Ernzen, J. and K. Vogelsang, “Evaluating Design-Build Pro- curement Documents for Highway Projects: How Good Are They?” Transportation Research Record 1761, Transportation Research Board, National Research Council, Washington, D.C., 2001, pp. 148–158. Recent innovations by the Arizona DOT in the use of DB procure- ment for highway construction are presented. The primary method of data gathering was by written survey of all the proposing teams fol- lowed by unstructured interviews with responding principals. Analy- sis of the data gathered clearly showed the areas in which the pro- curement documents were unclear and in which the department needed to make corrections for future projects. Ernzen, J. and T. Feeney, “Contractor-Led Quality Control and Quality Assurance Plus Design-Build: Who Is Watching the Qual- ity?” In Transportation Research Record: Journal of the Transporta- tion Research Board, No. 1813, Transportation Research Board of the National Academies, Washington, D.C., 2002, pp. 253–259. In 1996, the department spearheaded the passage of a pilot DB law aimed at completing public-sector construction projects more rapidly than could be done by traditional methods. An evaluation of the material quality program used in the second DB project in this program is described. The agency assigned the Design-Builder re- sponsibility for the QC and QA functions on the project, with Ari- zona DOT providing verification sampling and testing only. The concrete compressive strength and material density for the project are examined and are compared with statewide averages for tradi- tional DBB projects in which Arizona DOT performed the QA func- tion. Analysis of the data shows that despite a highly compressed schedule, the quality of the material on the project exceeded the proj- ect specifications and was similar to the quality of work completed for the state under traditional contracting methods with an Arizona DOT-operated QA program. Ernzen, J., G. Murdough, and D. Drecksel, “Partnering on a De- sign-Build Project: Making the Three-Way Love Affair Work,” Transportation Research Record 1712, Transportation Research Board, National Research Council, Washington, D.C., 2000, pp. 202–212. TRB paper detailing the use of partnering on an Arizona DOT DB project. Federal Acquisition Regulation (FAR), “Two-Phase Design Build Selection,” Federal Register, Vol. 62, No. 1, 62 FR 271, 1997. Federal design-build selection procedures and regulations. Federal Highway Administration, U.S. Department of Trans- portation, Title 23 Code of Federal Regulations Part 637 Subpart B (23 CFR 637B): “Quality Assurance Procedures for Construction,” Federal Register, June 1995 [Online]. Available: http://a257.g. akamaitech.net/7/257/2422/14mar20010800/edocket.access.gpo. gov/cfr_2003/aprqtr/pdf/23cfr637.207.pdf.

85 QA procedures for construction: Proscribes policies, procedures, and guidelines to ensure the quality of materials and construction in all federal-aid highway projects on the National Highway System. Federal Highway Administration, “Design-Build Contracting: Final Rule,” Federal Register, Vol. 67, No. 237, Dec. 10, 2002, pp. 75902–75935. Final federal rule for DB contracting in the United States. Federal Transit Administration Best Practices Procurement Manual, U.S. Department of Transportation, Washington, D.C., 1999, 556 pp. This manual provides recipients of FTA funds suggestions on con- ducting third-party procurements to assist them in meeting the stan- dards of FTA Circular 4220.1D (the Circular). The Manual consists of suggested procedures, methods, and examples that FTA encour- ages. These are based on the federal acquisition process, comptroller general decisions, and best practices of grantees and others in the industry. Fernandes, C. and J.M. Viegas, “Private Financing of Road In- frastructure: The Portuguese Experience,” Transportation Research Record 1659, Transportation Research Board, National Research Council, Washington, D.C., 1999, pp. 23–31. Traditionally, road financing has come either through state invest- ment or mixed investment (e.g., tolled motorway). It was decided to bring private investment into the road construction market. The na- tional road agency tendered six contracts under a design-build- finance-operate (DBFO) model, for a total of 830 km of roadways. Under each contract, the private sector would build or upgrade a road and maintain it for 30 years. The Portuguese government has made preliminary and ongoing evaluations to support its choice of the DBFO model. The first impressions are that the initial judgments of the private sector’s interest in this business—as well as of the advan- tages for the public and for the population as a whole—are justified. Final Report: Six-State Survey of Construction Administration Practices and Procedures, Ohio Department of Transportation, Columbus, 2001. State DOT survey of construction administration practices and pro- cedures. Finley, R.C., “Design-Build Done Right,” Bridges, Sep.–Oct. 2005, p. 10. . . . I consider how this “master builder” approach is best applied, as well as how the project can break down and cause a project to go off track. Gharaibeh, N.G., J.W. Button, and P. Jalvi, Pavement Aspects in Design-Build Contracting for Highway Projects Synthesis of High- way Practice, Report TTI-2005-1, Texas Transportation Institute, Texas Department of Transportation, Austin, 2005, 96 pp. The primary objective of this report is to provide pertinent state-of- the-practice information to the Texas DOT to aid them in the devel- opment of RFPs for innovative DB delivery of large projects on major highways, particularly those that will comprise the Trans Texas Corridor. Gladke, J., “Incentives on Design-Build Projects: Two Different Approaches,” In Transportation Research Circular E-C090: Design-Build: A Quality Process, Transportation Research Board, National Research Council, Washington, D.C., 2006, p. 8. Two project approaches are offered to illustrate how incentives were used by the MnDOT to achieve project objectives. Gonderinger, C., “TH 14/218 Design-Build Project Technical Memorandum Quality Management Plan (QC/QA Requirements),” Minnesota Department of Transportation, St. Paul, 2001, pp. 1–17. Memo containing an overview of Minnesota DOT’s QA/QC pro- gram in DB transportation. Gordon & Rees, Inc., “The Basics of Design-Build,” Gordon & Rees Construction Newsletter, San Francisco, Calif., Apr. 2005, 8 pp. In the construction industry, DB continues to grow as the project de- livery system of choice. Currently in California there are many new laws, as well as significant pending legislation, on the issue of DB. Given the rising interest in this type of project delivery system, the purpose of this Construction Newsletter is to offer a primer on DB issues for those not fully familiar with the process. Graham, P., Evaluation of Design-Build Practice in Colorado, Project IR IM(CX)025-3(113): Report CDOT-DTD-R-01-3, Col- orado Department of Transportation Research Branch, Denver, 2001, pp. 25–26. This report summarizes construction activities of the DB project, “IR IM(CX) 025-3(113)” in Region IV. Under SEP-14, FHWA ap- proved the DB concept to be used for the reconstruction of I-25 north of Denver in Region IV. Included in the report is an overview of the significant events, results of the activities that took place during con- struction, discussion of construction modification orders, and QC/QA processes. The ultimate goal of this research was to identify and document the pros and cons of the DB practice and to examine its overall applicability to Colorado DOT. Gransberg, D.D., W.D. Dillon, H.L. Reynolds, and J. Boyd, “Quantitative Analysis of Partnered Project Performance,” Journal of Construction Engineering and Management, Vol. 125, No. 3, June 1999, pp. 161–166. Study of $2 billion of Texas DOT DBB projects that compares per- formance of partnered versus nonpartnered projects using 13 differ- ent metrics. Study concludes that partnering enhances project per- formance. Gransberg, D.D., J.E. Koch, and K.R. Molenaar, Preparing for Design-Build Projects: A Primer for Owners, Engineers, and Con- tractors, ASCE Press, Reston, Va., 2006, 266 pp. This book is an introduction to DB from developing the project scope and writing DB performance criteria to preparing RFQs and RFPs and evaluating the responses. Also included is instruction on preparing DB proposals. Gransberg, D.D. and K.R. Molenaar, “Analysis of Owner’s De- sign and Construction Quality Management Approaches in Design- Build Projects,” Journal of Management in Engineering, Vol. 20, No. 4, 2004. This paper explores and classifies current approaches to evaluating quality in DB proposals. It does so by a thorough content analysis of 78 RFPs for public DB projects with an aggregate contract value of more than $3 billion advertised between 1997 and 2002. In DB, with cost and schedule fixed, the scope and hence the level of quality is the main element of competition. This paper identifies the six owner approaches to articulating DB quality requirements in their RFPs. These are important for DB contractors to understand so that they can craft their proposal in a manner that is both responsive to the owners’ requirements and consistent with the owner’s system to make the best value contract award decision. Gransberg, D.D. and K.R. Molenaar, The Impact of Design- Build on the Public Workforce, Keston Institute for Public Finance

