Module 1: INTRODUCTION Submodule 1: What is Construction Quality Mana ement !CQM"# "PROACTIVE PREVENTION vs.

REACTIVE INSPECTION" Ob$ecti%es: After completing this submodule, you will be able to: State the purpose of Construction Quality Management. Discuss the reasoning behind the Corps !A"#AC policy on CQM. Discuss $arious characteristics that are peculiar to the construction industry. Define Contractor Quality Control %CQC&. Define 'o$ernment Quality Assurance %QA&. A. Introduction and Instructional Procedures: (his training is presented as a result of partnering efforts with the Associated )uilders and Contractors %A)C&, Associated 'eneral Contractors %A'C&, the *.S. Army Corps of +ngineers %*SAC+&, and the !a$al #acilities +ngineering Command %!A"#AC&. (his is appropriate as Construction Quality Management is a partnering effort between the 'o$ernment and the contractor. (he purpose of this training is to familiari,e all -uality control personnel, and other contractor management personnel, with CQM policies, re-uirements, and procedures. .n addition to the filmed portions, this training pac/age includes this Study 'uide and pertinent classroom e0ercises pro$ided by your #acilitator. As we proceed through the training, the broader and more general portions of the information will be presented on $ideotape D"D. At the end of each segment %module or submodule&, the #acilitator will stop the tape D"D and gi$e you any necessary detailed information. (hen, you should read the te0t for that submodule and proceed to the related discussions and e0ercises.

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Instructional Content: (he content of this training pac/age will include, in Module 1, an introduction co$ering the broad aspects of CQM, including its definition3 discussions of -uality control procedures and benefits3 the characteristics of the construction industry and the responsibilities of the 'o$ernment and the contractor. .n Modules 4 through 5, the $arious re$iews, plans, conferences, reports, and management re-uirements are described. .n Module 6, the information in the first si0 modules will be integrated into a discussion of the ways and means of ma/ing the CQM system wor/ effecti$ely so that the le$el of -uality re-uired in the Corps7 and !A"#AC7s worldwide construction program is achie$ed. An optional module, Module 8, is an o$er$iew of the 9esident Management System %9MS&. 9MS is a software pac/age that automates and simplifies many pro:ect acti$ities used by *SAC+. ;ptional Module <, co$ers !A"#AC=s >+) Construction Management %CM& system. History of Construction uality !ana"e#ent: .n $%&$ a new clause containing but two sentences began appearing in Department of Defense %DoD& solicitations. (hese same two sentences can still be found today in the Contract Clause entitled ?.nspection of Construction@ Asubparagraph %b&B. (hese sentences re-uire a contractor to be responsible for achie$ing and documenting contract -uality. )y $%&' the Construction Quality Management system had grown into a fairly loose structured process $arying from field office to field office in which more paragraphs were placed into the contract defining specific items that were to be accomplished to better manage the tas/. Most often, in these early years, there were a wide $ariety of responses on how to manage -uality into the :ob. (he Corps and !A"#AC were faced with something of a balancing act. (he contractor was either gi$en great latitude in how he organi,ed the effort to get -uality or gi$en specific e0pectations and processes. ;$er the years, the Corps and !A"#AC ha$e tried many $ariations and made some $ery specific choices. >ith the in$ol$ement of industry representati$es, including the A'C, it was recogni,ed that the relati$ely structured method used today was the preferred contract method. (he system has some $ery specific processes, these include the three2phases of control system, formal deficiency rewor/ items trac/ing systems, and well2defined submittals. ;n many :obs, the Corps and !A"#AC specify the contractor=s manpower -uantity and -ualifications. And, of course, this training for contractor personnel is now a contract re-uirement. Ceep in mind that these choices are not free 22 there is a cost for them and by putting them into the :ob, the Corps and !A"#AC ha$e made a choice from a spectrum of possibilities. )y entering into a Corps or !A"#AC contract, the contractor has agreed to follow the chosen methods.

C.

