Review of Qualitative Approaches For The Construction Industry: Designing A Risk Management Toolbox
Review of Qualitative Approaches For The Construction Industry: Designing A Risk Management Toolbox
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pISSN : 2093-7911
eISSN : 2093-7997
Review
Review of Qualitative Approaches
for the Construction Industry: Designing a Risk
Management Toolbox
David M. ZALK1, Ton SPEE2, Matt GILLEN3, Thomas J. LENTZ4,
Andrew GARROD5, Paul EVANS5 and Paul SWUSTE6
1
Environment, Safety, and Health Directorate, Lawrence Livermore National Laboratory, Livermore, CA, USA, 2Research and Development
Arbouw, Harderwijk, The Netherlands, 3Construction Program, National Institute for Occupational Health and Safety, Washington, DC, USA
4
Education and Information Division, National Institute for Occupational Safety and Health, Cincinnati, OH, USA, 5Chemical Risk Management
Unit, Health and Safety Executive, Bootle, Merseyside, UK, 6Safety Science Group, Delft University of Technology, Delft, The Netherlands
Objectives: This paper presents the framework and protocol design for a construction industry risk management toolbox. The
construction industry needs a comprehensive, systematic approach to assess and control occupational risks. These risks span
several professional health and safety disciplines, emphasized by multiple international occupational research agenda projects
including: falls, electrocution, noise, silica, welding fumes, and musculoskeletal disorders. Yet, the International Social Security As-
sociation says, “whereas progress has been made in safety and health, the construction industry is still a high risk sector.”
Methods: Small- and medium-sized enterprises (SMEs) employ about 80% of the world’s construction workers. In recent years
a strategy for qualitative occupational risk management, known as Control Banding (CB) has gained international attention as a
simplified approach for reducing work-related risks. CB groups hazards into stratified risk ‘bands’, identifying commensurate con-
trols to reduce the level of risk and promote worker health and safety. We review these qualitative solutions-based approaches
and identify strengths and weaknesses toward designing a simplified CB ‘toolbox’ approach for use by SMEs in construction
trades.
Results: This toolbox design proposal includes international input on multidisciplinary approaches for performing a qualitative
risk assessment determining a risk ‘band’ for a given project. Risk bands are used to identify the appropriate level of training to
oversee construction work, leading to commensurate and appropriate control methods to perform the work safely.
Conclusion: The Construction Toolbox presents a review-generated format to harness multiple solutions-based national pro-
grams and publications for controlling construction-related risks with simplified approaches across the occupational safety, health
and hygiene professions.
Key Words: Control banding, Qualitative risk management, Construction toolbox, Risk level based management system, Barrier
banding
Introduction
Received: February 28, 2011, Accepted: May 4, 2011 The construction industry is serviced by a collection of trades,
Correspondence to: David M. ZALK many of which have attendant hazards, a high risk of injury
Environment, Safety, and Health Directorate or illness, and involve working in a changing environment.
Lawrence Livermore National Laboratory Despite the existence of recognized and effective solutions and
PO Box 808 L-871, Livermore, CA 94551, USA
guidance for reducing risks from these hazards too frequently
Tel: +1-925-422-8904, Fax: +1-925-422-9974
they are poorly implemented. Control Banding (CB) is a sim-
E-mail: [email protected]
Copyright © 2011 by Safety and Health at Work (SH@W)
This is an open-access article distributed under the terms of the Creative Commons Attribution Non-Commercial License (http://creativecommons.org/licenses/by-nc/3.0/), which permits unrestricted
non-commercial use, distribution, and reproduction in any medium, provided the original work is properly cited.
