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97 ARIZONA DEPARTMENT OF TRANSPORTATION MATRIX FOR CORTARO ROAD INTERCHANGE DESIGN-BUILD PROJECT The matrix shown in Table B1 was extracted from a request for proposal (RFP) developed by the Arizona DOT (ADOT) for the Cortaro Road Interchange Project in 1997. It provides an exam- ple of how design-build (DB) responsibilities may be communi- cated in an RFP. SAMPLE QUALITY MANAGEMENT PLAN OUTLINE This appendix contains an outline of the general requirements of a DB quality management plan. The outline was drawn from the Virginia Department of Transportation (DOT) Quality Control, Quality Assurance, Independent Assurance and Independent Verification Guide for Use on Public-Private Transportation Act & Design Build Projects, with additional points of emphasis included by the authors. This is not intended to be an all-inclusive list, but a starting point for DOTs to develop DB quality man- agement requirements for RFPs or to develop an acceptable sample plan for design-builders to use in preparing a project- specific plan in response to a contract requirement. Design Quality Management Plan General The Quality Assurance (QA) and Quality Control (QC) proce- dures shall be organized by each type of engineering discipline (such as structural, civil, and utilities). These procedures shall specify measures to be taken by the Design-Builder (1) to ensure that appropriate quality standards are specified and included in the drawings, specifications, and other design submittals and to control deviations from such standards, it being understood and agreed that no deviations from such standards shall be made un- less they have been previously approved by the Department at the Departmentâs sole discretion; and (2) for the selection of suitability of materials and elements of the Work that are in- cluded in the Project. All QA and QC procedures proposed by the Design-Builder for the design process shall be included in the QA/QC plan. This should include an organizational chart of who will perform each task and their firm, discipline, name, qualifications, duties, responsibilities, and authorities. All subcontractors shall be included in the plan. In addition, the design QA/QC plan should identify those elements of the contract, drawings, specifications, and other design submittals, if any, requiring special construc- tion QA and/or QC attention or emphasis, including applicable standards of quality or practice to be met, level of completeness and/or extent of detailing required, or Special Provisions to the Road and Bridge Specifications. Quality Control The design QC plan shall include the level, frequency, and methods of the procedures or actions necessary to accomplish the following tasks: 1. Preparing all drawings 2. Checking math and engineering computations and other aspects of drawings 3. Reviewing of the technical accuracy of the plans 4. Reviewing the specifications 5. Ensuring that the plans conform to contract requirements 6. Checking the form, content, and spelling in plans 7. Reviewing coordination with other design disciplines 8. Reviewing designs for omissions 9. Reviewing the sequence of construction 10. Ensuring there will be no utility conflicts 11. Constructability reviews. Quality Assurance The Design QA plan shall include the level, frequency, and methods of the procedures or actions necessary to accomplish the following tasks: 1. Evaluating whether the designer addressed problem ap- propriately 2. Evaluating if the correct analyses were applied 3. Evaluating whether qualified, independent personnel were assigned to the QC tasks and stamped the drawings 4. Evaluating whether solutions are practical and cost- effective 5. Evaluating whether the design is within appropriate range based on past experience 6. Levels of DOT review and/or approval 7. Final, independent review. Construction Quality Management Plan General The Design-Builder shall provide an organizational chart for all employees with specific QA or QC responsibilities. The chart shall indicate, by discipline, the name, qualifications, duties, responsibilities, authorities, and number of QA/QC employees. The plan should also include how QA/QC activities will be reflected in the project progress schedule. In addition, specific QA/QC measures that must be taken for specific activities or materials should be included in the plan. APPENDIX B Example Quality Assurance Plans
