Guide for Design Management on Design-Build and Construction Manager/General Contractor Projects (2014)

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9 Overview of DM Process Framework This document describes the Design Management Process Framework (DMPF) that will guide the agency in shaping a DM approach for D-B and CM/GC projects. Since the nature of the two methods affects the process of implementing DM practices, the framework includes comments specific to each. More specifically, D-B has been used by a majority of agencies to deliver hundreds of projects. As a result, industry practice has produced a diverse set of D-B-specific DM practices, which are all compatible within the specificity of each agency and its constraints. Consequently, the framework pragmatically takes into consideration the diverse nature of D-B implementation by different agencies trying to help readers identify what would work for their agency based on the experience of other agencies. Instead, the majority of agencies has not used CM/GC or has only started to use it. Therefore, fewer DM practices have been developed by the few agencies that have pioneered this method, so far. Consequently, many of the CM/GC-specific framework recommendations are normative in nature and describe how to implement change within an agency so that a pre-selected DM approach would work. Therefore, while general in concept, subsections of this document include comments that are specific to each method. Once a transportation project or program is initiated (Start), an agency usually deploys a process to collect data and information to define the scope of the project, including its expected cost and desired completion date as well as complexity and any constraints that may affect delivery. Using this information, at a certain point, the agency decides if this project/program will be delivered with traditional DBB delivery or with one of the innovative delivery methods available, including D-B and CM/GC (Step 0). Investigating how an agency should select a delivery method in this initial step was not part of the scope of this research. However, since it is important to the correct implementation of the following steps, an extensive review of previous research efforts and industry practices was performed. The DMPF is mostly focused on Steps 1 to 4, which will help an agency identify, select, and implement a feasible and appropriate approach for conducting DM on its project/program. Because each agency and project is unique, different individuals would be involved in identifying, selecting, and implementing DM. Therefore, on any given project, it is not always apparent what agency- or project-specific constraints might limit an agency’s decision for shaping the project delivery at large and the DM approach in particular. To enable success, an agency should identify potential constraints that would affect DM within the project/program and proactively address them (Step 1). After potential constraints have been identified, agency staff should evaluate lessons learned to select and shape a DM implementation approach (Step 2). Chapters 3 and 4 summarize how C H a P T E r 2 Shaping Design Management for D-B and CM/GC To enable success, an agency should identify potential constraints that would affect DM on the project/ program and proactively address them.

10 Guide for Design management on Design-Build and Construction manager/General Contractor Projects to undertake this as well as provide a brief overview of sample applications by different agencies. To illustrate how different approaches have been implemented, a compilation of case studies is also provided for referral (Step 3). Each case study provides a real-life example of a combination of DM practices being utilized on a project or in a program. Synopses of these case studies are included in Chapters 3 and 4 whereas full details are included in the Appendices. Finally, after DM practices have been selected for use on the project, the agency can develop its own implementation plan (Step 4). The implementation plan should provide guidance on how to implement each DM practice within the framework of a specific transportation project or program. Lessons learned and recommendations are provided to supplement the implementation plan. In summary, the process framework consists of the following five steps (see Figure 1): • Step 0. Select innovative delivery path (D-B or CM/GC). • Step 1. Identify the agency’s and project’s constraints. • Step 2. Select DM approach appropriate for addressing the agency’s and project’s constraints. Figure 1. DM process framework.