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plified approach for reducing work-related risks that uses a despite near-identical hazards.
qualitative risk assessment method leading directly to solutions
and, therefore, may be very useful to address this construction Construction industry needs
industry issue. The consequences of construction hazards can The construction industry is dominated by small- and medium-
be severe in terms of morbidity and mortality. Analysis of these sized enterprises (SMEs) who lack full time safety and health
incidence data calculated an average cost of US$27,000 per staff. In the US and NL for instance, about 80% of the con-
incident in construction, almost double the US$15,000 cost per struction companies are SMEs with fewer than 10 employees
case for all industry [1]. [12,13] and in Great Britain (GB) they account for 73% of the
An estimated 7% to 10% of the global workforce works industry’s fatalities [14]. As is true with general industry, the
in the construction industry. But the sector accounts for 30% to accident and occupational disease rates are often twice as high
40% of occupational fatal accidents worldwide: at least 60,000 among SMEs, compared with large enterprises [15]. The con-
per year [2,3]. The risks are similar worldwide, and are in many struction industry is highly competitive and work is typically
cases safety-related [4]. Falls from heights can cause significant awarded to the lowest bidder. Construction worksites are by
injuries, are often fatal, and the fundamental approach neces- their nature temporary, and typically involve multiple contrac-
sary to prevent this accident outcome was described over 3300 tors and subcontractors each present for only a portion of the
years ago (Deuteronomy 22:8). Even so, the numbers for con- project. These and other attributes contribute to hazards and
struction fatalities, injuries, and related costs are generally flat complicate national safety and health enforcement efforts. The
or continue to rise in the US, New Zealand, Taiwan, and The end result is that poor occupational safety, health and hygiene
Netherlands (NL) [5-8]. (OSHH) protection and enforcement shift disproportionate
In addition to injury risks, construction workers are also human and economic costs to the construction worker, their
exposed to a variety of health hazards. Potential hazardous families and communities [16]. Globally, construction employ-
substance exposures include: ers commonly utilize immigrant workers. These employees
·Solvent vapors from glues and paints typically speak non-native languages, may have low literacy
·Acids and alkalis used for cleaning skills resulting in many languages being spoken on a worksite,
·Reactive compounds such as epoxy resins and may have general communication issues between employ-
·Insulation materials, e.g. mineral wool ers and employees that go beyond language and literacy [17].
·‘Natural’ products e.g. quartz (from stone, concrete or Small employers often do the same job as their employees and
brick cutting), wood dust are without time to search for prevention, risk assessment, and
·Fume from heating or burning, e.g. torch cutting, weld- control information. As construction industry management is
ing, diesel exhaust, bitumen often output-oriented, as long as quality, time, and cost criteria
Many construction tasks also present physical hazards, e.g. are met, little thought is given to ensure protective measures
noise, vibration, and handling loads. Occupational hearing loss are used and followed. Often employees decide how the job
in the construction sector remains significant, even in nations is done. Therefore, ‘solutions initiatives’ are best aimed at em-
with strong regulations [9]. An estimated 30% of construc- ployee and employer [16].
tion workers have musculoskeletal disorders (MSD) and back It is unrealistic to expect most SME employers to dis-
pain, even though basic solutions have been available for 100 tinguish among separate OSHH fields. Small construction
years [3,10]. Industry recognition of health hazards is lower employers have been shown to view OSHH risks as the respon-
than that for injury hazards. The casual nature of employment sibility of employees instead of something integrated into their
in construction is likely to conceal disorders and diseases. For company management systems [4]. Few understand accident
example, MSDs could cause the worker to leave construction, prevention or detailed hazard awareness, often with controls
or respiratory disease might not develop until later in life. Com- unavailable or opting for the cheapest control measure [18,19].
plaint data from NL indicate construction workers generally Regulatory enforcement of control measure use is weakest with
do not complain about hazardous substances, with the excep- construction SMEs, and nearly non-existent in most countries
tion of a few specific jobs. However, over 50% of all construc- for accident and MSD prevention [16,19,20]. Effective enforce-
tion laborers complain about dust, apparently without being ment as a means of promoting control solutions use requires
aware that virtually all construction dust contains hazardous intense and sustained efforts that is unlikely to occur given
substances like silica and wood [11]. Even when implemented limited resources and expertise. Consequently, more effective
nationally, control solutions are rarely known or used widely, approaches will involve better mechanisms for reaching SMEs
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with holistic solutions to industry challenges, rather than a reli- measures properly [30,31]. To significantly affect injury and
ance on enforcement and punitive strategies. illness rates in the construction industry, a consistent and coor-
dinated message must present a simplified method for ensur-
Health and safety perspectives ing risk assessment, risk prioritization, and workable solutions
Construction hazards have received considerable attention readily available to workers. Given the similarity of construc-
over the last two decades. Researchers internationally have tion hazards and control implementation problems across dif-
examined hazards, consequences, and costs and developed nu- ferent countries, a strong case can be made for increased global
merous interventions and tailored controls [6,11,16,19,21,22]. collaboration and better utilization of limited resources.