and Infrastructure Policy, University of Southern California, Los Angeles, 2007, pp. 20–26. This study employed a combination of literature review, surveys of state DOTs, and DB RFP content analysis to answer the following question: What is the impact on the state DOT professional work- force when the state authorizes it to deliver infrastructure projects utilizing DB project delivery? Guidebook for Design-Build Highway Project Development, Washington State Department of Transportation, Olympia, June 20, 2004, 85 pp. Washington State DOT DB guidebook. Hall, M. and C. Tomkins, “A Cost of Quality Analysis of a Building Project: Towards a Complete Methodology for Design and Build,” Construction Management and Economics, Vol. 19, 2001, pp. 727–740. A number of studies have been published that claim to carry out cost of quality (COQ) studies on construction projects. These studies, however, have largely ignored the contribution of prevention and ap- praisal costs to COQ, and have limited their analysis to the impact of quality failures on the main contractor. This paper presents a methodology for assessing the “complete” COQ for construction projects and reports on the findings of a building project in the United Kingdom on which the methodology was piloted. The com- pany that applied this approach has now extended it to other projects. Hancher, D.E., “Contracting Methods for Highway Construc- tion,” TR News, Nov.–Dec. 1999, pp. 10–14. An overview of different highway construction contracting methods. Heild, C., “Bump in the Road,” Albuquerque Journal, Aug. 29, 2004, p. A1. State, construction firm bickering over details of U.S. 550 roadwork warranty. Less than three years after completion, New Mexico’s $296 million highway to Farmington is showing unexpected and troubling signs of distress. Heild, C., “Transportation Department Won’t Release Papers,” Albuquerque Journal, Aug. 29, 2004, p. A8. The state DOT refused to release 24 documents in response to a state Inspection of Public Records Act request filed by the Albuquerque Journal. In a log explaining the reason for withholding the records, agency attorneys stated that the documents in question “concerned lit- igation” or were prepared in “anticipation of litigation” or “for trial.” Heild, C., “Contractor to Honor Road Warranty,” Albuquerque Journal, Sep. 17, 2004, p. B3. The private contractor that oversaw the widening of U.S. 550 pledged Thursday to live up to the terms of a $62 million warranty to fix problems on newly widened U.S. 550. Heild, C., “Audit Criticizes U.S. 550 Builder,” Albuquerque Journal, Oct. 5, 2004, p. A1. State report blames design and construction flaws for problems on $323 million road project. SANTA FE—Flaws in design or construction appear to have caused heaving and cracking problems on the newly widened U.S. 550. Highway Agencies, “Safe Roads, Reliable Journeys, Informed Travellers” [Online]. Available: http://www.highways.gov.uk/ business/2665.aspx [accessed March 6, 2007]. 86 Website on DBFO for the United Kingdom Highway Agencies. Holt, R. and D. Rowe, “Total Quality, Public Management and Critical Leadership in Civil Construction Projects,” The Interna- tional Journal of Quality & Reliability Management, Vol. 17, No. 4/5, 2000, p. 541. Project management in the construction industry tends toward being a strictly reactive science. Time costs and overruns, which may af- fect quality, are common. This approach conformed to the interpre- tative methodology that was adopted; one that was searching for meaning from a specific situated perspective rather than searching for facts through experimentation. Hughes, C.S., NCHRP Synthesis of Highway Practice 346: State Construction Quality Assurance Programs, Transportation Re- search Board, National Research Council, Washington, D.C., 2005, 45 pp. This synthesis describes the current QA practices of state and federal DOTs with regard to highway materials and construction. The report focuses on the strategies and practices used by agencies to ensure quality. Because QA is viewed differently among the agencies, methods and procedures that constitute the QA programs of highway agencies also differ significantly. This synthesis summarizes these methods and procedures to the greatest extent feasible, including in- formation on QC, acceptance, independent assurance, and training/ certification. It includes discussion of statistically based specifica- tions, QA specifications, FHWA QA procedures for construction (complying with 23 CFR 637), performance-related specifications, optimal procedures for QA specifications, the use of consultants, and resource allocation. “International Transit Studies Program Report on the Spring 2001 Mission Design-Build Transit Infrastructure Projects in Asia and Australia,” Research Results Digest, Federal Transit Adminis- tration, U.S. Department of Transportation, Washington, D.C., Nov. 2002, No. 53, 31 pp. The theme of this study mission was “Design-Build Transit Infra- structure Projects in Asia and Australia.” Transit projects in the United States have traditionally been constructed using the DBB sys- tem, in which the transit agency hires an engineering firm to design a project and then puts the design specifications out for construction bids. U.S. transit agencies and owners are, however, increasingly turning to the DB project delivery system as a means of cutting costs and accelerating project delivery. Johnson, B., “TH 212 Project Advances in Fast-Track Design- Build Environment,” Transportline, Vol. 16, No. 1, May 2006, pp. 1–3. An overview of the MnDOT Trunk Highway 212 project built using the DB method. Kanji, G.K. and A. Wong, “Quality Culture in the Construction Industry,” Total Quality Management, Vol. 9, No. 4/5, July 1998, pp. S133–S140. Partnering, supply chain management, and total quality manage- ment are all concepts or approaches that can be applied as initia- tives to solve the problems in the construction industry and meet the needs of final customers. With the help of a study on the oper- ations of a leading Hong Kong construction company, the applica- tion of the different concepts or approaches and their relationships are discussed. It can be concluded that the concepts or approaches mentioned are useful for the company in achieving best results. However, an incident adversely affecting the company is also quoted, to highlight the need for creating a quality culture in the construction industry to ensure continued quality performance by the company.

87 Khalid, M.S., T.J. Scott, P. Patel, and T. Mero, “The Use of Design-Build Procurement Methods to Rehabilitate Urban Road- ways,” 85th Annual Meeting of the Transportation Research Board (CD-ROM), Washington, D.C., Jan. 22–26, 2006, 12 pp. The purpose of this research is to present the benefits of using a DB contract procurement method to facilitate completion of a compre- hensive, city-wide roadway rehabilitation effort in Washington, D.C. Through the use of an innovative all-encompassing DB contract awarded through the efforts of the District DOT and the Eastern Fed- eral Lands Highway Division of FHWA, more than 108 urban road- ways were improved in Wards 3 and 4 of the District of Columbia. This paper presents a case study for reconstructing urban streets using the DB methodology and elaborates on the keys to success so that other jurisdictions can apply this approach to addressing critical infrastructure improvement needs. Killingsworth, B.M. and C.S. Hughes, “Issues Related to Use of Contractor Quality Control Data in Acceptance Decision and Payment: Benefits and Pitfalls,” In Transportation Research Record: Journal of the Transportation Research Board, No. 1813, Transportation Research Board of the National Academies, Wash- ington, D.C., pp. 249–252. Several agencies throughout the United States use contractor data as a means of acceptance. This is permissible as long as certain safe- guards are in place and as long as the functions of QC and quality acceptance remain separate. Discussion is needed to address the ad- justment, and the state should plan training sessions to address the reasons for this decision and the importance of the steps that will be taken to implement it. The other impact will be the need to imple- ment and monitor the validation system. Lahdenpera, P., Design-Build Procedures: Introduction, Illus- tration and Comparison of U.S. Modes, Valtion teknillinen tutkimuskeskus (VTT), Finland, 2001. A comparison of different DB practices in the United States. Lesson 27: Quality Assurance and Quality Control on a Design/ Build Transit Project, Project Management Oversight Lessons Learned References in Guidelines FTA Pub 1380, Mass Transit Administration of the Maryland Department of Transportation, Baltimore, 1997 [Online]. Available: http://www.fta.dot.gov/ printer_friendly/publications_1380.html [accessed Aug. 22, 2006]. The Mass Transit Administration of the Maryland DOT is responsi- ble for a fixed guideway system, including heavy and light rail lines, in the Baltimore region. The Central Light Rail Line (CLRL) com- ponent was phased. Phase I of the CLRL is an operating 22-mile line connecting Dorsey Road in the south in Anne Arundel County, through Baltimore City, to Timonium in the north in Baltimore County. Phase II will complete the CLRL component by extending the line north to the Hunt Valley business district, southwest with a spur to Baltimore–Washington International Airport, and a third ex- tension will connect the Phase I CLRL to Amtrak’s Pennsylvania Station for multi-modal connections to the MARC (commuter rail) Penn Line and Amtrak trains. Ling, F.Y.Y., “Models for Predicting Quality of Building Pro- jects,” Engineering, Construction and Architectural Management, Vol. 12, No. 1, 2005, pp. 6–20. The objectives of this paper are to: (1) find out whether DBB or DB procurement method gives better quality building, (2) identify vari- ables that significantly affect quality scores of DBB and DB proj- ects, and (3) construct models to predict quality scores of DB and DBB projects. There was no significant difference between the quality scores of DB and DBB projects. To ensure that buildings procured through DBB have high quality, owners should adopt the following practices: (1) engage experienced consultants, (2) short- list bidders, and (3) select contractors based on a combination of price and ability. For both types of projects, owners should allow contractors to propose changes to the contract with a view to im- proving its quality. Mahdi, I.M. and K. Alreshaid, “Decision Support System for Selecting the Proper Project Delivery Method Using Analytical Hierarchy Process (AHP),” International Journal of Project Man- agement, Vol. 23, No. 7, 2005, pp. 564–572. Owners are presented with different options for their project deliv- ery process, which include the traditional method (DBB), con- struction management, or DB delivery methods. This paper exam- ines the compatibility of various project delivery methods with specific types of owners and projects. Although no project delivery option is perfect, one may be better suited than another based on the requirements of a particular project. These requirements should be evaluated to determine which of the various options would most likely produce the best outcome for the owners. The proper selection of a project delivery method is based on a high degree of technical factors and low construction costs. In this study, a multi-criterion decision-making methodology using the analytical hierarchy process is provided to assist decision makers in selecting the proper delivery method for their projects. An example application for selecting the proper project delivery system for an actual proj- ect is provided. “Market Trends, Water/Wastewater Outsourcing Revenues Jump in 1999,” Design-Build Institute of America Dateline, Design Build Institute of America, Washington, D.C., Apr. 2000, p.13. Public Works Financing’s fourth annual survey of the U.S. water/wastewater privatization market shows a banner year in 1999 for revenue growth overall owing to big gains in DB and industrial markets. The data supporting the conclusion were derived from the survey responses of the 16 largest outsourcing firms that reported revenues, profits, and new contract data for calendar 1999. McArthur, E.P., Final Report for SEP 14 Design-Build Project: MCS Facility–West of Wibaux, Wibaux County Project No. IM 94- 7(24)240, Montana Department of Transportation, Helena, Feb. 1, 2006, 25 pp. Use of the DB contracting method for the first MDT [Montana DOT] Pilot Project has accomplished the purpose of the program as stated in the work plan by producing a savings in time and reduction in the MDT resources necessary to design and construct the project. The time savings are clearly evident because the project proceeded from preliminary engineering through right-of-way acquisition to contract award in 6 months, and the design and construction was completed in 12 months. This time period is much less than similar DBB proj- ects that can typically require as much as 36 months from prelimi- nary engineering to contract award. This project has been the first step in the process that will allow MDT to explore this innovative contracting method. Based on in-house and industry reactions and comments received during the post-construction debriefings, the ini- tial opinion is that the DB contracting method has been successful for this project. McLawhorn, N., “Implementing Design-Build,” Transportation Synthesis Report, Wisconsin Department of Transportation RD&T Program, Madison, 2003, 9 pp. In this report we rely heavily on AASHTO for a broad-brush exam- ination of the state of the practice, perspectives augmented by a sur- vey conducted for Illinois DOT, and a few of the several state- developed state-of-the practice reports. We then focus on five states at the forefront of DB practices (Arizona, Florida, North Carolina, Ohio, and Utah,), selected either for their reputation or representa- tive experience. We review the way in which these agencies use DB, the benefits they experience, and the drawbacks (sometimes merely potential) they grapple with.

