Exploring the Use of Quality Control Plans for Alternative Contracting Methods in Highway Projects

Abstract

Quality control (QC) is an essential component of quality assurance (QA) programs used to monitor and ensure the highway construction projects’ quality. After receiving the contractor’s QC plan, state departments of transportation (DOTs) conduct review and acceptance, monitor the QC process, and ensure construction quality by performing inspection activities. Given that state DOTs are increasingly implementing alternative contracting methods (ACMs), including construction manager/general contractor (CM/GC), design-build (D-B), and public–private partnerships (P3), it is essential to consider the impact of shifting more responsibility to the contractor on quality management activities, including developing and monitoring QC plans throughout the project development. The objective of this paper was to investigate the implementation of QC plans for administering QA specifications in highway infrastructure projects delivered using ACMs. The data collected from a national survey questionnaire of 43 DOTs in the US and structured interviews with seven DOT representatives were employed to investigate this research’s objective. As a result, eight typical requirements of QC plans in ACM projects were identified in terms of certification and qualification of QC personnel and process control. Additionally, the standard of care of QC staff in ACMs was not found to be higher than that in design-bid-build. Nine risk factors related to the oversight of QC plans in D-B, CM/GC, and P3 highway projects were identified. There was no statistical difference in the nine risk scores among D-B, CM/GC, and P3 projects. The findings from seven case studies provide insights regarding the implementation of QC plans for ACM highway projects. This study contributes to the body of knowledge by advancing the understanding of how state agencies execute and oversee QC activities in ACM projects. The outcomes of this study may help state DOTs identify optimal QC practices to administer the QA process in ACM projects. This study investigates the current state of practice in implementing QC plans to manage and improve QA processes for highway projects delivered using ACMs such as CM/GC, D-B, and P3. This study synthesized and documented typical QC requirements used by state DOTs in reviewing, accepting, and monitoring contractor compliance with their QC plans. Additionally, the descriptive and inferential testing results of nine risk factors in implementing QC plans in highway projects found in this study enable highway agencies to effectively justify their monitoring process of the QC plan implementation. Further, the results from seven case studies provide insights and key lessons learned regarding (1) the guidance and templates for developing a QC plan; and (2) risk perceptions in managing the QC plan implementation in ACM highway projects that can benefit both the contractors and state DOTs. The outcomes of this study also shed light on exploring the optimal allocation of responsibilities between state DOTs and contractors in implementing QC activities to administer QA programs in ACM highway projects.