Construction has also grown as a specialty practice area for
OSHH professionals. Although injury and fatality rates have Objective
become relatively flat over the last two decades for larger firms,
injury rates remain high for SME construction firms. Nu- Several initiatives have been presented to overcome the variety
merous research needs remain and transfer of research from of hazards in the construction industry that are multidisci-
peer-reviewed journals to construction practice, and between plinary and multinational. The National Institute for Occu-
countries, has been slow. There is increasing recognition that pational Safety and Health (NIOSH) National Occupational
implementation of evidence-based public health interventions Research Agenda identifies priority construction challenges
of all types is hampered by the near total absence of systems and related goals for seven specific hazards: falls, electrocution,
and infrastructure for marketing and distributing information struck-by hazards, noise, silica, welding fumes, and MSDs [32].
to end users [23]. Many countries are getting more involved The International Social Security Association has created a
with transfer, ranging from developing “Research to Practice” construction-based declaration stating “whereas progress has
programs in the US, to improved packaging of technical guid- been made in safety and health, the construction industry is still
ance in GB, to industry in NL. Increasingly, research programs a high risk sector with respect to accidents and occupational
are attempting to develop more comprehensive approaches to diseases, often resulting in premature death or disability retire-
transfer research findings to practice. ment” [33]. The declaration resolves to “all nations” that “mas-
Respirable quartz dust (silica) provides an excellent ex- sive action must be taken” to address this situation and “the
ample of these gaps and challenges. Silicosis in construction main focus should be risk prevention.” A NIOSH resource also
has been an issue for decades and preventative methods are notes “construction work is an important example for showing
well known to OSHH professionals [24]. Awareness of silica how an application moving directly to exposure controls based
hazards among SME contractors has lagged behind awareness on the task performed is the best use of the Control Banding
of injury hazards. Silica as a recognized hazard in NL began strategy” [31]. The purpose here is exploring possibilities for a
getting attention in the early 1990s [25]. Despite several initia- multidisciplinary approach addressing these initiatives utilizing
tives taken to reduce silica exposure in construction, inconsis- international input. The goal of this paper is investigating the
tent application of control measures has led to early signs of feasibility of utilizing CB strategies to develop a toolbox model
silicosis in newer construction workers [26,27]. Since then, the that addresses risk prevention for the hazards that threat the
Dutch government and the sector jointly invested approximate- construction worker.
ly 16 million euro for developing and implementing measures
to reduce silica exposure [28]. In 2007, however, Dutch Labor Methods
Inspectorate inspections showed only 30% of the construction
companies take measures against dust at high exposure levels This analysis is divided into two parts: (i) overview of solutions-
[22], a figure which is exactly the same as it was before this based models to derive multidisciplinary elements necessary for
investment [26]. In NL, therefore, one can conclude that the the construction industry and (ii) designing a toolbox frame-
investment has not led to implementation of more control mea- work to develop risk ‘bands’ for construction projects and iden-
sures, so far. tify commensurate control methods to perform comparable
Increasingly important is focusing on preventive and con- work safely. The overview provides a presentation of available
trol methods for common work-related hazards [29]. In shift- solutions-based models and analyzing them according to their
ing the focus to ‘prevention’, it is vital to transfer information strengths and limitations. Emphasis is given to research find-
comprehensibly, so workers and employers can understand the ings that can be standardized into usable information products
hazards and risks, how they apply, and how to use the control for contractors and workers ensuring solutions generated can be
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Severity - Answer reflects hazard potential without controls in place (Yes = 4 points each)
Chemical
Will there be jack hammering, roto-hammering or similar concrete work Yes□ No□
Will there be breaking or cutting of tiles, masonry or other silica dust work Yes□ No□
Will the job involve welding, soldering, or torch cutting? Yes□ No□
Will work involve chemicals, solvents, painting, brazing or grit blasting? Yes□ No□
Will work be within vaults, manholes, trenches, or tanks >4 feet deep? Yes□ No□
Will the job involve materials or processes requiring respiratory protection? Yes□ No□
Physical
Is there a potential for manual material-handling of items over 40 pounds? Yes□ No□
Is there a potential for repetitive tasks for more than 30 minutes a workshift? Yes□ No□
