Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods, Volume 1: Design–Build Delivery (2020)

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© 2019 National Academy of Sciences. All rights reserved. ACKNOWLEDGMENTS The research for this document was conducted through one or more programs administered by the Cooperative Research Programs (CRP) of the Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine:  Airport Cooperative Research Program (ACRP) research is sponsored by the Federal Aviation Administration (FAA).  Hazardous Materials Cooperative Research Program (HMCRP) research is sponsored by the Pipeline and Hazardous Materials Safety Administration (PHMSA).  National Cooperative Freight Research Program (NCFRP) research is sponsored by the Office of the Assistant Secretary for Research and Technology.  National Cooperative Highway Research Program (NCHRP) research is sponsored by the American Association of State Highway and Transportation Officials (AASHTO), in cooperation with the Federal Highway Administration (FHWA).  National Cooperative Rail Research Program (NCRRP) research is sponsored by the Federal Railroad Administration.  Transit Cooperative Research Program (TCRP) research is sponsored by the Federal Transit Administration (FTA) in cooperation with the Transit Development Corporation. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply endorsement by TRB and any of its program sponsors of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. DISCLAIMER To facilitate more timely dissemination of research findings, this pre-publication document is taken directly from the submission of the research agency. The material has not been edited by TRB. The opinions and conclusions expressed or implied in this document are those of the researchers who performed the research. They are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board, the National Academies, and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report. This pre-publication document IS NOT an official publication of the Cooperative Research Programs; the Transportation Research Board; or the National Academies of Sciences, Engineering, and Medicine. Recommended citation: Molenaar, K. R., D. Alleman, A. Therrien, K. Sheeran, M. El Asmar, and D. Papajohn. 2019. Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods, Volume 1: Design-Build Delivery. Pre-publication draft of NCHRP Research Report 939. Transportation Research Board, Washington, D.C.

ACKNOWLEDGMENTS The National Cooperative Highway Research Program acknowledges this guidebook would not be possible without the input and guidance received from the members of the NCHRP Project 08-104 Panel and those listed below. The members of the Consultant Team: Stuart Anderson, Texas A&M Wylie Bearup, Arizona State University Kristen Betty, KBA Inc. Cliff Schexnayder, Arizona State University, Professor Emeritus Roy Sturgill, Kentucky Transportation Research Center Dave Zanetell, Kraemer North America The members of the Peer Review Team: John Carlson, Sundt Construction Lisa Choplin, Maryland Department of Transportation Peter Davich, Minnesota Department of Transportation James Ernzen, Arizona State University Teresa Foster Eckard, Washington Department of Transportation Edward Hammontree, Federal Lands Highway Bill Hinton, Dispute Resolution Board Foundation Ben Huot, Utah Department of Transportation Jake Goettle, Montana Department of Transportation Jean Nehme, Arizona Department of Transportation Matthew Pacheco, Colorado Department of Transportation Mark D. Rolfe, Connecticut Department of Transportation David Sadler, Florida Department of Transportation Steve Waddle, Kentucky Department of Transportation The following agencies who contributed case studies and/or guidebook testing: Arizona Department of Transportation California Department of Transportation Central Federal Lands Highway Division Colorado Department of Transportation Connecticut Department of Transportation E-470 Public Highway Authority Federal Highway Administration, Central Federal Lands Highway Division Florida Department of Transportation Georgia Department of Transportation iii

Hawaii Department of Transportation Maryland Department of Transportation Michigan Department of Transportation Minnesota Department of Transportation Missouri Department of Transportation New York State Department of Transportation North Carolina Department of Transportation Pennsylvania Department of Transportation Utah Department of Transportation Vermont Transportation Agency Virginia Department of Transportation Washington State Department of Transportation iv

