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ACRP AIRPORT COOPERATIVE RESEARCH PROGRAM REPORT 21 Sponsored by the Federal Aviation Administration A Guidebook for Selecting Airport Capital Project Delivery Methods

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ACRP OVERSIGHT COMMITTEE* TRANSPORTATION RESEARCH BOARD 2009 EXECUTIVE COMMITTEE* CHAIR OFFICERS James Wilding CHAIR: Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley Independent Consultant VICE CHAIR: Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington VICE CHAIR EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board Jeff Hamiel MinneapolisSt. Paul MEMBERS Metropolitan Airports Commission J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY MEMBERS Allen D. Biehler, Secretary, Pennsylvania DOT, Harrisburg James Crites Larry L. Brown, Sr., Executive Director, Mississippi DOT, Jackson DallasFort Worth International Airport Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Richard de Neufville Norfolk, VA Massachusetts Institute of Technology William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles Kevin C. Dolliole Unison Consulting David S. Ekern, Commissioner, Virginia DOT, Richmond John K. Duval Nicholas J. Garber, Henry L. Kinnier Professor, Department of Civil Engineering, University of Beverly Municipal Airport Virginia, Charlottesville Kitty Freidheim Jeffrey W. Hamiel, Executive Director, Metropolitan Airports Commission, Minneapolis, MN Freidheim Consulting Edward A. (Ned) Helme, President, Center for Clean Air Policy, Washington, DC Steve Grossman Oakland International Airport Will Kempton, Director, California DOT, Sacramento Tom Jensen Susan Martinovich, Director, Nevada DOT, Carson City National Safe Skies Alliance Debra L. Miller, Secretary, Kansas DOT, Topeka Catherine M. Lang Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore Federal Aviation Administration Pete K. Rahn, Director, Missouri DOT, Jefferson City Gina Marie Lindsey Los Angeles World Airports Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson Carolyn Motz Tracy L. Rosser, Vice President, Regional General Manager, Wal-Mart Stores, Inc., Mandeville, LA Hagerstown Regional Airport Rosa Clausell Rountree, CEOGeneral Manager, Transroute International Canada Services, Inc., Richard Tucker Pitt Meadows, BC Huntsville International Airport Steven T. Scalzo, Chief Operating Officer, Marine Resources Group, Seattle, WA Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO EX OFFICIO MEMBERS C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin Sabrina Johnson Linda S. Watson, CEO, LYNXCentral Florida Regional Transportation Authority, Orlando U.S. Environmental Protection Agency Steve Williams, Chairman and CEO, Maverick Transportation, Inc., Little Rock, AR Richard Marchi Airports Council International--North America Laura McKee EX OFFICIO MEMBERS Air Transport Association of America Thad Allen (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, Washington, DC Henry Ogrodzinski National Association of State Aviation Officials Peter H. Appel, Administrator, Research and Innovative Technology Administration, U.S.DOT Melissa Sabatine J. Randolph Babbitt, Administrator, Federal Aviation Administration, U.S.DOT American Association of Airport Executives Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA Robert E. Skinner, Jr. George Bugliarello, President Emeritus and University Professor, Polytechnic Institute of New York Transportation Research Board University, Brooklyn; Foreign Secretary, National Academy of Engineering, Washington, DC James E. Caponiti, Acting Deputy Administrator, Maritime Administration, U.S.DOT SECRETARY Cynthia Douglass, Acting Deputy Administrator, Pipeline and Hazardous Materials Safety Christopher W. Jenks Administration, U.S.DOT Transportation Research Board LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC Edward R. Hamberger, President and CEO, Association of American Railroads, Washington, DC John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC Rose A. McMurry, Acting Deputy Administrator, Federal Motor Carrier Safety Administration, U.S.DOT Ronald Medford, Acting Deputy Administrator, National Highway Traffic Safety Administration, U.S.DOT William W. Millar, President, American Public Transportation Association, Washington, DC Jeffrey F. Paniati, Acting Deputy Administrator and Executive Director, Federal Highway Administration, U.S.DOT Peter Rogoff, Administrator, Federal Transit Administration, U.S.DOT Joseph C. Szabo, Administrator, Federal Railroad Administration, U.S.DOT Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC *Membership as of June 2009. *Membership as of June 2009.