98 Scope Item Design/Builder ADOT Others A. Aerial Mapping 1. Photogrammetric control and panels N/A 2. Aerial photography N/A 3. Plotter compilation N/A a. Planimetric map N/A b. Contour N/A c. Topographic map X d. Drainage area map N/A e. Right-of-way map N/A B. Control Survey s 1. Horizontal X 2. Vertical X 3. Topographic map N/A 4. Utility locations X 5. Right-of-way X 6. Roadwa y c ross sections X 7. Drainage cross sections X 8. Structures survey s X C. Environmental 1. Environmental analy sis document X 2. Air quality technical report X 3. Noise analy sis technical report X 4. Cultural resources recovery X 5. Public meeting a. Advertisement X b. Presentation materials X c. Moderator X d. Technical questions X e. Transcript N/A f. Responses to public comments X g. Liability insurance N/A D. Materials Investigation 1. Provide soil survey X a. Roadway X b. Lateral ditches X c. Earthwork X d. Retention/detention ponds X 2. Bridge foundation investigation N/A 3. Provide testing and analy sis X 4. Provide pavement design X 5. Materials memorandum X E. Design Traffic Data 1. Gather statistics N/A a. Two-way ADT N/A b. Turning movements N/A c. Cross traffic N/A 2. Prepare traffic data sheets X 3. Prepare equivalent 18 kips X 4. Prepare traffic analy sis X 5. LOS analy sis X 6. Composite traffic control device plan X F. Right-of-Way 1. Develop requirements X 2. Secure title search X 3. Prepare RN4 plans and legal descriptions X 4. Prepare transfer documents X 5. Provide appraisals X 6. Negotiate right-of-way X 7. Condemnation proceedings X 8. Testify in court X 9. RN cost estimates X 10. Relocation assistance X 11. Property management X 12. Clearance letter (continued on next page) X TABLE B1 ARIZONA DOT RFP QUALITY RESPONSIBILITY MATRIX
99 Quality Control All QC activities shall include a description of the proce- dures, frequencies, location, methods, and personnel used to perform the task and the required documentation for each task. 1. QC inspection requirements 2. QC testing requirements including laboratory(ies) used for each test 3. QC sampling, testing, and analysis plan that includes a description of how random locations for testing and sam- pling are determined 4. Process for reviewing shop drawings and submittals 5. Horizontal and vertical control 6. Load testing and integrity testing required to verify ade- quacy of the foundation capacity, soil reinforcement ele- ments, or adequacy of ground stabilization. Quality Assurance All QA activities shall include a description of the procedures, frequencies, location, methods, and personnel used to perform the task and the required documentation for each task. 1. QA inspection requirements 2. QA testing requirements 3. Verification testing requirements 4. Procedures for correcting the QA/QC plan if it does not conform to DOT standards 5. Witness and hold points that allow the DOT to perform required tests and inspections 6. Reporting and correcting nonconforming work. (From Virginia Department of Transportation, Quality Control, Quality Assurance, Independent Assurance and Independent Ver- ification Guide for Use on Public-Private Transportation Act & Design Build Projects, Richmond, Mar. 28, 2007, 30 pp.) G. Construction Plans 1. Plot design survey X 2. Basic roadway plans preparation X 3. Drainage design X 4. Bridge design N/A 5. Roadway lighting plans X 6. Traffic signal plans X 7. Signing and pavement marking plans X 8. Utility adjustment plans X X 9. Maintenance of traffic requirements X 10. Landscape architectural design X H. Utility and Railroad 1. Utilities identification X X 2. Submit railroad data X 3. Conduct utility predesign conference X 4. Secure utility adjustment plans X 5. Secure utility relocation schedule X 6. Secure utility agreements X 7. Process relocation schedule and agreement X 8. Clearance letter N/A K. Cost Estimates 1. Prepare construction cost estimates X 2. Prepare RN cost estimates N/A L. Technical Specifications 1. Roadway construction plans X 2. Signing and pavement markings X 3. Roadway lighting plans X N. Post-Design Services 1. Respond to questions on final design X 2. Review and approve shop drawings X 3. Provide contact person X 4. Provide post-construction design-build X P. Reviews and Submittals 1. Roadway construction plans review X 2. Bridge construction plans review N/A 3. Design concept report submittal N/A 4. Environmental reports X N/A 5. Initial design submittal N/A 6. Preliminary design submittal X N/A 7. Final design submittal X 8. Final II design submittal N/A 9. As-built submittal X Note: ADT = average daily traffic; LOS = level of service; N/A = not available. Scope Item Design/Builder ADOT Others TABLE B1 (Continued)