Contents Chapter 1.Introduction ........................................................................................................................ 1  1.1 Introduction ......................................................................................................................................... 1  1.2 Guidebook Overview ........................................................................................................................... 1  1.3 Design‐Build Background ..................................................................................................................... 1  1.4 Industry Need for Guidebook .............................................................................................................. 2  1.5 Key Guidebook Terms .......................................................................................................................... 2  1.6 Guidebook Development ..................................................................................................................... 3  1.7 Overview of Post‐Award Phases and Tools ......................................................................................... 4  1.8 Reader’s Guide ..................................................................................................................................... 6  Chapter 2.Overarching Contract Administration Strategies .................................................................. 8  2.1 Introduction ......................................................................................................................................... 8  2.2 Alignment Strategy .............................................................................................................................. 9  2.3 Scope Strategy ................................................................................................................................... 10  2.4 Design Quality Strategy ..................................................................................................................... 10  2.5 Construction Quality Strategy ........................................................................................................... 11  2.6 Construction Efficiency Strategy ........................................................................................................ 11  2.7 Summary ............................................................................................................................................ 12  Chapter 3.Pre‐Award Phase Administration ....................................................................................... 13  3.1 Introduction ....................................................................................................................................... 13  3.2 D‐B Pre‐Award Activities that Impact Contract Administration ........................................................ 13  3.3 Summary ............................................................................................................................................ 17  Chapter 4.Alignment Phase Administration ....................................................................................... 18  4.1 Introduction ....................................................................................................................................... 18  4.2 D‐B Contract Administration Process ................................................................................................ 18  4.3 Agency Contract Administration Tools .............................................................................................. 18  4.4 Summary ............................................................................................................................................ 21  Chapter 5.Design Phase Administration ............................................................................................. 22  5.1 Introduction ....................................................................................................................................... 22  5.2 D‐B Contract Administration Process ................................................................................................ 22  5.3 Agency Contract Administration Tools .............................................................................................. 23  5.4 Summary ............................................................................................................................................ 27  v

Chapter 6.Construction Phase Administration .................................................................................... 28  6.1 Introduction ....................................................................................................................................... 28  6.2 D‐B Construction Process Overview .................................................................................................. 28  6.3 Construction Phase Contract Administration Tools .......................................................................... 29  6.4 Summary ............................................................................................................................................ 32  Chapter 7.Closeout Phase Administration .......................................................................................... 34  7.1 Introduction ....................................................................................................................................... 34  7.2 D‐B Contract Administration Process ................................................................................................ 34  7.3 Closeout Phase Contract Administration Tools ................................................................................. 35  7.4 Summary ............................................................................................................................................ 36  Chapter 8.Guidebook Implementation ............................................................................................... 37  8.1 Introduction ....................................................................................................................................... 37  8.2 Organizational Level Goals ................................................................................................................ 37  8.3 Project Level – Goals .......................................................................................................................... 42  8.4 Agency D‐B Contract Administration Training ................................................................................... 44  8.5 Summary ............................................................................................................................................ 45  Appendix A: Contract Administration Tools ...................................................................................... A‐1  1 Kickoff Meeting ........................................................................................................................... A‐4  2 Roles and Responsibilities ................................................................................................................... A‐8  3 Confidential One‐on‐One Meeting ............................................................................................. A‐14  4 Glossary of Terms ...................................................................................................................... A‐23  5 Co‐location of Key Personnel ............................................................................................................ A‐25  6 Regulatory Agency Partnering .......................................................................................................... A‐28  7 External Stakeholder Coordination Plan ........................................................................................... A‐31  8 D‐B Specific Partnering ..................................................................................................................... A‐36  9 Continuity of Team Members ........................................................................................................... A‐41  10 FHWA Involvement Overview ......................................................................................................... A‐47  11 Permit Commitment Database ................................................................................................. A‐51  12 Plan Standards ................................................................................................................................ A‐55  13 Deviations from Agency Standards ................................................................................................. A‐58  14 Discipline Task Force ................................................................................................................ A‐61  15 Independent Party Design Review ............................................................................................ A‐64  16 Cost Savings Matrix ........................................................................................................................ A‐67  vi