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AIRPORT COOPERATIVE RESEARCH PROGRAM ACRP REPORT 21 A Guidebook for Selecting Airport Capital Project Delivery Methods Ali Touran NORTHEASTERN UNIVERSITY Boston, MA Douglas D. Gransberg UNIVERSITY OF OKLAHOMA Norman, OK Keith R. Molenaar UNIVERSITY OF COLORADO Boulder, CO Payam Bakhshi NORTHEASTERN UNIVERSITY Boston, MA Kamran Ghavamifar NORTHEASTERN UNIVERSITY Boston, MA Subject Areas Aviation Research sponsored by the Federal Aviation Administration TRANSPORTATION RESEARCH BOARD WASHINGTON, D.C. 2009 www.TRB.org

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AIRPORT COOPERATIVE RESEARCH PROGRAM ACRP REPORT 21 Airports are vital national resources. They serve a key role in trans- Project 01-05 portation of people and goods and in regional, national, and inter- ISSN 1935-9802 national commerce. They are where the nation's aviation system ISBN 978-0-309-11804-0 connects with other modes of transportation and where federal respon- Library of Congress Control Number 2009937631 sibility for managing and regulating air traffic operations intersects with the role of state and local governments that own and operate most 2009 Transportation Research Board airports. Research is necessary to solve common operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the airport industry. The Airport Coopera- COPYRIGHT PERMISSION tive Research Program (ACRP) serves as one of the principal means by Authors herein are responsible for the authenticity of their materials and for obtaining which the airport industry can develop innovative near-term solutions written permissions from publishers or persons who own the copyright to any previously to meet demands placed on it. published or copyrighted material used herein. The need for ACRP was identified in TRB Special Report 272: Airport Research Needs: Cooperative Solutions in 2003, based on a study spon- Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the sored by the Federal Aviation Administration (FAA). The ACRP carries understanding that none of the material will be used to imply TRB or FAA endorsement out applied research on problems that are shared by airport operating of a particular product, method, or practice. It is expected that those reproducing the agencies and are not being adequately addressed by existing federal material in this document for educational and not-for-profit uses will give appropriate research programs. It is modeled after the successful National Coopera- acknowledgment of the source of any reprinted or reproduced material. For other uses of tive Highway Research Program and Transit Cooperative Research Pro- the material, request permission from CRP. gram. The ACRP undertakes research and other technical activities in a variety of airport subject areas, including design, construction, mainte- nance, operations, safety, security, policy, planning, human resources, NOTICE and administration. The ACRP provides a forum where airport opera- tors can cooperatively address common operational problems. The project that is the subject of this report was a part of the Airport Cooperative Research Program conducted by the Transportation Research Board with the approval of the The ACRP was authorized in December 2003 as part of the Vision Governing Board of the National Research Council. Such approval reflects the Governing 100-Century of Aviation Reauthorization Act. The primary partici- Board's judgment that the project concerned is appropriate with respect to both the pants in the ACRP are (1) an independent governing board, the ACRP purposes and resources of the National Research Council. Oversight Committee (AOC), appointed by the Secretary of the U.S. The members of the technical advisory panel selected to monitor this project and to review Department of Transportation with representation from airport oper- this report were chosen for recognized scholarly competence and with due consideration ating agencies, other stakeholders, and relevant industry organizations for the balance of disciplines appropriate to the project. The opinions and conclusions such as the Airports Council International-North America (ACI-NA), expressed or implied are those of the research agency that performed the research, and the American Association of Airport Executives (AAAE), the National while they have been accepted as appropriate by the technical panel, they are not Association of State Aviation Officials (NASAO), and the Air Transport necessarily those of the Transportation Research Board, the National Research Council, or the Federal Aviation Administration of the U.S. Department of Transportation. Association (ATA) as vital links to the airport community; (2) the TRB as program manager and secretariat for the governing board; and Each report is reviewed and accepted for publication by the technical panel according to (3) the FAA as program sponsor. In October 2005, the FAA executed a procedures established and monitored by the Transportation Research Board Executive Committee and the Governing Board of the National Research Council. contract with the National Academies formally initiating the program. The ACRP benefits from the cooperation and participation of airport The Transportation Research Board of the National Academies, the National Research professionals, air carriers, shippers, state and local government officials, Council, and the Federal Aviation Administration (sponsor of the Airport Cooperative Research Program) do not endorse products or manufacturers. Trade or manufacturers' equipment and service suppliers, other airport users, and research orga- names appear herein solely because they are considered essential to the clarity and nizations. Each of these participants has different interests and respon- completeness of the project reporting. sibilities, and each is an integral part of this cooperative research effort. Research problem statements for the ACRP are solicited periodically but may be submitted to the TRB by anyone at any time. It is the responsibility of the AOC to formulate the research program by iden- tifying the highest priority projects and defining funding levels and expected products. Once selected, each ACRP project is assigned to an expert panel, appointed by the TRB. Panels include experienced practitioners and research specialists; heavy emphasis is placed on including airport pro- fessionals, the intended users of the research products. The panels pre- pare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and Published reports of the selecting research agencies has been used by TRB in managing cooper- AIRPORT COOPERATIVE RESEARCH PROGRAM ative research programs since 1962. As in other TRB activities, ACRP are available from: project panels serve voluntarily without compensation. Primary emphasis is placed on disseminating ACRP results to the Transportation Research Board Business Office intended end-users of the research: airport operating agencies, service 500 Fifth Street, NW providers, and suppliers. The ACRP produces a series of research Washington, DC 20001 reports for use by airport operators, local agencies, the FAA, and other interested parties, and industry associations may arrange for work- and can be ordered through the Internet at shops, training aids, field visits, and other activities to ensure that http://www.national-academies.org/trb/bookstore results are implemented by airport-industry practitioners. Printed in the United States of America

