. ASCE MANUALS AND REPORTS ON ENGINEERING PRACTICE NO 73 QUALITY IN THE CONSTRUCTED PROJECT , A GUIDE FOR OWNERS , DESIGNERS AND CONSTRUCTORS THIRDEDITION Library of Congress Cataloging-in-Publication Data American Society of Civil Engineers, author. Quality in the constructed project : a guide for owners, designers, and constructors.—Third edition. p. cm.—(ASCE manuals and reports on engineering practice ; no. 73) Includes bibliographical references and index. ISBN 978-0-7844-1189-6 (pbk. : alk. paper) — ISBN 978-0-7844-7641-3 (ebook : alk. paper) 1. Engineering—Management—Handbooks, manuals, etc. 2. Building—Quality control— Handbooks, manuals, etc. 3. Civil engineering—Specifications—Handbooks, manuals, etc. I. Title. TA190.A54 2012 624.068'4—dc23 2011041715 Published by American Society of Civil Engineers 1801 Alexander Bell Drive Reston, Virginia 20191 www.asce.org/pubs Any statements expressed in these materials are those of the individual authors and do not nec- essarily represent the views of ASCE, which takes no responsibility for any statement made herein. No reference made in this publication to any specific method, product, process, or service consti- tutes or implies an endorsement, recommendation, or warranty thereof by ASCE. The materials are for general information only and do not represent a standard of ASCE, nor are they intended as a reference in purchase specifications, contracts, regulations, statutes, or any other legal document. 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All Rights Reserved. ISBN 978-0-7844-1189-6 (paper) ISBN 978-0-7844-7641-3 (ebook) Manufactured in the United States of America. 18 17 16 15 14 13 12 11 1 2 3 4 5 MANUALS AND REPORTS ON ENGINEERING PRACTICE (As developed by the ASCE Technical Procedures Committee, July 1930, and revised March 1935, February 1962, and April 1982) A manual or report in this series consists of an orderly presentation of facts on a particular subject, supplemented by an analysis of limitations and appli- cations of these facts. It contains information useful to the average engineer in his or her everyday work, rather than findings that may be useful only occa- sionally or rarely. It is not in any sense a “standard,” however; nor is it so ele- mentary or so conclusive as to provide a “rule of thumb” for nonengineers. Furthermore, material in this series, in distinction from a paper (which expresses only one person’s observations or opinions), is the work of a committee or group selected to assemble and express information on a specific topic. As often as practicable, the committee is under the direction of one or more of the Technical Divisions and Councils, and the product evolved has been sub- jected to review by the Executive Committee of the Division or Council. As a step in the process of this review, proposed manuscripts are often brought before the members of the Technical Divisions and Councils for comment, which may serve as the basis for improvement. When published, each work shows the names of the committees by which it was compiled and indicates clearly the several pro cesses through which it has passed in review, in order that its merit may be definitely understood. In February 1962 (and revised in April 1982) the Board of Direction voted to establish a series entitled “Manuals and Reports on Engineering Practice,” to include the Manuals published and authorized to date, future Manuals of Professional Practice, and Reports on Engineering Practice. All such Manual or Report material of the Society would have been refereed in a manner approved by the Board Committee on Publications and would be bound, with applicable discussion, in books similar to past Manuals. Numbering would be consecutive and would be a continuation of present Manual numbers. In some cases of reports of joint committees, bypassing of Journal publications may be authorized. MANUALS AND REPORTS OF ENGINEERING PRACTICE CURRENTLY AVAILABLE No. Title No. Title 28 Hydrology Handbook, Second 99 Environmental Site Characterization Edition and Remediation Design Guidance 45 How to Select and Work Effectively 100 Groundwater Contamination by with Consulting Engineers: Organic Pollutants: Analysis and Getting the Best Project, Remediation 2012 Edition 101 Underwater Investigations 50 Planning and Design Guidelines 102 Design Guide for FRP