McManamy, R., “Public Sector Continues to Embrace Design- Build,” Public Works, July 2004, p. 72. Historically, public works projects in most states and municipalities have had to follow public procurement laws that require the architect to represent the client, whereas the construction contract is awarded separately to the lowest responsible bidder. For this reason, as the al- ternative project delivery’s popularity has surged in the private sec- tor, its use in the public sector has lagged. Migliaccio, G.C., G.E. Gibson, Jr., and J.T. O’Connor, “Deliv- ering Highway Projects Through Design-Build: An Analysis of the Comprehensive Development Agreement (CDA) Procurement Process in Texas,” Construction Research Congress 2005, ASCE, San Diego, Calif., Apr. 5–7, 2005, 10 pp. The knowledge of the activities to be included in a DB procurement process and their critical sequencing is a central issue in conducting projects under DB. Although many recent studies focused on the evaluation aspect of the procurement, much less attention has been paid to the sequencing of activities to be performed by a STD be- tween the “go/no go” decision and the contract execution. MILCON Transformation Model RFP, Department of the Army, U.S. Army Corps of Engineers, Washington, D.C., 2006 [Online]. Available: ftp://ftp.usace.army.mil/pub/hqusace/MILCON%20 TRANSFORMATION [accessed April 14, 2007]. Draft model RFP for the U.S. Army Corps of Engineers. Miller, J.B. and R.H. Evje, “The Practical Application of Deliv- ery Methods to Project Portfolios,” Construction Management and Economics, Vol. 17, 1999, pp. 669–677. This paper presents a tool called CHOICES (c)TM, which permits convenient comparisons of alternative delivery scenarios for a port- folio of capital projects and services. CHOICES (c)TM is designed to help formulate a portfolio infrastructure strategy, test that strategy, and adjust it to meet strategic goals within capital constraints. Miller, J.B., M.J. Garvin, C.W. Ibbs, and S.E. Mahoney, “To- ward a New Paradigm: Simultaneous Use of Multiple Project De- livery Methods,” Journal of Management in Engineering, May/June 2000, pp. 58–67. This paper focuses on shifting from the current paradigm toward a new model that supports simultaneous use of multiple project deliv- ery methods. The discussion and frameworks provided are the result of a variety of research efforts by the Infrastructure Systems Devel- opment Research team at the Massachusetts Institute of Technology. Studies of the history of American infrastructure, analyses of case studies across the country, development of decision support models for capital programming, and real applications to municipal infra- structure planning provide the underpinnings for the results and con- clusions presented. Miyamoto K., Y. Sato, and K. Kitazume, “Private-Sector Par- ticipation in Infrastructure Projects and Value for Money Economic and Financial Impacts,” In Transportation Research Record: Jour- nal of the Transportation Research Board, No. 1932, Transporta- tion Research Board of the National Academies, Washington, D.C., 2005, pp. 16–22. Private-sector participation in infrastructure projects has gained worldwide acceptance as a way of ensuring more efficient and effec- tive projects and of supplementing public financing. The aim of the present study was to develop a comprehensive system of estimating the various impacts caused by changes in the scheme of public works or procurement of public services and evaluating the final impacts on stakeholders in the society. As a case study, a road project adhering to the design, build, finance, and operate scheme was compared with 88 one adhering to the conventional scheme. The results of the case study indicate that value for money evaluation depends to a signifi- cant extent on the viewpoint and the scope of the analysis and that the difference between evaluations can be substantial. In addition, the re- sults demonstrate the necessity of public finance transfer between central and local governments to ensure that the project is more effi- cient and effective with the participation of the private sector. Molenaar, K., et al., Washington State Department of Trans- portation Design-Build Pilot Project Evaluation: A Measurement of Performance for the Process, Cost, Time, and Quality: SR500 Thurston Way Interchange, Washington State Department of Trans- portation, Olympia, Jan. 2003, 44 pp. This report is an evaluation of the Washington State DOT (WSDOT) Design-Build Program and the first DB project at the SR500 Thurston Way Interchange in Vancouver, Washington. From 1998 through 2002, WSDOT contracted with the Georgia Institute of Technology and the University of Colorado to provide an indepen- dent evaluation of the level of effectiveness achieved by the DB process for Washington State. Molenaar, K.R. and D.D. Gransberg, “Design-Builder Selection for Small Highway Projects,” Journal of Management in Engineer- ing, Vol. 17, No. 4, 2001, pp. 214–223. This paper offers six case studies of design-builder selection for small publicly funded highway projects across the United States. Arizona, Colorado, Indiana, New Jersey, South Carolina, and Wash- ington State DOTs participated in this study. This paper offers guid- ance for other state transportation authorities, highway engineers, and contractors embarking on DB. Molenaar, K., D. Gransberg, S. Scott, D. Downs, and R. Ellis, Recommended AASHTO Design-Build Procurement Guide: Final Report, Project No. 20-7/TASK 172, Transportation Research Board, National Research Council, Washington, D.C., Aug. 2005, 101 pp. This Design-Build Procurement Guide (Guide) is intended to assist SHAs in the DB procurement process including the preparation of RFQs and RFPs and the selection of the successful proposer. The Guide includes guidelines for DB procurement, along with sample RFQ and RFP documents. The contents of this Guide are based on best practices from experienced SHAs and other public-sector agen- cies. The Guide is intended to be flexible for varying project types, sizes, and procurement requirements. Finally, the Guide promotes a common DB “vocabulary” for better dissemination of lessons learned and incorporation of continuous improvement. Molenaar, K.R., A.D. Songer, and M. Barash “Public-Sector Design/Build Evolution and Performance,” Journal of Management in Engineering, Vol. 15, No. 2, 1999, pp. 54–63. DB project delivery is experiencing expansive growth in both the private and the public sectors. Owners are driving the change away from the traditional DBB method. This change and changes in fed- eral procurement laws necessitate investigation, formalization, and development of new DB guidelines and practices. Public sector use of DB represents a fundamental departure from traditional competi- tive, low-bid procurement procedures. Understanding the evolution and current trends in public-sector DB provides a foundation for de- veloping uniform guidelines and practices. This paper describes the rapid evolution of public-sector DB and analyzes results from 104 completed public-sector DB projects. The results provide insights for owners, designers, and builders into the changing public-sector procurement system. Items analyzed include owner experience, level of design completion, design/builder selection, contract type, method of award, and DB process variations. The research conclu- sions provide a DB benchmark for public-sector agencies. Moore, A.T., G.F. Segal, and J. McCormally, “Infrastructure Outsourcing: Leveraging Concrete, Steel, and Asphalt with Public-