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Construction uality !ana"e#ent: CQM is the performance of tas/s, which ensure that construction is performed according to plans and specifications, on time, within a defined budget, and a safe wor/ en$ironment. #or purposes of this training, -uality is defined as conformance to properly de$eloped re-uirements. #or a construction pro:ect, -uality begins with re-uirements carefully de$eloped, re$iewed for adherence to e0isting guidance, and ultimately reflected in criteria and design documents which accurately address these needs. (herefore, the designer establishes the -uality standards and the contractor, in building to the -uality standards in the plans and specifications, controls the -uality of the wor/. (he purpose of CQM is the 'o$ernment=s efforts, separate from, but in coordination and cooperation with the contractor, assure that the -uality set by the plans and specifications is achie$ed. CQM is the combined effort of the contractor and the 'o$ernment. (he contractor has primary responsibility for producing construction through compliance with plans, specifications, and accepted standards of the industry. CQM, if used as outlined in this course, enables contractor and 'o$ernment personnel to be proacti$e and, thereby, pre$ent mishaps and deficiencies from occurring. Continuing to wor/ in a reacti$e mode and relying on inspection to achie$e re-uired -uality of product means that CQM is either not understood or that the philosophy has not been adopted. Contractor uality Control: (he primary function of contractor -uality control %CQC& is to assure that the completed pro:ect meets all -uality re-uirements of the contract. (o guide the contractor in this tas/, a CQC plan must be prepared to ensure that the re-uired standards of -uality construction are met. .n the CQC plan, the contractor defines the procedures by which he will manage and control his own, all subcontractor7s and supplier7s= acti$ities so that the completed pro:ect complies with contract re-uirements. At the end of this submodule is a list %(able 1.121& entitled Components of CQC. (overn#ent uality Assurance: Quality Assurance %QA& in$ol$es the means by which the 'o$ernment protects its interests. (hrough re$iews, inspections, and tests, the 'o$ernment assures that CQC is wor/ing effecti$ely, and that the end product complies with the -uality established by the contract. T)e Cor*s+ and NAV,AC+s C ! Syste#: %+ngineer 9egulation& +9118D2125 and !A"#AC7s E2FFG, and other references pro$ide guidance to Corps and !A"#AC personnel in performing effecti$e CQM in the field. >hile these regulations pro$ide minimum re-uirements, each pro:ect must be tailored to suit its specific conditions and re-uirements.

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T)e -enefits of C !: )oth the contractor and the 'o$ernment must be interested in effecti$e CQM. (he benefits to the 'o$ernment are many: wor/ is performed according to plans and specifications, on time, within a defined budget, easily maintained, and a safe wor/ en$ironment. (his can be summari,ed as J'etting our money7s worthKJ (he benefits to the contractor are increased profit and production, better communication, planning, impro$ed organi,ational s/ills, and outstanding performance e$aluations to obtain future contracts. C)aracteristics of t)e Construction Industry: 1. (he construction industry has become highly speciali,ed because of the changing mar/et. .ncreased technology and regulation ha$e resulted in increasing numbers of specialty contractors %such as general building, hea$y construction, and special trade contractors& that ma/e coordination and management more difficult for the general contractor and complicates both CQC and QA. >hether large or small, speciali,ed or general, success for all contractors is based on their ability to: H. manage personnel, control costs, finance wor/, estimate :obs, schedule the wor/, manage cash flow, manage an effecti$e safety program, and maintain an effecti$e -uality control system.

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;$er 8DL of all construction companies are small firms that gross less than MGDD,DDD annually. #or e$ery 1,DDD firms in operation, 11D to 1HD firms enter the field each year. A similar number lea$e the field each year. .t is a fact that the rates of entry and failure are among the highest of all industries.

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Construction pro:ects are difficult to manage because: construction pro:ects are uni-ue by nature, ma/ing standardi,ation difficult, construction operations in$ol$e many s/ills that are nonrepetiti$e and do not lend themsel$es to an assembly line approach, construction pro:ects are, to a large degree, dependent upon en$ironmental conditions which are beyond the contractor7s control, and sub:ect to $aried regulations from numerous go$ernment agencies.

G.

#or the contractor, ade-uate technical performance is not sufficient to ensure profit. (here simply is too much competition and too little profit. (he typical gross profit on a commercial building pro:ect is GL. After deducting home office o$erhead, the before ta0 gross profit is reduced to 42HL. After ta0es, the net profit percentage is minuscule. Construction contracting is a $ery high ris/, $olatile business. (o run a successful and profitable business, contractors must employ effecti$e management.

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In t)e ,uture: 1. !ew go$ernment regulations will impose more restricti$e re-uirements, especially in the areas of en$ironmental concerns, occupational health and safety, and employment. (here will be a greater degree of influence from the client customer, to include their in$ol$ement in pro:ect design and construction, and the re-uirement to assure full documentation and timely response to all comments from them. .tems that will be of significant benefit to both the 'o$ernment and the contractor are: the impro$ement of QC and QA re-uirements3 construction2oriented management information systems, such as the Corps= 9esident Management System %9MS& and !A"#AC7s >+) CM system3

4.