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COOPERATIVE RESEARCH PROGRAMS CRP STAFF FOR ACRP REPORT 21 Christopher W. Jenks, Director, Cooperative Research Programs Crawford F. Jencks, Deputy Director, Cooperative Research Programs Gwen Chisholm Smith, Senior Program Officer Eileen P. Delaney, Director of Publications Ellen M. Chafee, Editor ACRP PROJECT 01-05 PANEL Field of Administration Rudolph R. Mueller, III, Hillsborough County Aviation Authority, Tampa, FL (Chair) Steven B. Cornell, San Diego County Regional Airport Authority, San Diego, CA Kitty P. Freidheim, Freidheim Consulting, Chicago, IL Frank Giunta, Hill International, Inc., Marlton, NJ Michael Kenig, Holder Construction Company, Atlanta, GA Daniel Molloy, City of Atlanta Department of Aviation, College Park, GA Steve Riano, Bechtel Civil/Global Aviation Engineering, San Francisco, CA Loren W. Smith, DMJM Aviation, Tampa, FL James Szczesniak, Chicago, IL Emily M. Underhill, Lee County Port AuthoritySouthwest Florida International Airport, Ft. Myers, FL Ken Jacobs, FAA Liaison T.J. Schulz, Airport Consultants Council Liaison AUTHOR ACKNOWLEDGMENTS The research herein was performed under ACRP Project 01-05 by a team led by Northeastern Uni- versity. The team consisted of Dr. Ali Touran of Northeastern University, who was the Principal Investi- gator, and two independent consultants, Dr. Douglas D. Gransberg of the University of Oklahoma and Dr. Keith R. Molenaar of the University of Colorado at Boulder. Payam Bakhshi and Kamran Ghavamifar of Northeastern University were research assistants and worked on various parts of this guidebook.