89 Private Partnerships,” Policy Study No. 272, The Reason Founda- tion, Los Angeles, Calif., Sep. 2000. Record economic growth has fueled a growing desire to rebuild and improve the nation’s infrastructure. State and local governments tra- ditionally have relied on public works agencies or departments for project delivery, but the growing number of vital infrastructure proj- ects has led these agencies to seek outside help. With increased par- ticipation by the private sector, innovative outsourcing has changed the face of infrastructure delivery.... Mrawira, D., J. Rankin, and A.J. Christian, “Quality Manage- ment System for a Highway Megaproject,” In Transportation Research Record 1813, Transportation Research Board, National Research Council, Washington, D.C., 2002, pp. 275–284. Although the concepts of quality management have been success- fully applied in many industries, primarily manufacturing, and are equally applicable to the construction industry, highway megaproj- ects, especially those delivered through PPP arrangements, present new challenges. A documented analysis is offered of a generic implementation process that can be adopted in other projects to improve efficiency in quality information management in the high- way construction industry in general and in megaprojects delivered through PPP arrangements in particular. National Partnership for Highway Quality, “Highway Quality Awards,” Public Roads, Vol. 65, No. 5, March/April 2002 [Online]. Available: http://www.tfhrc.gov/pubrds/02mar/06.htm [accessed Jan. 23, 2007]. The National Partnership for Highway Quality (NPHQ) recognized 26 states for their outstanding highway projects. These states re- ceived their awards at the 2001 NPHQ National Achievement Award ceremony on November 29, 2001, at the NPHQ Conference in Fort Worth, Texas. NCHRP Synthesis of Highway Practice 38: Statistically Ori- ented End-Result Specifications, Transportation Research Board, National Research Council, Washington, D.C., 1976, 37 pp. The purpose of this synthesis is to extend and amplify the concepts and findings of Highway Research Board Special Report 118 with respect to specifications for highway materials and construction and to show how they have been applied in those instances where current information is available. NCHRP Synthesis of Highway Practice 65: Quality Assurance, Transportation Research Board, National Research Council, Wash- ington, D.C., 1979, 42 pp. Overall, this synthesis emphasizes that under present circumstances there is no single, ideal QA system for all highway (buying) agen- cies. There appears to be a general desire to move toward end-result specifications. However, the size of the job, the skill of the contrac- tor, and the training of inspectors vary from job to job and state to state. These differences, then, control the extent to which it is feasi- ble to establish ultimate end-result requirements. Nelson, R.O., “Utah’s I-15 Design-Build Project,” Public Roads, Vol. 61, No. 3, Nov./Dec. 1997, pp. 40–46. Focuses on Utah’s Interstate 15 DB project that provides for the re- construction of Interstate mainline and the addition of new general purpose and high-occupancy vehicle lanes through the Salt Lake City metropolitan area. Construction and reconstruction of bridges, reconstruction of urban interchanges, and construction of an exten- sive region-wide advanced traffic management system. Neuendorf, K.A., The Content Analysis Guidebook, Sage Publi- cations, Thousand Oaks, Calif., 2002, 300 pp. A summary of the research method of content analysis. It gives step-by- step instructions and practical advice on conducting content analysis. Nicholson, T., “AIA Teaching Architects to Lead Design-Build Teams,” Design-Build Magazine, McGraw–Hill Construction, May/June 2005 [Online]. Available: http://designbuild.construction. com/features/archive/2005/0506_feature2.asp [accessed Feb. 4, 2007]. As DB project delivery continues to become more popular, contractors are taking the lead on the vast majority of the work because they are used to taking on and managing risk. Architects, who generally shun construction risk and are ethically opposed to changing traditional roles, increasingly are being relegated to subcontractor roles. Now some architects are saying it is time for a change. Nickerson, R.L. and S.A. Sabol, NCHRP Research Results Di- gest 274: Quality Assurance of Structural Materials, Transportation Research Board, National Research Council, Washington, D.C., Aug. 2003, 21 pp. This study examines the state of the practice of QA related to critical structural materials and components: those for which failure poses a threat to public safety or to the integrity of the transportation system (e.g., bridge girders, bridge columns, and sign/signal/luminaire sup- ports). The study focuses on conventional structural materials (e.g., steel, concrete, wood, and aluminum), which comprise the vast ma- jority of highway structures in use or in the planning and design stages. Brief coverage of some newer materials in the highway in- frastructure, such as fiber-reinforced polymers, high-performance concrete, and high-performance steel, is provided. O’Connor, J.T., G.E. Gibson, Jr., G.C. Migliaccio, and P.P. Shrestha, 2005 Annual Interim Report on the Monitoring and Eval- uation of SH 130 Project Construction, Texas Department of Trans- portation Research and Technology Implementation Office, Austin, Mar. 2006, 36 pp. This report is comprised of five chapters, including the introductory chapter. The succeeding sections of this report are structured in the following manner. Chapter 2 summarizes findings regarding Re- search Product No. 3, including an organizational chart that summa- rizes the relationships in place for the State Highway 130 (SH 130) project development. Chapter 3 lays out the key elements of the plan for benchmarking the SH 130 project extensively described in Re- search Product No. 5. Details on the status of Research Products 7 and 8 are offered in Chapter 4. Finally, Chapter 5 summarizes the status of the research project. Pantazides, L., “Managing Quality on Transportation Mega Projects,” ASQ World Conference on Quality and Improvement Proceedings, Milwaukee, Wis., Vol. 59, 2005, pp. 289–297. With major Railway Transportation Infrastructure Projects now ex- ceeding $1 billion, and PPPs being formed to design, build, operate, and/or maintain them over an extended period of time, the challenges for “Project Management” now go beyond just bringing the job in— ”On Time” and “Within Budget.” This paper describes how project quality is affected from areas previously not considered as risky. Papernik, B. and B. Davis, “Innovation in Highway Delivery: Survey of SEP-14/SEP-15 Projects,” Design-Build Institute of America Dateline, Washington, D.C., Apr. 2006, pp. 8–14. This article discusses the SEP-14 and SEP-15 experiments, includ- ing a description of each program and the reasons behind them. The article focuses on how these programs have been used and the po- tential for further use in the future. Parsons Brinkerhoff Quade & Douglas, Inc., Design-Build Practice Report, New York State Department of Transportation, Albany, Sep. 2002, 60 pp.

This report describes the major components of the DB process and summarizes the practices of the various agencies utilizing DB ser- vices. Of particular interest were the practices of each agency with regard to selection of projects for DB, legislative authorization, allo- cation of risk, and administering and overseeing DB contracts. Agencies were also asked to identify any particular lessons learned. Parsons Brinkerhoff Quade & Douglas, Inc., Design-Build Procurement Process Report, New York State Department of Transportation, Albany, Mar. 2003, 39 pp. Recommendations for a process to implement the DB method of project delivery. The recommended DB process of this report is based on a review of DB practices used in the United States and con- forms to the pending New York State legislation and proposed FHWA rules and regulations concerning DB contracting. The report reviews the background, assumptions, and rationale leading to the recommendations, describes the steps in the selection process to ob- tain a DB entity, recommends changes to current NYSDOT docu- ments, and identifies new documents necessary for a successful DB program. Parvin, C., “Innovative Contracting Here to Stay,” Roads & Bridges, June 1998, p. 12. Recently, a state legislative audit of highway construction projects in Washington State found that approximately one-third of project changes were caused by inadequate field investigations, unclear specifications, plan errors, design changes, or mistakes by a con- struction engineer. In other words, one-third of the project changes could have been avoided. Parvin, C., “Design-Build: Evaluation and Award,” Roads & Bridges, Jan. 2000, p. 12. This paper discusses problems in the DB evaluation and award process. Parvin, C., “Design-Builders Take on the Risk,” Roads & Bridges, Jan. 2001, p. 12. This paper seeks to identify specific contract provisions that should concern design-builders . . . . At the outset, although some state DOTs believe harsh contract provisions attempting to shift the risk to the design-builder will avoid contract disputes, the best way a DOT can protect the public is through a complete and detailed de- scription of the scope of work and the level of performance desired. Pelevin, A., Private Sector Financing in Roads Review of the Major Australian Toll Roads, Austroads Publication No. AP-131/98, Sydney, Australia, 1998, 51 pp. This document examines the issues, experiences, and some pitfalls associated with private-sector investment and financing in roads which, in Australia, have invariably been associated with major toll road projects. Peters, M., “An Important Project,” Canal Road Intermodal Connector Meeting, Gulfport, Miss., 2003 [Online]. Available: http://www.fhwa.dot.gov/pressroom/re031021.htm [accessed Sep. 16, 2006]. Excerpts from remarks as prepared for delivery at the Canal Road In- termodal Connector Meeting on Tuesday, October 21, 2003, in Gulf- port, Mississippi. Postma, S.E., R. Cisneros, J. Roberts, R. Wilkison, J. Clevenger, and A. Eastwood, I-15 Corridor Reconstruction Project Design/Build Evaluation 2001 Annual Report, Report UT-02.11, Utah Department of Transportation Research Division, Salt Lake City, Apr. 2002, 36 pp. 90 This report is the final report to be produced under a 4-year project of evaluation and research into the I-15 DB project. The purpose of the evaluation is to collect and evaluate information derived from the process used in this project and provide this information to other agencies or entities interested in pursuing similar DB projects in transportation. This report is the final report and summarizes all of the evaluations completed for the project. It includes reports on seven specific areas: selection/award, design, QA/QC, innovative construction methods, performance specifications, partnering, and public involvement. Potter, J.M. and D.K. McMahon, Selecting a Quality Control/ Quality Assurance Program for a Mega Design-Build Project, Rummel, Klepper & Kahl, LLP, Baltimore, Md., 2006, 12 pp. The purpose of this research was to determine how other state DOT’s DB programs manage their QC/QA programs during construction, identify their lessons learned, and use those findings to recom- mend a construction phase QC/QA program for the ICC mainline/ interchange Contracts A through E. Primer on Contracting for the Twenty-First Century, AASHTO Subcommittee on Construction—Contract Administration Task Force Report, American Association of State Highway and Trans- portation Officials, Washington, D.C., 2001. An overview of different methods of contracting. Procurement Strategy of the Finnish Road Administration, Finnish Road Administration, Helsinki, 2003, pp. 27–29. Procurement strategies from Finland. Qaasim, H.A., “Comprehensive Quality Assurance for Rapid Transit,” ASQ World Conference on Quality and Improvement Pro- ceedings, Milwaukee, Wis., Vol. 59, 2005, pp. 299–307. For QA to be effective in design and construction, it must be part of a comprehensive strategic plan. This paper examines the principles of QA and its key role in the design and construction of a $2 billion multi-year capital construction program. Quality Control, Quality Assurance, Independent Assurance and Independent Verification Guide for Use on Public-Private Transportation Act & Design Build Projects, Virginia Department of Transportation, Richmond, Mar. 28, 2007, 30 pp. The Virginia DOT guide to QA and QC on DB projects. “Quality Glossary,” American Society for Quality, Milwaukee, Wis., 1998 [Online]. Available: http://www.asq.org/info/glossary/ [accessed Nov. 15, 2002]. Definitions of words and processes related to quality. Quatman, G.W., Design-Build for the Design Professional, Aspen Law and Business, New York, N.Y., 2001. A DB guide for design professionals. Queiroz, C., “Contractual Procedures to Involve the Private Sector in Road Maintenance and Rehabilitation,” Transport Sector Familiarization Program, World Bank, Washington, D.C., 1999, 18 pp. This paper reviews options for creating an enabling environment for the construction industry, thus leading to more involvement of pri- vate contractors and consultants in improved management of road assets. Highway agencies have increased private-sector involvement in an attempt to reduce the amount of highway agency resources