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formal partnering, in$ol$ing all sta/eholders, will become a way of doing business3 there will be increased contractual re-uirements for e0change of data in electronic format for all communication re-uired during the course of the pro:ect3 i.e., drawings on Computer Aided Drafting and Design %CADD&, correspondence, 9#.s, submittals, in$oices, contract changes, as2built drawings, reports, schedules, and electronic bid documents3 .ncreased performance based re-uirements, less prescripti$e3 More reliance on design2build3 and More consideration on life cycle re-uirements as opposed to :ust construction.

F. G.

Con$ersion to metric units and metric si,e components will re-uire careful coordination, and .nternational competition will introduce .S; <DD1: 4DDD series standards of -uality management on an important sector of our industry.

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Conclusion: (he construction industry will continue to be presented with comple0, difficult challenges. (o face the increasing challenges, we must ha$e the best tools and properly utili,e them. +$en with a sound system structure, CQM re-uires the combined efforts of QC personnel and QA personnel to achie$e our shared goals O a safe wor/ en$ironment, -uality construction, built on time and within budget. (he traditional, ad$ersarial roles of 'o$ernment $ersus contractor must be abandoned in fa$or of success through :oint implementation of an effecti$e construction -uality management system. (he CQM system presented here will, with our :oint efforts, always be successful in pro$iding desired -uality.

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&'&RCIS& Submodule 1(1 1. .n construction, what establishes the -uality re-uirementsP

4.

>hat is the purpose of CQMP

H.

Define CQM.

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>hat are the two principal areas of CQM acti$ityP Define each.

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>hat are the benefits of CQM to the contractorP (o the 'o$ernmentP 126

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>hat two factors ha$e caused the construction industry to become highly speciali,edP

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>hy are construction pro:ects difficult to manageP

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>hat factors will influence both the 'o$ernment and the construction industry in the futureP

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Table 1(1)1 Com*onents o+ CQC Specification Sections D1HHD Submittal Erocedures D1FGD! Quality Control D1FG1A Contractor Quality Control D1G4G! Construction Safety D166D! Close2out Erocedures D1681 ;peration and Maintenance Data Quality Control %QC& Elan Qist of Definable #eatures of >or/ %D#;>& Ereconstruction Conference Ereconstruction Safety Conference Ero:ect Schedule Qist of Definable #eatures of >or/ %D#;>& QC Elan Meeting QC QA Coordination Meeting or Mutual *nderstanding Meeting %!a$y& (hree Ehases of Control System Ereparatory Control Ehase and report .nitial Control Ehase and report #ollow2up Control Ehase Safety Conduct and document daily safety inspections Acti$ity Ia,ard Analysis %AIA& Quality Control %QC& Documents Contractor Quality Control Daily 9eport Contractor Eroduction 9eport Ereparatory Ehase Chec/list .nitial Ehase Chec/list Deficiency 9ewor/ .tems Qist (esting Elan and Qog Submittal 9egister Contractor=s Submittal (ransmittal #orm AIA Submittals 12<

Qist of Definable #eatures of >or/ %D#;>& ;ffsite #abrication, (esting and .nspection Material 9eceipt and Chec/2;ut Deficiency 9ewor/ .tems (rac/ing and correcting !on2compliance notice 9e-uest for information %9#.& Control (esting and recording reporting System (esting (raining of 'o$ernment personnel in operation and maintenance of e-uipment Commissioning Eunch2out .nspection Ere2final .nspection #inal Acceptance .nspection As2built drawings ;peration and Maintenance Manuals ;peration and Maintenance System .nstructions %;MS.& >arranties (urno$er of /eys and spare materials

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Module 1: INTRODUCTION Submodule 1: Contractor Quality Control Ob$ecti%es: After completing this submodule, you will be able to: A. Differentiate between JinspectionJ and Jcontrol.J Describe, in general, the contractor7s and the 'o$ernment7s responsibilities in CQM. Describe the benefits of CQC to the contractor, the 'o$ernment, and the client customer.