Shaping Design management for D-B and Cm/GC 11 • Step 3. Identify and review case study examples for selected DM approaches. • Step 4. Develop DM implementation plan grounded in guide’s implementation guidelines, lessons learned, and recommendations. Start: Identification of Transportation Initiative As part of the initial phases of a new transportation project (or program), an agency usually initiates a process to collect data and information that will help define the scope of the project, including its expected cost and its desired completion date as well as the project’s complexity and any constraints that may affect its delivery. Step 0: Selection of Project Delivery Method At a certain point, the agency will have enough information to decide how to deliver the project. Depending on the state legislative authority, an agency can have one or more delivery options. At minimum, all agencies will be able to deliver the project with traditional DBB delivery. If the agency has the authority to select an alternative delivery method, including D-B and CM/GC, various paths exist to carry out DM for each method, described in the following steps. The DMPF is designed to help a project team that has little or no familiarity with D-B or CM/GC in identifying, selecting, and implementing a feasible and appropriate approach for conducting DM on a project/program. Note: While the selection of the project delivery method is crucial to DM, investigating how agencies carry out this initial step was not within the scope of this study. Step 1: Identification of Agency’s and/or Project’s Constraints Because each agency and project is unique, different individuals would be involved in iden- tifying, selecting, and implementing DM practices. Therefore, on any given project, it is not always apparent what agency- or project-specific constraints might limit an agency’s decision for shaping the project delivery at large and the DM approach in particular. By reviewing infor- mation in the Guidebook chapter for the selected delivery method, an agency can learn more about different approaches for carrying out DM and any specific constraints that may affect the success of a specific approach. For D-B, a diverse set of agency- or project-specific constraints could be developed, and was formatted in the D-B chapter (Chapter 3.A) as a self-assessment background document to help a transportation administration staff identify potential issues and constraints affecting DM under D-B. This document provides an in-depth description of potential constraints and issues relevant to a successful implementation of DM under D-B. Since this document is based on information collected throughout this research effort, an agency should review the provided self-assessment document to identify which issues may be encountered in its situation or context. In addition, the agency should also conduct a brainstorming self-assessment session to verify whether any additional issue or constraint may be present that could affect DM for its D-B project or program. On the other hand, only a few agencies have reached maturity in implementing CM/GC. Therefore, the CM/GC chapter takes a different route by allowing agencies to conduct an initial brainstorming self-assessment session to identify how the normative approach for implementing CM/GC, described in Chapter 4.B, can be customized for its project or program.

12 Guide for Design management on Design-Build and Construction manager/General Contractor Projects Step 2: Selection of DM Practices through Review of Implementation Lessons Learned Using the list of potential issues and constraints identified by each of the parties involved, the agency can now learn about compatible DM practices by reading the template document for the selected delivery method. Chapter 3.B includes DM information for D-B whereas Chapter 4.B provides information for CM/GC implementers. Information in these sections is based on the analysis of data. Step 3: Identification and Review of Case Studies A compilation of case studies is included in the Guidebook as a reference to “real-life” projects or programs that have implemented DM practices. Once project issues have been identified and DM practices have been selected, an agency can refer to the case studies to learn how other agen- cies have dealt with similar issues. Case studies can be selected by cross-referencing the identified issues with specific cases. For example, if an agency has identified as a potential issue, the lack of design review staff on a project, case studies that have addressed this issue can be identified easily in the case study summaries. Chapter 3.C includes summaries of six D-B case studies. A full narration of four of these cases is also included in Appendix A. Similarly, Chapter 4.C includes summaries of six CM/GC case studies. A full narration of these cases is also included in Appendix B. Once this step is completed, an agency can tentatively select a DM approach for a given project. If concerns arise on the implementation at this time, there is the opportunity to return to Step 2 to reassess constraints, or to Steps 3 and 4 to review other lessons learned, review more case studies, and select an alternative approach that would work better within the existing constraints. Step 4: Review Implementation Guidelines, Lessons Learned, and Recommendations Once the previous steps are completed, an agency can develop a DM implementation plan. The constraint self-assessment of the constraints provided the foundation for evaluating vari- ous DM approaches and to select the most appropriate approach for the agency and the given project. If concerns arise, there is the opportunity to return to Step 2 to reassess constraints, or to Steps 3 and 4 to review other lessons learned, review more case studies, and select an alternative approach that would work better within the existing constraints. In formulating this implementa- tion plan, the agency could pull out from this guide specific lessons learned and recommendations and customize them to the agency context. The final product of this step would be a detailed implementation plan providing guidance on implementing each selected DM practice within the framework of a specific transportation project or program.