Composite for Small Craft Harbors, Connections Revised Edition 103 Guide to Hiring and Retaining Great 54 Sedimentation Engineering, Classic Civil Engineers Edition 104 Recommended Practice for Fiber- 60 Gravity Sanitary Sewer Design and Reinforced Polymer Products for Construction, Second Edition Overhead Utility Line Structures 62 Existing Sewer Evaluation and 105 Animal Waste Containment in Rehabilitation, Third Edition Lagoons 66 Structural Plastics Selection 106 Horizontal Auger Boring Projects Manual 107 Ship Channel Design and Operation 67 Wind Tunnel Studies of Buildings 108 Pipeline Design for Installation by and Structures Horizontal Directional Drilling 71 Agricultural Salinity Assessment and 109 Biological Nutrient Removal (BNR) Management, Second Edition Operation in Wastewater Treatment 73 Quality in the Constructed Project: A Plants Guide for Owners, Designers, and 110 Sedimentation Engineering: Constructors, Third Edition Processes, Measurements, 74 Guidelines for Electrical Modeling, and Practice Transmission Line Structural 111 Reliability-Based Design of Utility Loading, Third Edition Pole Structures 77 Design and Construction of Urban 112 Pipe Bursting Projects Stormwater Management Systems 113 Substation Structure Design Guide 81 Guidelines for Cloud Seeding to 114 Performance-Based Design of Augment Precipitation, Second Structural Steel for Fire Conditions Edition 115 Pipe Ramming Projects 85 Quality of Ground Water 116 Navigation Engineering Practice and 91 Design of Guyed Electrical Ethical Standards Transmission Structures 117 Inspecting Pipeline Installation 92 Manhole Inspection and 118 Belowground Pipeline Networks for Rehabilitation, Second Edition Utility Cables 94 Inland Navigation: Locks, Dams, and 119 Buried Flexible Steel Pipe: Design Channels and Structural Analysis 96 Guide to Improved Earthquake 120 Trenchless Renewal of Culverts and Performance of Electric Power Storm Sewers Systems 121 Safe Operation and Maintenance of 97 Hydraulic Modeling: Concepts and Dry Dock Facilities Practice 122 Sediment Dynamics upon Dam 98 Conveyance of Residuals from Water Removal and Wastewater Treatment Dedicated to James W. Poirot, P.E. 1931–2011 The third edition of this very important ASCE manual is dedicated to James W. Poirot, P.E., President of ASCE in 1994 and principal advocate for the material contained in this manual. In November 1984, nearly 100 members of the design and construction indus- try convened for a workshop in Chicago to discuss ways of attaining quality in planning, design, and construction. Those attending agreed on several related points. First, accidents, design flaws, cost overruns, and other similar problems were occurring at a serious rate. The collapse of two suspended walkways in the Kansas City Regency in 1981, killing 114 and injuring 185, was one of the more recent tragic incidents. But not all incidents or problems were as serious or as widely publicized as the Regency. Losses measured in dollars without loss of life were also serious concerns that were addressed. It was agreed that the American Society of Civil Engineers, the principal spon- sor of the Chicago workshop, should develop and publish a comprehensive guide to quality in design and construction (Manual of Professional Practice for Quality in the Constructed Project). James Poirot volunteered to lead the steering committee, which consisted of 40 authors and some 90 reviewers from throughout the industry—a daunting task. Thanks to Poirot’s determination and leadership the task was successful and led to the initial publication of the preliminary edition for trial use and com- ment in 1988. His work remains as the very substantial foundation for this third edition. This page intentionally left blank CONTENTS PREFACE TO THE THIRD EDITION xi ACKNOWLEDGMENTS xiii EXECUTIVE SUMMARY xv CHAPTER 1: INTRODUCTION 1 1.1 The Members of the Project Team 1 1.2 Team Member Requirements 2 1.3 Team Member Responsibilities 3 1.4 Defining Key Terms 4 1.5 Balancing Team Member Requirements 6 1.6 The Obligations of Team Members 6 1.7 Principal Themes of This Guide 7 CHAPTER 2: THE OWNER’S ROLE AND REQUIREMENTS 9 2.1 The Owner’s Role 9 2.2 Project Goals 10 2.3 Achieving Project Goals 10 2.4 Establishing Project Objectives 10 2.5 Team Member Requirements 12 2.6 Timing and Duration of Participation 12 CHAPTER 