Control Versus Ins*ection: (he contractor has the contractual responsibilities to control construction -uality and inspect the wor/. (hese are two distinct processes. Control is a continual system of planning future acti$ities. .nspection is the process by which ongoing and completed wor/ is e0amined. .nspection is ongoing or Jafter2the2factJ while control is Jpre$enti$e.J (he ob:ecti$es of control are to ensure that the contractor is ade-uately prepared to begin a phase of wor/, to eliminate deficiencies, and to follow through in accomplishing the wor/ in accordance with the contract. (he ob:ecti$e of inspection is to ensure that the wor/ was accomplished in accordance with contract pro$isions. (he control process is sometimes neglected. (his course will emphasi,e the control aspects of the contractor=s management system. Res*onsi.ilities: )y the contract, the responsibility for -uality control is $ested in the contractor. Iistorically, the construction industry accepted a system of control in which the contracting agency or owner continually ad$ised the contractor on what was correct, what was wrong, and what remained to be done to comply with the contract. (his not only restricted contractors and burdened contracting agencies and owners, but it placed the responsibility for control of construction -uality with the contracting agency or owner. *nder the Construction Quality Management system, 121H

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QC responsibility now belongs with the contractor. 'o$ernment QA personnel are responsible for periodically $erifying that the contractor7s system of -uality control is wor/ing effecti$ely and that construction complies with contract re-uirements. .n doing this, the Corps and !A"#AC are actually performing -uality assurance, not assuming responsibility for -uality control. C. -enefits to t)e Contractor: +ffecti$e CQC will greatly reduce the largest unnecessary cost to the contractor22the tear out and replacement cost stemming from deficient wor/manship and materials. An effecti$e CQC program causes wor/ to be done correctly the first time. (he contractor benefits from earlier completion, reduced field o$erhead costs, and the ability to do a greater $olume of business. 9educed costs result in greater profits for the contractor. Iigh -uality performance impro$es the reputation and image of the contractor leading to possible future contracts. Since safety is an integral part of CQC, the contractor benefits by e0periencing less lost2time and fewer insurance claims, which result in greater profit. Contractor personnel ta/e pride in deli$ery of a -uality product. >hile this benefit cannot be measured -uantitati$ely, it is a real and $ery important benefit.

D.

-enefits to t)e (overn#ent: Manpower is more effecti$ely used, which helps the contract administration offices to maintain effecti$e operations in a time of diminishing resources. +ffecti$e CQC results in fewer deficiencies and correcti$e efforts, which may lead to an earlier completion since there is a reduction in correcti$e wor/ by contractor forces. Eublic relations and client customer satisfaction are impro$ed when pro:ects are completed on time.

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As with contractor personnel, 'o$ernment personnel ta/e pride in the deli$ery of a -uality product. Cost and time growth are minimi,ed.

-enefits to t)e Client/Custo#er : +ffecti$e CQC can be simply stated22a -uality product deli$ered safely, on time, and within the budget. Presentin" t)e Pro"ra#: .t is the responsibility of both the 'o$ernment and the contractor to de$elop and promote the CQC program. (his effort in JpartneringJ will be a much more pleasant e0perience than the traditional use of enforcement to ensure that a -uality product is deli$ered.

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&'&RCIS& Submodule 1(1 1. >hat is the difference between .!SE+C(.;! and C;!(9;QP

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>ho has contractual responsibility for -uality controlP

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.s the following statement (9*+ or #AQS+: JCQC is principally concerned with inspectionPJ +0plain.

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Iow does the contractor benefit from effecti$e CQCP

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!ame the benefits of effecti$e CQC that accrue to the 'o$ernment.

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Module 1: INTRODUCTION Submodule 2: Contractor and /o%ernment Res*onsibilities Ob$ecti%es: After completing this submodule, you will be able to: Discuss the specific responsibilities of: 2 2 A. Contractor personnel engaged in CQC. 'o$ernment personnel engaged in QA.

Discuss how the responsibilities of contractor and 'o$ernment personnel interrelate and are mutually supporti$e. Discuss partnering relationships.

Quality Control 3ersonnel: As stated pre$iously, CQC is a contractor responsibility. (he role and responsibilities of the contractor in CQC are clearly specified in the contract documents. (he contractor is re-uired to place a competent representati$e, the QC Manager, on the site to o$ersee the CQC system. Ie must ha$e full written authority to act for the contractor on all CQC matters. QC Manager=s responsibilities per the specification include but are not limited to: Controlling the -uality specified in the plans and specifications, de$eloping and maintaining an effecti$e CQC system, stopping wor/, performance of all control acti$ities and tests, and preparation of acceptable documentation of CQC acti$ities.