Is there a potential for repetitive transfer of materials less than 40 pounds? Yes□ No□
Will workers be exposed to elevated noise levels on this job? Yes□ No□
Is there high (e.g. jackhammer) or low vibration (e.g. manned cab vehicles) activity? Yes□ No□
Safety
Will work be performed on or near energized equipment, lines, or circuits? Yes□ No□
Will there be overhead power lines or potential underground or hidden utilities? Yes□ No□
Will workers be working above 6 feet from ground level? Yes□ No□
Will scaffolding or ladders be used and worker access be provided? Yes□ No□
Will there be work cutting, grinding, or breaking of concrete or masonry? Yes□ No□
Will the job involve steel and/or scaffolding erection? Yes□ No□
Will floor, wall, and/or roof openings be created during this job? Yes□ No□
Will crane(s), forklift(s), manlift(s), or other lifting equipment be used? Yes□ No□
Will the subcontractor be using motor vehicles or heavy equipment on-site? Yes□ No□
Number of workers on the jobsite? More than 10□ 6-10□ 3-5□ 1-2□
Dustiness on the jobsite (no controls in place). High (clouds)□ Moderate (visible)□ Low (puff)□ None□
Fuel-, electrical-, & manual- based energy on jobsite? High□ Moderate□ Low□ None□
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Pre-Job Hazard Analysis (PJHA) curing the appropriate control measures per task is performed
In addressing the need for a project specific RL, Table 1 pres- using the solutions-based models identified above prior to work
ents a concept for a PJHA checklist establishing a project- commencement. The PJHA RL outcome assists in identifying
specific band by RL. The table is based on the research-derived when control measures for specific tasks require higher exper-
hazards inherent to construction trades. Its purpose is to score tise then the project lead possesses. As the RL is determined
the hazards within a given construction project. The ‘sever- independently from tasks, higher expertise must be obtained for
ity checklist’ contains common chemical, physical and safety the task or a substitution for a lower risk task approach can be
hazards determined independently from specific tasks. The made.
‘probability checklist’ determines ‘exposure’: the project scale,
duration, number of workers, overall dustiness, and overall ‘po- Training and expertise
tential energy’ estimate for project completion. This estimate The ‘toolbox approach’ takes into account the ‘mentoring re-
is based on the concept: higher inherent potential energy yield lationship’ that is (or should be) present in construction trades.
higher adverse outcome risk from its release. Silica exposures An inexperienced apprentice is teamed with an experienced
are higher from grinding versus manual breaking; metal fume craftsman as mentor, to develop the skills - the knowledge base
exposures are higher from torch cutting than mechanical cut- - of the craft. This process can ensure both competence and
ting. More energy can lead to more noise; more energy is used an understanding of the craft’s OSHH dimensions. Skilled
in manual handling then with dollies, than utilizing machinery. workers are differentiated from apprentices by ‘card-carrying’
Higher energy equipment has more severe consequences in status, certifying ‘skill-of-the-craft’. Many European countries
the event of electric shock, or heavy equipment failure. Work and US states require, or are working to require, card-carrying
at height or in trenches implies a potential energy released construction trade workers on jobsites, ensuring they possess
through a fall. Responses to ‘severity’ and ‘probability’ should the skill-of-the-craft to perform their work to codes and regula-
avoid consideration of control measures. tions. In GB, the Sector Skills Council promotes OSHH skills
Scores for PJHA severity and probability are each indi- for construction employees. Defining ‘levels of training’ in the
vidually added. Each score is then found, within a given range, Construction Toolbox meets this concept. An apprentice may
based on a 4 × 4 matrix (Fig. 1). Their intersection determines attain ‘Basic Craft Skills’ with a minimum of training under a
the RL for the construction project and is the first step in this mentor, working to skill-based ‘Hazard Awareness’ by trade at
Construction Toolbox design. The RL identifies the level of the card-carrying level. In the US, OSHA regulations require
training and expertise to match the inherent project’s risk at the higher level training to become ‘Competent Persons’, to over-
earliest stage [4]. The RL also indicates the degree of expertise see specific activities with inherently higher risk, fitting regula-
needed for project pre-planning. The next step for the project tory requirements discussed above. RL4 work requires ‘Expert
lead is to identify each of the tasks performed on the jobsite. Se- Training’, to assist in understanding and controlling multiple
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model cannot simply be the identification of an RL, CLs, the website, require CGSs that include:
production of control advice, and the barriers and control ·Checklists for control measures and barriers, and
measures in place. Rather, Construction Toolbox use should ·A ‘Work-site Hazard Analysis’ worksheet.