91 required on a highway project; reallocate performance risk; increase contractor innovation; increase the quality of constructed products; and reduce life cycle costs of highway projects. A summary of recent experience in the increased involvement of the private sector in high- way asset management is summarized for countries such as Australia, New Zealand, the United States, the United Kingdom, and Argentina. Quinn, S., “Design-Build Is Coming to Transportation: Are You Ready?” CE News, Aug. 1999, pp. 54–57. Nearly a decade after the FHWA’s SEP-14 introduced the DB con- cept, DOTs and other agencies are seriously considering DB as a sound method to speed transportation project delivery. Its accep- tance as an experimental method for delivering a variety of trans- portation projects means civil engineers need to understand when and how DB is being used, and why they should take a careful look at this “new” project delivery process. Report to Congress on Public-Private Partnerships, U.S. De- partment of Transportation, Washington, D.C., Dec. 2004, 182 pp. House Report 108-243 (2003) accompanying the FY 2004 Depart- ment of Transportation Appropriations Act requested the U.S.DOT to prepare a report identifying the impediments to the formation of large, capital-intensive highway and transit projects involving public- private partnerships (PPPs). U.S.DOT was also asked to work with states and local entities to identify and eliminate existing impedi- ments. This report addresses both of those goals by pulling from ex- isting literature on PPPs and by gathering comments from states, law firms, contractors, and trade associations with experience in these projects. These comments, gathered from stakeholders, do not nec- essarily represent the position of the U.S.DOT, but are included in response to the Committee on Appropriation’s request according to the direction given by the House Report. Rogge, D.F. and R. Pinto, ODOT Design-Build Pilot Projects Evaluation Volume II: Special Experimental Project Evaluation for the Evans Creek–Rock Point Design-Build Pilot Project, Oregon Department of Transportation and Federal Highway Administra- tion, Salem, June 2001, 40 pp. This report provides a summary of the ECRP (Evans Creek–Rock Point) project, analysis of the results, and recommendations for fu- ture Oregon DOT utilization of DB project delivery. The project is viewed as successful, primarily because a high-quality project was delivered within the established budget and 1 year ahead of the con- tractually allowable completion. This minimized Oregon DOT maintenance expenses and minimized traffic disruptions and associ- ated road user costs experienced by motorists. The pavement that motorists drove on in 2000 was undoubtedly safer than it would have been if the project had not been completed until December 2000. Rogge, D.F. and R. Pinto, ODOT Design-Build Pilot Projects Evaluation Volume III: Evaluation—Harrisburg Bridge Design- Build Pilot Project, Oregon Department of Transportation and Federal Highway Administration, Salem, June 2001, 43 pp. This report provides a summary of the Harrisburg Bridge project, analysis of the results, and recommendations for future Oregon DOT utilization of DB project delivery. The project is viewed as success- ful, primarily because a superior quality project was delivered in ad- vance of the established contract time with essentially no traffic dis- ruption. The DB contractor’s use of a detour bridge, at his own initiative, meant that lane closures were not required. This became particularly important when uncovering of the Bent #1 floor beam re- vealed severe corrosion. Without the detour bridge, repair would have required complete closure of the bridge for several days. Russell, J.S., A.S. Hanna, S.D. Anderson, P.W. Wiseley, and R.J. Smith, “The Warranty Alternative,” Civil Engineering, Vol. 69, No. 5, May 1999, pp. 60–63. The number of states using warranties has continued to increase since the 1991 Intermodal Surface Transportation Efficiency Act al- lowed the use of warranty contracting on projects that are part of the national highway system. One major reason states are implementing warranties is to supplement their workforces and reduce the need for inspections. Most states require a warranty bond to guarantee that the contractor will remedy any problems associated with substandard performance. Contractors and SHAs say that bonding availability is the primary barrier for implementing warranty projects. Russell, K., Recent Advances in Road Pricing Practice, Aus- troads Publication No. AP-R196/01, Sydney, Australia, 2001, 78 pp. The purpose of this study is to provide information on recent ad- vances in road pricing practice, both nationally and internationally. As the availability of new technologies is the most rapidly changing aspect of road pricing, a significant proportion of the report is dedi- cated this particular aspect. Where possible, reference is also made to the emerging sociological, political, economic, and environmen- tal impacts of road pricing. Saunders, M., “Bridging the Financial Gap with PPPs,” Public Roads, Vol. 70, No. 1, July/Aug. 2006, p. 1-1. The article focuses on private-sector involvement in highway con- struction and financing through PPPs in the United States. Many transportation officials think PPPs will be increasingly important in the future because traditional funding sources are not keeping pace with infrastructure investment needs and continuously growing pub- lic demand for travel. Scheinberg, P.F., “MASS TRANSIT: Challenges in Evaluating, Overseeing, and Funding Major Transit Projects,” GAO/T-RCED- 00-104, Testimony Before the Subcommittee on Transportation, Committee on Appropriations, House of Representatives, U.S. Gen- eral Accounting Office, Washington, D.C., Mar. 8, 2000, 26 pp. This document presents information based on a number of completed General Accounting Office reviews, as well as ongoing work that is being conducted at the request of this Subcommittee and others on FTA’s programs. Specifically, [it discusses] (1) FTA’s process for eval- uating proposed transit projects, (2) FTA’s oversight of transit projects under construction, and (3) the ever-increasing competition for federal transit construction dollars. In addition, [it provides] information on the costs, schedules, and financing of six ongoing transit projects. Schmidt, J., D. Perdomo, and T. Cable, Transportation Re- search Circular E-C105: Factors Affecting Compaction of Asphalt Pavements, Transportation Research Board, National Research Council, Washington, D.C., Sep. 2006. This particular delivery method (i.e., design-build-warranty) re- quired an integrated, performance-based, decision-making process driven by the continuous assessment of the construction quality in the context of pavement design and long-term performance. This paper focuses on some of the practical applications of statistical process control using a percent within limits specification approach and associated learning as an important component of the QC/QA/IA process in a design-build-warranty project. Schwartz, E., “No Speed Bumps on Texas’ First Design-Build Highway,” Texas Construction, Vol. 12, No. 9, Sep. 2004, p. 28. In its first-ever DB contract, the Texas DOT is partnering with a con- sortium of engineering and construction firms known as Lone Star Infrastructure to deliver the new 49-mile, $1.5 billion State Highway 130 tollway, the largest, active highway contract in the nation and the largest element of the future $3.6 billion Central Texas Turnpike Project. Science Applications International Corporation Transportation Policy and Analysis Center, “Outsourcing of State DOT Capital