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Contractor personnel must remember that only the Contracting ;fficer has the authority to change the contract. (herefore, all communication concerning contract changes must be with the Contracting ;fficer and or an authori,ed representati$e of the Contracting ;fficer. !o directions concerning the pro:ect wor/ can be accepted from a third party, including representati$es of the facility user or of the base, or post. ). The /o%ernment: (he role and responsibilities of the contractor in CQC are clearly specified in the contract documents. (he roles and responsibilities of 'o$ernment QA personnel are distinct. (hey are re-uired to assure that the specified standard of wor/manship with the specified materials and within the limits of the contract are pro$ided. #urther, they must re-uire the contractor to maintain the -uality specified in the plans and specifications from the $ery beginning. Another responsibility of QA personnel is to conduct onsite business only with the contractor=s QC Manager superintendent. (hey should not deal directly with subcontractors and indi$idual craftsmen, but should coordinate through the prime contractor. QA personnel are trained to obser$e all acti$ities of the CQC staff and to recommend to the Contracting ;fficer re-uire changes in the CQC organi,ation and or system, if the contract re-uirements are not being met. C. Communications: Most contractors want to build a -uality product within the terms of the contract, as they percei$e them. Iowe$er, it is critical that the contractor and the 'o$ernment interpret the plans and specifications in the same way. (his re-uires clear and effecti$e communication between 'o$ernment and contractor. (his is the $ery heart of the Construction Quality Management program, and is dependent on mutual cooperation. QA personnel must maintain an honest, candid, professional attitude3 the contractor must respond in the same manner. 3artnerin : Eartnering is a long2term commitment between two or more organi,ations for the purpose of achie$ing specific business ob:ecti$es by ma0imi,ing the effecti$eness of each participant=s resources. Eartnering relationships are based upon trust, dedication to common goals, understanding and assistance to reach each others indi$idual e0pectations and $alues. Eartnering is not a legally binding relationship. 9ather it is a commitment and agreement between the parties to: 9emo$e organi,ational impediments to open communication within the team. Ero$ide open and complete access to information %e0cept information 124D

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specifically e0cluded by law, regulation, or ethical re-uirements&. +mpower the wor/ing le$el staff to resol$e as many issues as possible. 9each decisions by consensus as much as possible and when consensus is not possible, achie$e resolution in a timely manner using an agreed upon process for resol$ing disagreements. (a/e :oint responsibility for maintaining and nurturing the partnering relationship.

Eartnering should not be interpreted as a means to open the door to the compromise of contract re-uirements established in the plans and specifications. (he -uality of the pro:ect is established by those re-urirements and the contractor is bound to pro$ide the le$el of -uality specified. Eartnering is entered into either formally or informally. A formally partnered :ob re-uires a trained, independent facilitator. .nformally partnered :obs are those where there is no independent facilitator, but the parties meet using a mutually determined agenda and agreement on goals and procedures is informally reached. .n either case, a written partnering charter is de$eloped and signed by all sta/eholders. (he final result is the de$elopment of trust and effecti$e communications. +. Summary: +ffecti$e Construction Quality Management re-uires the complete cooperation of the contractor and the 'o$ernment. >hen this partnership wor/s effecti$ely, the pro:ect will run smoothly and efficiently. (he contractor impro$es his profit margin and the end product will satisfy the client customer.

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&'&RCIS& Submodule 1(2 1. >hat is the role and responsibilities of the contractor in CQCP (he contractor is re-uired to place a competent representati$e, the QC Manager, on the site to o$ersee the CQC system. Ie must ha$e full written authority to act for the contractor on all CQC matters >hat are the responsibilities of the contractor7s QC ManagerP Controlling the -uality specified in the plans and specifications, de$eloping and maintaining an effecti$e CQC system, stopping wor/, performance of all control acti$ities and tests, and >hat are the QA responsibilities of the 'o$ernmentP 2 (hey are re-uired to assure that the specified standard of wor/manship with the specified materials and within the limits of the contract are pro$ided. 2 (hey must re-uire the contractor to maintain the -uality specified in the plans and specifications from the $ery beginning. 2 QA personnel is to conduct onsite business only with the contractor=s QC Manager superintendent 2 (hey should obser$e all acti$ities of the CQC staff and to recommend to the Contracting ;fficer re-uire changes in the CQC organi,ation and or system, if the contract re-uirements are not being met. !ame the items upon which partnering relationships are based. Eartnering relationships are based upon trust, dedication to common goals, understanding and assistance to reach each others, indi$idual e0pectations and $alues.

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