continue through the project, to assist adaptation as the work- The utility of CB toolkits to deliver effective control ad-
site changes. The correct level of expertise can be identified and vice to SMEs through CGSs has been shown through existing
risks controlled at all stages. The more common and easily con- review and critique publications, however the gaps in field
trolled hazards are prioritized as such, represented in the lower studies remain and further research is necessary for the issues
RL categories (RL1 and RL2). It is poor practice to control specific to the construction industry [36,74,75]. These toolkits
lower risks and milder outcomes before higher risks and more also require testing of formats to optimize, for users, ‘drill-down’
severe outcomes. Therefore, a tool for managers’ systematic ap- for access to control advice based on tasks that they recognize.
proach to barriers and controls focuses resources on higher RL Tasks should include variables such as those in Table 1, e.g.
events and CL requirements. Focusing expert OSHH profes- duration, other workers’ proximity, the variety of controls that
sional availability, management-related ‘culpability’ in accident might be available. ‘Drill-downs’ produce CGSs that include
scenarios can also receive appropriate attention. CB is not - task summary and generic control measures and/or barriers,
yet - a banding of risk management. Good risk management or specific CGSs as necessary for tasks. Web-based ‘drill-down’
means reducing high frequency, more severe outcomes from actively linked to the Construction Toolbox have potential for
construction hazards. currency, updating and real-time translations. This would en-
An important point for the use of CB toolkits is the poten- hance the risk management aspect, communicate hazard-to-
tial to identify the appropriate control measures in the absence control to the worker, and offer field-based advice to others in
of expertise. At a training level, simplification and uniformity a participatory format. The PJHA can also be similarly useful.
reinforce retention, implementation and the sustainability of For SMEs, each question can be linked to a brief explana-
prevention. The design of the Construction Toolbox also af- tion and additional resources links as they determine the CL,
fords the opportunity to consider these OSHH prevention task-by-task. The SME manager can begin to consider all op-
concepts at the planning, design, and engineering stages of portunities for hazard or task substitution, and selecting task
construction projects [70]. Such ‘prevention through design’ parameters to reduce the overall expertise required. Users and
approaches are now available in many countries [70-73]. Some experts can score online resources such as CGSs and CL-based
hazards are simply not anticipated. Unnecessary risks may not solutions for utility, simplicity, and effectiveness as feedback, for
appear until workers encounter them during the construction evaluation. SMEs can also get Construction Toolboxes on CD
process. Therefore, additional risk prevention methods can be by trade, having ‘drill-down’ format, but no web-based benefits.
found within NIOSH supported research to gather case studies In seeking to address these issues, the intent is to remain
and to provide a conceptual framework for addressing safety global in scope. However, many of the current control solutions
and health at the project design phase [73]. Banding a project’s are skewed toward a few countries [74]. The United Nations’
RL in pre-project planning therefore offers a complementary Globally Harmonized System of Classification and Labelling
prevention through design within the Construction Toolbox of Chemicals (GHS) is well suited for offering a needed global
framework. consistency in the international identification of chemicals.