3: PROJECT DELIVERY SYSTEMS 15 3.1 Owner-Provided Delivery 16 3.2 Traditional Design-Bid-Build 17 3.3 Construction Management 18 3.4 Design-Build 19 3.5 Design-Build Variations 21 3.6 Fast-Tracking: A Distinction 23 CHAPTER 4: THE PROJECT TEAM 25 4.1 Traditional Team Organization and Variations 25 4.2 The Owner’s Team 26 4.3 The Design Professional’s Team 29 4.4 The Constructor’s Team 30 4.5 Common Interests 31 CHAPTER 5: COORDINATION AND COMMUNICATION 33 5.1 Key Team Members 33 5.2 Developing Coordination Processes 34 5.3 Team Member Relationships 36 5.4 Characteristics of Good Communication 37 5.5 Timing and Critical Moments 41 5.6 Frequency of Communication 41 5.7 Conflict and Disagreement 42 vii CHAPTER 6: SELECTING THE DESIGN PROFESSIONAL 45 6.1 Project Goals and the Design Professional’s Scope of Services 45 6.2 Qualifications-Based Selection 46 6.3 Competitive Bidding 50 6.4 Two-Envelope Selection 51 CHAPTER 7: AGREEMENT FOR PROFESSIONAL SERVICES 55 7.1 Purpose of the Professional Services Agreement 56 7.2 Elements of the Agreement 56 7.3 Standard-Form Agreements 61 7.4 Short-Form Agreements 62 7.5 Other Design Contracts 62 7.6 Cautions Concerning Non-Traditional Contracting Relationships 65 7.7 Joint Venture and Partnering Arrangements 65 CHAPTER 8: ALTERNATIVE STUDIES AND PROJECT IMPACTS 69 8.1 Project Conceptualization 70 8.2 Existing Conditions and Future Needs Analysis 70 8.3 Framework for Developing Conceptual Alternatives 71 8.4 Investigating and Selecting Conceptual Alternatives 73 8.5 Environmental Documentation and Permitting 78 8.6 Public Involvement 79 CHAPTER 9: PLANNING AND MANAGING DESIGN 83 9.1 Organizing for Design 83 9.2 The Design Team 85 9.3 Construction Cost Estimate 87 9.4 Coordination and Communication During Design 87 9.5 Monitoring and Controlling Design Cost and Schedule 88 CHAPTER 10: DESIGN DISCIPLINE COORDINATION 91 10.1 Levels of Design Discipline Organization 91 10.2 Design Disciplines and Project Objectives 92 10.3 General Design Team Coordination Considerations 95 10.4 Role of the Professional Discipline Leader During Design 96 10.5 Role of the Design Professional During Construction 97 CHAPTER 11: GUIDELINES FOR DESIGN ACTIVITIES 99 11.1 General Operation 99 11.2 Design Procedures 101 11.3 Design Activities and Responsibilities 103 CHAPTER 12: PRE-CONTRACT PLANNING FOR CONSTRUCTION 111 12.1 Assessing the Owner’s Capabilities 111 12.2 Resources for Quality Construction 112 12.3 Regulatory Requirements 115 12.4 Construction Site Development 116 12.5 Reviewing Design and Construction Alternatives 116 12.6 Construction Contract Arrangements 117 viii CHAPTER 13: THE CONSTRUCTION TEAM 119 13.1 Assembling the Construction Team 119 13.2 Contracting Strategies and Team Organization 120 13.3 On-Site Construction Team Representatives 121 13.4 Construction Specialty Advisers 125 CHAPTER 14: PROCEDURES FOR SELECTING THE CONSTRUCTOR 127 14.1 Selection Procedures and Qualifications 127 14.2 Constructor Qualifications 129 14.3 Selection by Competitive Bidding 129 14.4 Selection Procedures for Competitive Negotiated Contracts 132 14.5 Selection Procedures for Noncompetitive Negotiated Contracts 133 CHAPTER 15: THE CONSTRUCTION CONTRACT 135 15.1 Functions of the Construction Contract Relating to Quality 135 15.2 Role of the Design Professional in the Construction Contract 136 15.3 Defining and Preparing the Construction Contract Documents 136 15.4 Standard-Form Construction Contract Documents 137 15.5 International Construction Contracts 138 15.6 Design-Build 139 CHAPTER 16: PLANNING AND MANAGING CONSTRUCTION 141 16.1 Organizing for Construction 141 16.2 Pre-Construction Meetings 143 16.3 Construction Activities 145 16.4 Coordination and Communication During Construction 150 CHAPTER 17: CONSTRUCTION CONTRACT DOCUMENTATION AND SUBMITTALS 153 17.1 Roles and Coordination 153 17.2 Contract Documentation 157 17.3 Technical Submittals 158 CHAPTER 18: CONSTRUCTION CONTRACT ADMINISTRATION 169 18.1 Owner’s Resident Project Representative 169 18.2 Quality Objectives 170 18.3 Construction Site Safety 172 18.4 Payment 173 18.5 Constructor Submittals 177 18.6 Change Orders 177 18.7 Documentation 178 CHAPTER 19: OPERATION AND MAINTENANCE 183 19.1 O&M During Planning and Design 184 19.2 O&M During Construction 185 19.3 O&M During Commissioning 186 19.4 O&M During Operation 188 ix