Program Delivery Functions,” NCHRP Web Document 59 (Project 20-24[18]): Contractor’s Final Report, Transportation Research Board, National Research Council, Washington, D.C., Nov. 2003, 53 pp. The outsourcing of state DOT Capital Program Delivery Functions was developed under the direction of the NCHRP for AASHTO. This document was prepared as part of the “20-24 Series” of NCHRP projects on the administration of highway and transportation agen- cies. The report is designed to assist state DOTs in assessing the out- sourcing of their capital delivery functions. “Selection of a Design-Builder ‘A List of Principles,’” Cana- dian Design-Build Institute Practice Bulletin #3, Apr. 2001, 2 pp. The Joint Industry–Government of Canada Design-Build Task Force has approved the following set of principles to provide guidance to the federal government and the industry for the selection of a design- builder and the proper use of DB. The principles, developed in part- nership with the Association of Consulting Engineers of Canada, Canadian Construction Association, Construction Specifications Canada, and the Royal Architectural Institute of Canada, are consis- tent with the Canadian Design-Build Institute’s Design-Build Prac- tice Manuals (100 Series—Introduction and General, 200 Series— Procurement and Award). SEP-15 Program—Public Private Partnerships, Federal High- way Administration, Washington, D.C., 2007 [Online]. Available: http://www.fhwa.dot.gov/PPP/sep15.htm [accessed June 3, 2007]. Description of FHWA special experimental program for PPPs. Shammas-toma, M., D. Seymour, and L. Clark, “Obstacles to Implementing Total Quality Management in the UK Construction Industry,” Construction Management & Economics, Vol. 16, No. 2, Mar. 1998, pp. 177–192. Since at least the Tavistock studies, the need to improve communi- cation and coordination in the construction process has been stressed. This paper reports from a study of 25 construction projects where QA and a number of procedures were in use that might have been expected to bring such improvement. The finding was, how- ever, that coordination was poor. The purpose of the paper is to con- sider how this finding is to be explained. Shane, J.S., Design-Build Highway Construction: An Examina- tion of Special Experimental Project Number 14 Performance, Masters thesis, University of Colorado, Boulder, 2000. Through a combined research methodology of case study, content analysis, and questionnaire procedures, this research presents a DB taxonomy for highway projects composed of four levels: project type, project size, procurement type, and design level at award. This classification system allows dissemination of project performance and experiences to aid the industry in determining the viability of DB. This report also examines 33 completed DB projects to deter- mine the cost, schedule, and quality performance compared with similar DBB projects. The findings of this study are similar to the findings of studies in the vertical industry; projects are completed in a shorter amount of time with less cost variability. Shane, J.S., D.D. Gransberg, K.R. Molenaar, and J.R. Gladke, “Legal Challenge to a Best-Value Procurement System,” Journal of Leadership and Management in Engineering, Vol. 5, No. 1, Jan. 2006, pp. 1–6. One SHA that utilized a two-step best-value procurement process received a protest from one of the firms that was not successful in pass- ing the qualifications phase of the procurement. The court found evi- dence to uphold the decision of the SHA through the transparent and documented evaluation process established by the SHA. Continued 92 exploration of new and different technologies and ideas for procure- ment and delivery of highway projects will result in legal challenges to the system as all parties involved work to gain an understanding of the processes. This paper is an examination of one SHA’s experience with an alternative to the highway industry’s typical low-bid procure- ment system. Shane J.S., S. Won, and K.R. Molenaar, “Variations in State Highway Agency Design-Build Programs,” 85th Annual Meeting of the Transportation Research Board (CD-ROM), Washington, D.C., Jan. 22–26, 2006, 16 pp. A survey of 30 agencies across the United States provides insights into important program variations. According to respondents, the pri- mary reason for choosing DB is for the advantage of time. Cost and non-cost factors are found to be equally important factors in procur- ing DB services. Approximately one-half of the SHAs responding to the survey use stipends to offset the proposal costs of unsuccessful proposers. Finally, SHAs are taking advantage of the ability to allo- cate risks differently than through the DBB methodology. Shekharan, R., D. Frith, T. Chowdhury, C. Larson, and D. Mo- rian, “The Effects of a Comprehensive QA/QC Plan on Pavement Management,” 86th Annual Meeting of the Transportation Research Board (CD-ROM), Washington, D.C., Jan. 21–25, 2007, 14 pp. A detailed QA process has been developed and applied to achieve the desired high-quality data. The project includes QA that has been car- ried out since the inception of the project, including the application of necessary adjustments in the data collection process, to ensure that quality data conforming to predefined standards is obtained. This paper quantifies the effects of a complete and comprehensive quality monitoring plan, which includes QC, QA, and an independent valida- tion and verification, on pavement management data and the resulting budgetary estimates. Pre- and post-independent validation and verifi- cation results were analyzed to determine the effects of a comprehen- sive quality monitoring plan on pavement distress data collection. Shrestha, P.P., G.C. Migliaccio, J.T. O’Connor, and G.E. Gib- son, “Benchmarking of Large Design-Build Highway Projects: One-to-One Comparison and Comparison with DBB Projects,” 86th Annual Meeting of the Transportation Research Board (CD- ROM), Washington, D.C., Jan. 21–25, 2007, 15 pp. This paper analyzes a sample of four DB projects (with contract amounts ranging from $126 million to $1.4 billion) to determine how project characteristics and DB practices (inputs) affect project per- formance in terms of cost and schedule (outputs). Project cost and schedule performance show clear trends against 15 input factors. More data points are needed to determine correlations between these inputs and outputs. In addition, 11 DBB projects (with contract amounts ranging from $50 million to $100 million) were selected for a statistical comparison with DB projects. The authors found a sta- tistically significant difference in cost growth between the two sam- ples, with DBB projects having higher values. Siebels, J.E., “Implementation of Design-Build Guidelines,” Memo to Regional Transportation Directors Program Engineers, Colorado Department of Transportation, Denver, Aug. 8, 1997, 2 pp. Memo accompanying the Colorado DOT DB guidelines. Smith, N., “Quality Assurance Through Procurement Method- ology,” Memorandum, Nossaman, Guthner, Knox & Elliott, Los Angeles, Calif., May 11, 2005, 7 pp. [Online]. Available: http://www. nossaman.com/db30/cgi-bin/news/NCS_Quality%20Assurance%20 Through%20Procurement%8-22-06 [accessed Aug. 22, 2006]. One of the first steps in any DB procurement is to analyze the risks associated with the project and decide how to deal with them. It is

93 usually possible to reduce some risks through measures such as com- prehensive geotechnical and hazardous materials surveys. Most of the remaining risks must be located in the contract documents. How- ever, one major risk—specifically the risk that transfer of control of the project to the design-builder will reduce the quality of the work product—can and should be addressed, at least in part, through use of an appropriate procurement methodology. Smith, N.C., “Getting What You Paid for: The Quality Assur- ance and Acceptance Process for Transportation Projects,” Pro- ceedings, American Bar Association Forum on the Construction Industry, Denver, Colo., 2001, pp. 17–18. In the transportation industry, project owners typically assure them- selves regarding project quality by approving the final project design and inspecting and testing the work and materials over the course of construction. One of the most debated topics in the industry is how best to ensure quality in complex projects involving DB or other al- ternative delivery methodologies. Unlike “vertical” projects, owners of transportation projects cannot rely on design reviews in connec- tion with building permit applications or on public inspections in connection with certificates of occupancy. Songer, A.D. and K.R. Molenaar, “Selecting Design-Build: Private and Public Sector Owner Attitudes,” Journal of Engineer- ing Management, Vol. 12, No. 6, 1996, pp. 47–53. This paper discusses results of research conducted to address own- ers’ attitudes toward one specific alternative contracting method, DB. A tremendous growth in DB and limited existence of docu- mented research on owner’s attitudes toward DB necessitates a focus on this particular delivery strategy. Primary DB selection factors identified and analyzed include: establish cost, reduce cost, estab- lish schedule, shorten duration, reduce claims, large project size/ complexity, and constructability/innovation. Additionally, a com- parison of private and public owner DB attitudes is documented. State of Texas, State Bill No. 1499, Section 1, Chapter 223, Transportation Code, Subchapter E, Sep. 1, 2003. Texas DB law. “State of the Art Road May Be Headed South,” Albuquerque Journal, Vol. A12, Sep. 1, 2004, p. 2. The new way of doing business accelerated completion of the 118- mile stretch from a 27-year span to 3 years [NM 44/US 550]. The Bernalillo-to-Bloomfield route opened up and it was hailed as the smoothest-cruising roadway in the state. Less than 3 years later, the deal is looking rougher. State of the Practice Review in Design-Build, Florida Depart- ment of Transportation and Federal Highway Administration, Tal- lahassee, 2002 [Online]. Available: http://www.dot.state.fl.us/ construction/Design%20Build/DB%20General/State%20of%20 Practice%20D-B.doc [accessed Aug. 26, 2006]. This report focuses on DB projects. The Florida DOT and other state DOTs can use the information gathered to further develop their own DB program. After researching several state transportation depart- ments with regard to their use of DB, it was decided that visiting the South Carolina DOT and the Arizona DOT would be the most bene- ficial reviews for 2002. A team of FHWA Florida Division and Florida DOT personnel visited the South Carolina and Arizona DOTs in July and September 2002, respectively. Stefani, A.M., Managing Risk in the Federal-Aid Highway Pro- gram, Report MH-2005-012, Federal Highway Administration, Washington, D.C., Nov. 19, 2004. This report recommended that the FHWA require that all Division offices conduct risk assessments; issue guidance identifying major programs and program components to be evaluated and the method- ology to be used for evaluating and classifying program risks; ana- lyze the individual risk assessment results to identify program-wide issues; and follow-up with Division offices to ensure oversight attention is given to high-risk areas. FHWA concurred with the rec- ommendations. Stenbeck, T., “Effects of Outsourcing and Performance-Based Contracting on Innovations,” 85th Annual Meeting of the Trans- portation Research Board (CD-ROM), Washington, D.C., Jan. 22–26, 2006, 10 pp. This paper reports on some effects of outsourcing and performance- based contracting and in particular effects on long-term technical de- velopment. A second purpose is to list, test, and report efficient and less efficient methods to spur innovation whatever the political set- ting, including intermediary variants between in-house production, outsourcing, and performance-based contracting. Strong, K., Performance Effectiveness of Design-Build, Lane Rental, and A + B Contracting Techniques: Final Report, Report MN/RC-2006-09, Minnesota Department of Transportation, St. Paul, Mar. 2006, 74 pp. [Online]. Available: http://www.lrrb.org/ PDF/200609.pdf. Performance and cost and value implications of A + B contracts, DB contracts, lane rental contracts, and traditional contracts were inves- tigated. Specific performance and cost measures considered are Administration Costs, Project Costs, Management Complexity, Dis- ruption to Third Parties, RUC, Innovation, Product/Process Quality, and Funding Flexibility. Performance parameters are compared on nine different project types; the methodology utilized a survey of na- tional experts who rated each innovative contracting method for each performance factor on each of the project types. Strong, K.C., J. Tometich, and N. Raadt, “Cost Effectiveness of Design-Build, Lane Rental, and A + B Contracting Techniques,” Proceedings of the 2005 Mid-Continent Transportation Research Symposium, Iowa State University, Ames, Aug. 2005, 10 pp. Many state DOT specifications are generally prescriptive in that they describe how contractors should conduct certain operations using minimum standards of equipment and materials. These prescriptive specifications, known as method specifications, have performed ad- mirably in the past. Results indicate that DB and A + B contracts are the most effective methods when time is the primary driver of cost or when complex design issues require interdisciplinary coordina- tion. Because DB appears to hold much promise for dramatically accelerating schedules, we used in-depth personal interviews of proj- ect team members involved in a DB urban corridor reconstruction project in Minnesota. Sypsomos, M.G., “Beyond Project Controls—The Quality Im- provement Approach,” AACE International Transactions, Morgan- town, W.Va., 1997, pp. 262–269. This paper presents a proven method of quality improvement that uses existing project controls tools and methods combined with total quality management methodology. Data received from a Con- struction Industry Institute survey strongly showed that project suc- cess at leading companies is mainly attributed to hard measure- ments such as cost, schedule, and safety in addition to soft factors such as leadership, employee satisfaction, and teamwork for deter- mining the performance of projects. However, although the trend in the construction and engineering industry is to use total quality management in the engineer-procure-construct processes, compa- nies have yet to combine the quality improvement framework with the conventional project management and project controls perfor- mance measurements. Tam, W.O., J.P. Bowen, K.A. Smith, and T.J. Weight, “State Highway 130 Exclusive Development Agreement Construction