The GHS is a system for standardizing and harmonizing the
Requirements classification and labeling of chemicals which would be benefi-
The availability and usefulness of a Construction Toolbox will cial in addressing chemical exposures in construction as there
require: is a clear correspondence between European risk phrases and
·A web-based format for standardized tasks and related GHS classifications for use in CB toolkits [31,36,74,75]. There
CLs that is continually updated, are often national research gaps, so international research and
·Free and readily accessible control guidance that is ac- literature requires locating and consideration. In economically
ceptable, comprehensible and usable, developing countries the number of OSHH professionals and
·Free and readily available web access to existing solu- technicians need substantial growth [74,75]. The Construction
tions-based resources, and Toolbox can become a foundation for training OSHH experts
·A web-based format to share successes and lessons and technicians in construction in university programs, and
learned by both task and trade. spreading expertise through train-the-trainer campaigns. De-
Sharing control solutions and lessons learned, e.g. post on veloped countries can also use such campaigns, with exchange
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of successful control information where language barriers ex- ·Identifies the appropriate level of training to oversee the
ist [75]. The process can work best internationally when key work, and
aspects of the CL approaches in the CGS are communicated ·Enables identification and implementation of suitable
largely through pictorial formats, to minimize the need for control measures for safe working.
translation and standardizing the control expectations [74]. For Such a strategy has long been sought, but never presented
example, the HSE is developing a short series of simple icons in this format. Critical elements of the work remain to be
as an ‘employee checklist’. But this whole context is reliant on done on the research side are:
a Construction Toolbox existence, acceptance, dissemination, ·The validation and verification of this toolbox ap-
and use. Therefore, the authors would advocate that ILO or proach,
WHO set up an international working group to collect and ·Implementation and further evaluation of the PJHA
order existing information and to make this readily available checklist,
(e.g., internet or booklets). In this manner, as experts are lack- ·Practicality of integrating enforcement and national
ing in many developing countries, an initial goal to ‘pick the regulatory compliance,
low-hanging fruit’ would be a solid step in right direction [74]. ·A movement back toward solutions-based practical,
If all countries implemented simple, practical strategies to pre- field research, and
vent accidents, it would be possible to eliminate 83% of safety- ·Multidisciplinary collaborations at local, national, and
related deaths and 74% of accidents annually [76]. international levels.
To appropriately develop the Construction Toolbox com-
Conclusion ponents, the needs in practice are:
·Development of centralized databases at the T2C level
A constant throughout this discussion is recognition that work- expanded across the professions,
ers in the construction industry are involved in a dangerous ·Creation of training packages for SMEs and train-the-
trade. Construction work-related risks are well understood, trainer packages for experts,
but it remains a leader for raised injury, illness and fatality ·Scaling to the Construction Toolbox model to economi-
rates; and associated costs to business, society and families. It cally developing countries, and
is unconscionable that construction remains hazardous, while ·Sharing of successes and limitations as well as field-
resources over decades - statistics, causal factors, and control based feedback and improvement.
measures to reduce risk - are known to OSHH professionals. Further, the creation of the necessary centralized web-
Construction Toolbox development seeks to change the percep- based system to unify an international implementation will
tion that work-related risks in this sector are just safety-related require funding, development, and maintenance ensuring the
and inevitable; rather it emphasizes that chemical and physical Construction Toolbox availability to the world’s construction
exposures abound and are preventable. The concept is a com- SMEs. Delivering such an essential product to SME managers
prehensive tool for the construction industry, to assess and con- is the first, but most important, step. However, without further
trol occupational risks that currently are segmented between analysis and field implementation it will remain just another
OSHH professions. The Construction Toolbox presents a for- publication seeking to reduce the constant stream of work-re-
mat to harness multiple solutions-based national programs and lated injuries and illnesses, an abhorrent mark on the construc-
publications for controlling construction-related risks across the tion industry worldwide.
OSHH professions. CB and Barrier Banding have been united
in this RLBMS format using simplified risk assessment and risk Construction Solutions-Based
management strategies. Multiple OSHH professional expertise Internet Resources
unite in this framework to organize, communicate, and imple-
ment risk reduction programs at a construction jobsite. Our HSE Construction Silica Essentials
intent was to propose a simplified risk banding approach for OSHA Construction Industry assistance
the SMEs that employ over 80% of the world’s construction University of Washington silica solutions
workers. University of Washington noise hearing loss, construction
This occupational risk management toolbox strategy: NIOSH Construction Health and Safety solutions
·Uses a qualitative risk assessment approach to deter- NIOSH Respirator resource
mine an RL ‘band’ for a given project, The Center for Construction Research and Training
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