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FOREWORD By Gwen Chisholm Smith Staff Officer Transportation Research Board ACRP Report 21: A Guidebook for Selecting Airport Capital Project Delivery Methods describes various project delivery methods for major airport capital projects. The guidebook also evaluates the impacts, advantages, and disadvantages of these various project delivery methods. The project delivery methods discussed include design-bid-build (DBB), con- struction manager at risk (CMR), and design-build (DB). The guidebook offers a two-tiered project delivery selection framework that may be used by owners of airport projects to eval- uate the pros and cons of each delivery method and select the most appropriate method for their project. Tier 1 is an analytical delivery decision approach that is designed to help the user understand the attributes of each project delivery method and whether the delivery method is appropriate for their specific circumstance. Tier 2 uses a weighted-matrix deliv- ery decision approach that allows users to prioritize their objectives and, based on the pri- oritized objectives, select the delivery method that is best suited for their project. The report will be helpful to airports with determining the most appropriate project delivery methods (e.g., DBB, DB, or CMR) for various types of airport capital projects. With the increasing number of major airport projects (planned and underway) and the variety of project delivery methods available to complete those projects, guidance is needed to assist airport owners and operators with determining the most appropriate project deliv- ery method. The objective of ACRP Project 01-05 was to develop a guidebook to help airports evalu- ate and select the most appropriate project delivery method for major capital projects and evaluate the pros and cons of a contract for the project delivery method. To accomplish the project objective, the research team identified and described pertinent issues related to air- port project delivery and provided analysis of the interactions of these pertinent issues with each project delivery method. The research team also interviewed project directors and financial planners at nine airports to learn how each project delivery method had been implemented on actual airport projects and to collect data relevant to each airport's project delivery and procurement process. In addition, the researchers developed a decision matrix to guide decision-makers on selecting the most appropriate project delivery and contract- ing method(s) in various airport environments. A companion publication to this report, ACRP Web-Only Document 6: Evaluation and Selection of Airport Capital Project Delivery Methods reviews pertinent literature and research findings related to various project delivery methods for airport projects. It contains defini- tions of project delivery methods and discusses the existing selection approaches commonly used by airports. ACRP Web-Only Document 6 can be found on the TRB website (www.trb.org) by searching for "ACRP Web-Only Document 6".

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CONTENTS 1 Summary 3 Chapter 1 Overview 3 Introduction and Purpose 4 Selection System Framework 5 Organization of the Guidebook 6 Chapter 2 Literature Review and Definitions 6 Distinguishing Characteristics of Airport Projects 9 Evolution of Current Alternative Delivery Methods in Airport Projects 10 Definitions of the Delivery Methods 16 Legality of Delivery Methods in Various States 17 Existing Selection Approaches for Project Delivery Methods 19 Timing of Project Delivery Method Selection 20 Chapter 3 Advantages and Disadvantages of Each Project Delivery Method 20 Introduction 20 Project-Level Issues 28 Airport-Level Issues 33 Public Policy/Regulatory Issues 37 Other Issues 39 Conclusion 40 Chapter 4 Tier 1--Analytical Delivery Decision Approach 40 Introduction 42 Application of the Project Delivery Selection System 43 Step 1. Create Project Description 44 Step 2. Define Project Goals 45 Step 3. Review Go/No-Go Decision Points 48 Step 4. Review Project Delivery Method Advantages and Disadvantages 72 Step 5. Choose the Most Appropriate Project Delivery Method 73 Step 6. Document Results 74 Conclusion 75 Chapter 5 Tier 2--Weighted-Matrix Delivery Decision Approach 75 Introduction 77 Step 1. Define Selection Factors 78 Step 2. Weight Selection Factors 79 Step 3. Score Project Delivery Methods 82 Step 4. Choose the Most Appropriate Project Delivery Method 82 Step 5. Document Results 83 Conclusion

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84 Chapter 6 Conclusion 86 Appendix A References 89 Appendix B Definitions of Terms 91 Appendices C Through F