Quality Assurance Program,” Asphalt Paving Technology, Vol. 72, 2003, pp. 656–665. This paper specifically addresses the Construction Quality Con- trol/Quality Assurance (QC/QA) Program for the SH 130 Exclusive Development Agreement (EDA) project. The goals of this program are to ensure that the project is constructed with reasonable confor- mance with the requirements of the approved plans, specifications, and the EDA. The program will be consistent with the requirements set forth in the Texas DOT Contract Administration Handbook for Construction Projects and will comply with 23 CFR 637b. This paper describes the scope of the EDA, the parties involved in the construction QC/QA program, and their roles. It also discusses some of the checks and balances established on this project. Tam, W.O., J.P. Bowen, P.S. Terranova, T.J. Weight, and J.E. Travis, “The State Highway 130 Exclusive Development Agree- ment: A Case Study in Managing Quality Assurance with Contrac- tor Acceptance Testing and Inspection on a Design-Build Project,” 86th Annual Meeting of the Transportation Research Board (CD- ROM), Washington, D.C., Jan. 21–25, 2007, 17 pp. This paper focuses on the Texas DOT and its Program Manager’s role on the project [Texas SH 130]. This includes the development of a project-specific QAP, the development of owner oversight tools and procedures, and the implementation of these procedures to over- see the Independent Construction Quality Firm and Developer’s ac- tivities. Specific requirements and procedures used on the project are discussed in the paper. Taylor, A.B., Jr., “Build-Operate-Transfer: Evaluating Effi- ciency During the Operation Phase,” Cost Engineering, Vol. 40, No. 6, June 1998, pp. 23–26. This article attempts to present a theoretical construct, the Taylor business model, which is designed to aid management in the opera- tion phase of a BOT project. The premise for feasibility is linked to the microeconomic theory for monopolies, whereas the premise for validation is linked to the fact that BOT has become a viable option for infrastructure development. This article also attempts to qualita- tively describe the integral components of the operation phase of all BOT projects to allow readers to see “the big picture” by identifying the key elements in the operation phase and relating them to the model using a systems approach. The United States Air Force Design-Build Plus Users Guide, July 2003, 16 pp. The purpose of this guide is to familiarize the Air Force community, Program Managers, Base Civil Engineers, Chief Engineers, Project Engineers, and Contracting Officers with the Design-Build Plus project delivery process. This User’s Guide illustrates the process for implementing the Design-Build Plus contract vehicle. “Third Anniversary Key to U.S. 550 ‘Marriage’,” Albuquerque Journal, Vol. A14, Oct. 6, 2004, p. 14. State transportation chief Rhonda Faught likens the relationship with the company responsible for a warranty on U.S. 550 to a marriage. With a term of 20 years, it will be longer than many. However, unlike most, there was a prenuptial contract that was very specific about certain an- niversaries—like ... November 21 [2004]. That’s the end of a three-year period during which the state can make claims against a professional services warranty covering design and construction problems. After that date—even if problems are attributable to design or construction— solutions come out of the limited pot of general warranty money. Tomeh, O.A., D.C. Schnek, and R.A. Stross, “Innovative Pro- curement Methods in Rail Transit Projects: Baltimore’s Turnkey Experience,” Transportation Research Record 1677, Transporta- tion Research Board, National Research Council, Washington, D.C., 1999, pp. 79–86. 94 As part of this evaluation, the contractual differences between the conventional contracting method used in Phase 2 and the DB, or turnkey, contracting mechanisms and incentives that were used in Phase 2 Extensions project are discussed. The focus of this discus- sion is on the comparative differences of the specific contracting mechanisms and incentives used by the Mass Transit Administration in the procurement phase of the two comparable projects, Central Light Rail Line Phases 1 and 2. This discussion also examines the ef- fectiveness of the procurement approach implemented by the Mass Transit Administration as compared with other turnkey contracts. Touran, A., L.A. Fithian, K. Ghavamifar, D.D. Gransberg, D.J. Mason, and K.R. Molenaar, Technical Memorandum for TCRP Project G-08: A Guidebook for Evaluation of Project Delivery Methods, Transportation Research Board, National Research Coun- cil, Washington, D.C., 2007. The objective of this research is to develop a guidebook to help tran- sit agencies (1) evaluate and select the most appropriate project de- livery method for major capital projects and (2) evaluate the advan- tages and disadvantages of including operations and maintenance as a component of a contract for the project delivery system. The proj- ect delivery methods to be discussed in the guidebook are (a) DBB, (b) DB, and (c) construction manager-at-risk. Transportation Research Circular E-C074: Glossary of High- way Quality Assurance Terms, Transportation Research Board, Na- tional Research Council, Washington, D.C., Jan. 2006, 40 pp. TRB compendium of “official” definitions for QA terms in use in FHWA documents. Trombly, J. and T. Luttrell, Michigan Intelligent Transportation System Center Use of a Design/Build/Warranty Contract, Report FHWA-OP-01-020, Federal Highway Administration, Washington, D.C., Mar. 2000, 4 pp. Procurement of Intelligent Transportation System projects with fed- eral-aid funds can present challenges. Conventional federal-aid con- struction projects are procured using a two-step project delivery ap- proach: first, a design contract is let to design the project, and then a construction contract is let to build the project. Under federal-aid regulations, the design contractor can be selected using a qualifica- tions-based approach, whereas the construction contractor must be selected based on low bid. In many cases, however, the requirements of Intelligent Transportation System projects cannot easily be spec- ified at the beginning of a project. This makes it difficult to establish realistic low bids and ensure product quality. Turochy, R.E. and F. Parker, “Comparison of Contractor and State Transportation Agency Quality Assurance Test Results on Mat Density of Hot-Mix Asphalt Concrete: Findings of a Multi-State Analysis,” 86th Annual Meeting of the Transportation Research Board (CD-ROM), Washington, D.C., Jan. 21–25, 2007, 25 pp. The results of contractor-performed tests on in-place properties of hot-mix asphalt are increasingly used in the acceptance decision in many states. Results of tests performed by contractors and state DOTs in Florida, Kansas, and North Carolina consistently indicate that dif- ferences between contractors and state DOT test results for hot-mixed asphalt concrete mat density are statistically significant. Furthermore, these comparisons consistently indicate less variable and more favor- able contractor test results, relative to specification limits, that give more favorable acceptance outcomes. Details of QA processes (sam- pling and testing frequencies, test methods, verification procedures, and acceptance procedures) appear to have little if any effect on these comparisons. These findings provide information for state DOTs to consider in structuring their QA programs, and specifically the role of contractor-performed tests in acceptance decisions. Turochy, R.E., J.R. Willis, and F. Parker, “Comparison of Con- tractor Quality Control and Georgia Department of Transportation

95 Data for Quality Assurance of Hot-Mix Asphalt,” 85th Annual Meeting of the Transportation Research Board (CD-ROM), Wash- ington, D.C., Jan. 22–26, 2006, 16 pp. The Georgia Department of Transportation (GDOT) utilizes contractor-performed tests in the acceptance decision on acceptable corroboration of GDOT-performed tests. Statistical analyses have been performed to assess differences between tests conducted on hot- mix asphalt concrete by GDOT and its contractors during the 2003 construction season. Measurements of gradation and asphalt content taken by both parties were compared both across all projects and on a project-by-project basis for projects large enough to meet sample size requirements for this type of analysis. Statistically significant differ- ences occur in some cases; these differences are much more common when comparing variability of these measurements than with the means. At the project level, on most projects in which statistically sig- nificant differences occur, the GDOT value is typically larger. Tyborowski, T., M. Primack, and K. Matthews, “Privatization: A Closer Look,” 1997 AACE International Transactions, pp. CC.03.1–CC.03.5. Through a review of available literature and an analysis of the results of many privatization initiatives, this paper demonstrates how compe- tition for, and privatization of, government services can lead to in- creased efficiency, higher quality, and cost savings. This paper also defines privatization and discusses the economic justification for using privatization as a tool to provide government services. Based on this case study analysis, the authors also provide a discussion of the factors that, in general, lead to the successful implementation of privatization. “Types of Public-Private Partnerships,” The National Council for Public-Private Partnerships, Washington, D.C. [Online]. Avail- able: http://ncppp.org/resources/ [accessed Mar. 6, 2007]. Definitions of different types of PPPs. Use of Contractor Test Results in the Acceptance Decision, Rec- ommended Quality Measures, and the Identification of Contrac- tor/Department Risks, Technical Advisory 6120.3, Federal High- way Administration, Washington, D.C., Aug. 2004. FHWA technical rules for using contractor QC testing in acceptance plans. Ward, T. and D. Jackson, “Paving a New Road: Minnesota Department of Transportation Explores Best-Value Design-Build Delivery,” Design-Build Institute of America Dateline, Washing- ton, D.C., Nov. 2005, pp. 8–16. Planning for ROC 52 began in the late 1980s and the Environmental Impact Statement was approved in 1996. At that time, it was esti- mated that it would take more than 11 years and 15 stages to finish the project corridor owing to funding limitations for MnDOT Dis- trict 6. In 2000, an Economic Impact Study performed through a partnership between MnDOT District 6 and the city of Rochester an- alyzed four staging alternatives along with the corresponding retail transfer and business impacts within various commercial business centers. Study results prompted recommendation of a 5-year maxi- mum construction timeline. It was clear that MnDOT needed to in- vestigate alternative delivery methods if it were to cut the estimated schedule by more than half. Warne, T., “Minnesota Department of Transportation Design- Build 2006 Customer Assessment,” St. Paul, 2006, 99 pp. This report is the product of MnDOT’s Design-Build 2006 Customer Assessment effort. It contains inputs received through an Internet- based survey of 33 industry representatives, phone interviews, and comments received during a Design-Build Forum held on March 30, 2006. Through this process, the industry offered valuable and sub- stantial information regarding the state’s DB program that will serve as a foundation for MnDOT to further improve this project delivery method. Warne, T., et al., Transportation Research Circular E-C090: Design-Build: A Quality Process, Transportation Research Board, National Research Council, Washington, D.C., Jan. 2006, 17 pp. A document that updates the state of art in DB contracting across the United States authored by many of the nation’s DOT-level experts. Weber, R.P., Basic Content Analysis, Sage Publications, Bev- erly Hills, Calif., 1985. A guide to performing content analysis. Wichern, S., “Protecting Design-Build Owners Through Design Liability Coverage, Independent Construction Managers, and Qual- ity Control Procedures,” Transportation Law Journal, Vol. 32, No. 1, Fall 2004, pp. 35–56. Despite the many advantages of the DB system over the traditional approach, the union of the design professional and contractor into a single entity may cause potential owners some apprehension. By de- manding minimum standards in the design professional’s E&O in- surance, owners can protect themselves from design negligence, er- rors, and omissions while also securing their traditional surety guarantees under the contractor’s performance bond. A second ap- proach to securing comprehensive coverage in DB projects is for owners to require that the contractor obtain a stand-alone profes- sional liability policy to cover the project’s design exposure. Wilson, B., “Experiment Turns to Solid Rule,” Roads & Bridges, Jan. 2003, p. 12. The FHWA recently approved a final rule to allow DB contracting. As of January 9 [2003], recipients in the federal-aid highway pro- gram were able to use the DB contracting method just as they would the traditional DBB contracting method. Wilson, B., “Wheelin’ and Dealin’,” Roads & Bridges, Jan. 2000, pp. 30–32. Innovative contracting is changing the job process of the road build- ing industry. Some are popular, a few are not, and a fraction is cur- rently debated. The use of warranties is creating a forum of pros and cons. It is the way of doing business for states such as Indiana, Michigan, and Wisconsin, and several more DOTs may take on the trend in the near future. Wilson, F.J., “Public-Private Partnerships,” House Transporta- tion and Infrastructure Committee FDCH Congressional Testi- mony, Washington, D.C., Feb. 13, 2007. Houston will need massive capital investment in transportation in- frastructure over the next 20 years. However, more importantly over the next 5 years, the spend rate necessary to meet our short-term goals will be even more demanding. In short, federal, state, and local financial resources, although significant, will be insufficient to meet these needs. Also, the traditional public financing model results in lengthy project delivery schedules, something that Houston can no longer afford if we are to meet the binding deadlines resulting from a 2003 voter referendum and respond meaningfully to public antipa- thy toward excessive commute times. It is estimated that the cost of congestion in Houston alone is more than $2 billion per year. It is our belief that federal programs will not be modified in the near-term to meet these immediate needs. We also believe that private equity investments in infrastructure projects across the globe have resulted in a very sophisticated marketplace where we cannot only find investors, but also experienced and reliable private operators and managers of transportation infrastructure.

Wiss, R.A., R.T. Roberts, and S.D. Phraner, “Beyond Design- Build-Operate-Maintain New Partnership Approach Toward Fixed Guideway Transit Projects,” Transportation Research Record 1704, Transportation Research Board, National Research Council, Washington, D.C., 2002, pp. 13–18. The North Jersey Rapid Rail (NJRR) proposal, as a case study, demonstrates how the bottom-up, “beyond DBOM” process is work- ing. NJRR is an initiative of a consultant–contractor consortium working with two transit-dependent counties (Bergen and Passaic) and the New Jersey DOT. The initiative is a devolution of risk and responsibility to a more local level and a reversion to earlier private partnerships. During the first half of the 20th century, most of the rail transit infrastructure in North America was designed, built, operated, and maintained efficiently by private-sector consortia consisting of finance, transit operating, utility, and construction interests. From the vantage point of one millennium ending and a new one beginning, this research is retrospective as well as futuristic. Yin, R.K., Case Study Research: Design and Methods, Sage Publications, Beverly Hills, Calif., 1994. A guide on how to perform case study research. Yin, R.K., “Conducting Case Studies: Collecting the Evidence,” 2004 [Online]. Available: http://72.14.203.104/searchq=cache: jHb6y55UFJ8J:www.idt.mdh.se/phd/courses/fallstudie/slides%2520- %2520seminarie%25202/Yin%2520-%2520kapitel%25204%2520 Rev%25203.ppt+conducting+case+studies&hl=en&gl=us&ct=clnk &cd=1 [accessed Mar. 13, 2006]. A guide on how to collect information to perform case studies. Yuan, J., C.N. Fu, and G.W. Raba, “Implementation of a Web- Based Electronic Data Management System for the Construction Material Quality Assurance Program of a Highway Mega-Project,” 85th Annual Meeting of the Transportation Research Board, Wash- ington, D.C., Jan. 22–26, 2006, 26 pp. This paper presents a case study of implementing a web-based elec- tronic data management system for the construction material QA program of the State Highway 130 Turnpike project, a 49-mile DB highway mega-project in Texas. The system consists of a set of web- enabled data management and engineering analysis tools that sup- port the independent Construction Quality Assurance Firm’s (CQAF) functions in managing, reporting, and analyzing material test data. Through the electronic data management system, the qual- ity and efficiency of the CQAF are greatly enhanced in making ac- ceptance decisions, tracking deficiencies and corrective actions, and ensuring that materials and workmanship incorporated into the proj- ect are in compliance with requirements of project specifications. Yuan, J., J.A. Roberts, C.N. Fu, and G.W. Raba, “The Indepen- dent Construction Quality Assurance Program of State Highway 130 Project: The Perspective of the Independent Construction Qual- ity Assurance Firm,” 86th Annual Meeting of the Transportation 96 Research Board (CD-ROM), Washington, D.C., Jan. 21–25, 2007, 17 pp. In recent years, mainly because of the steady growth in highway capital development programs and SHAs’ continuously declining staffing levels, utilizing the construction QA services provided by private engineering entities for major transportation infrastructure projects has been a subject of increased interest to both the public and private sectors. From the perspective of the independent Con- struction Quality Assurance Firm (CQAF), this paper presents the construction QA program of the State Highway 130 Turnpike project (SH 130). Also discussed in this paper are the CQAF organizational structure, the Construction Quality Control and Quality Assurance Program, material testing and construction inspection functions, innovative data management techniques, and alternative QA approaches. Rooted in the principles of 23 CFR 637, the CQAF program substantially elevates the level of confi- dence in the complete work and seamlessly supports Texas DOT and the FHWA’s construction quality oversight and verification programs. Yusuf, J., C.Y. Wallace, and M. Hackbart, Privatizing Trans- portation Through Public-Private Partnerships: Definitions, Models, and Issues,” Research Report KTC-06-09/SPR302-05-2F, Kentucky Transportation Cabinet, Frankfurt, May 2006, 56 pp. This report serves as a primer on PPPs for the delivery of trans- portation infrastructure and services. It provides an overview of the concept of PPPs, presenting a broad definition of the privatization approach, comparing it with contracting out, and discussing a theo- retical framework for understanding why, when, and how partner- ships are appropriate as a privatization strategy. The report also reviews six PPP models—DBB, private contract fee services, DB, DBOM or BOT, DBFO, and build-own-operate—identified by the FHWA as available for use by transportation agencies considering privatizing transportation projects. Zocher, M.A., O.H. Paananen, and C. Sohn, “Cost Engineering Considerations in Privatization,” Cost Engineering, Vol. 39, No. 5, 1997, p. 40. The U.S. DOE is privatizing a major, complex portion of the Tank Waste Remediation System Program at the Hanford Nuclear Reser- vation located in eastern Washington State. Private companies will design, permit, construct, operate, and finally deactivate waste treat- ment facilities that will be owned entirely by the private sector. The DOE will purchase treated waste products from the facilities after supplying the vendors with waste from the tank farms at Hanford. This effort is discussed in this article from a cost engineering stand- point and describes the basic methods used and how cost engineers can contribute to the process. Zweig-White Research, “Is Design-Build Due for an Increase” The Zweig Letter, Issue 551, 2004 [Online]. Available: http://www. zweigwhite.com/trends/thezweigletter/index.asp [Feb. 18, 2007]. An analysis of the future of DB.

Next: Appendix B - Example Quality Assurance Plans »
Quality Assurance in Design-Build Projects Get This Book
×
MyNAP members save 10% online.
Login or Register to save!
Download Free PDF

TRB's National Cooperative Highway Research Program (NCHRP) Synthesis 376: Quality Assurance in Design-Build Projects examines how state transportation agencies have successfully approached quality assurance for design-build, including in procurement, design, construction, and post-construction operations and maintenance.

  1. ×

    Welcome to OpenBook!

    You're looking at OpenBook, NAP.edu's online reading room since 1999. Based on feedback from you, our users, we've made some improvements that make it easier than ever to read thousands of publications on our website.

    Do you want to take a quick tour of the OpenBook's features?

    No Thanks Take a Tour »
  2. ×

    Show this book's table of contents, where you can jump to any chapter by name.

    « Back Next »
  3. ×

    ...or use these buttons to go back to the previous chapter or skip to the next one.

    « Back Next »
  4. ×

    Jump up to the previous page or down to the next one. Also, you can type in a page number and press Enter to go directly to that page in the book.

    « Back Next »
  5. ×

    To search the entire text of this book, type in your search term here and press Enter.

    « Back Next »
  6. ×

    Share a link to this book page on your preferred social network or via email.

    « Back Next »
  7. ×

    View our suggested citation for this chapter.

    « Back Next »
  8. ×

    Ready to take your reading offline? Click here to buy this book in print or download it as a free PDF, if available.

    « Back Next »
Stay Connected!