Expedited Procurement Procedures for Emergency Construction Services (2012)

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70 CHAPTER SEVEN CONCLUSIONS, EFFECTIVE PRACTICES, AND RECOMMENDATIONS FOR FUTURE RESEARCH INTRODUCTION The criteria for drawing conclusions and identifying effec- tive practices are detailed in chapter one. When two or more sources of information from the survey, literature review, case studies, and/or content analysis intersected, the juncture was considered important and used to develop the conclusions and candidates for the list of effective practices. Subjects where only one source furnishes substantive information on emergency project success were used as a point of departure to explore the potential for future research. That process was followed rigorously throughout the entire report. The conclu- sions and effective practices reported in this chapter are based on the four review instruments used to collect the information in the synthesis: comprehensive literature review, survey of U.S. agencies, department of transportation emergency man- agement document content analysis, and case studies. When a gap in the body of knowledge was revealed, a recommenda- tion for future research was made. Based on that foundation, this chapter presents the conclusions, effective practices, and recommendations for future research. CONCLUSIONS The synthesis’ most significant conclusion is to use procurement processes, if practical, with which the agency is familiar and has experience to procure emergency design and construction. In most cases, this will be an accelerated version of design-bid- build and acts as a risk mitigation tool. Every study instrument supports this conclusion. Additionally, the use of a familiar project delivery method complies with the concept of allow- ing as much competition as time and circumstances permit, and thereby reduces the probability of a substantive protest. Put another way: Familiarity equals confidence, and confidence permits DOT procurement, design, and construction personnel to accelerate the delivery of an emergency project while mak- ing the hard, time-sensitive decisions required with less fear that they may be in violation of procurement laws and regulations. The remainder of the conclusions in the preceding chap- ters are as follows: 1. Four different types of criteria are used to define the circumstances that constitute an emergency: event type, loss type, time, and location. 2. Delegating the authority to waive routine contract- ing constraints to emergency project level helps to achieve a quick response and mitigate the overall impact to the public. 3. The Title 23 prohibition on using emergency relief funding for aspects not related to the emergency condition support the conclusion that including betterments in an emergency project violates the fundamental purpose of the procedures: to restore service to pre-emergency levels and eliminate immediate hazards. Betterments may be funded with other nonemergency relief federal funds if they are eligible. 4. Emergency procurements can be successfully exe- cuted using traditional procedures to the greatest extent practical and adjusting them to account for the higher level of priority because of the emergency nature of the procurement. 5. A standing list of prequalified designers and con- tractors, willing to quickly deploy to react to an emergency, is an effective means to expedite pro- curement procedures. Maintaining a prequalified list is one way for the DOT to manage the increased exposure to risk that comes in a crisis situation. Additionally, such a list has been shown to be an effective measure to reduce the potential for a for- mal protest or a lawsuit. 6. The previous conclusion that using traditional pro- curement procedures as much as practical on emer- gency construction projects was a key to success can be extended to include consultant scope definition contracts. 7. Investing in a preliminary consultant contract to quantify the scope of both the design and construc- tion work adds value to the expedited procurement process. 8. Establishing indefinite delivery/indefinite quantity contracts in anticipation of the need for emergency services is the surest contractual means to minimize the impact of an emergency.

71 9. Careful review of emergency permits helps ensure that the agency has clearly documented its rationale for shortcutting or bypassing the routine process based on a clear urgency of need to protect life and property. 10. The quality and qualifications of the personnel and firms that will design and build an emergency project is more important than the administrative planning pro- cesses, because time is of the essence in an emergency. 11. The fastest way to react to an emergency is to antici- pate it and make provisions in advance of the event. The Montana DOT’s rockfall remediation project, the Missouri DOT’s “nested” design-build contract and the New York State DOT’s Statewide Emergency Bridge indefinite delivery/indefinite quantity contract are all examples of successfully developing the capac- ity to react to an emergency without the need to expe- dite procurement procedures. 12. Streamlined procedures for design-bid-build, design- build, and construction manager/general contractor delivery of emergency projects can be developed to accelerate the procurement of design and construc- tion assets in response to a major emergency. EFFECTIVE PRACTICES The most promising and well-documented practice was the use of a standing list of prequalified design consultants and construction contractors. The practice accrues benefits by reducing the time needed to identify qualified sources of design and construction services as well as materials and equipment. It reduces the risk of executing an emergency contract with a designer or contractor who does not have the technical and financial wherewithal to deliver the needed services. Finally, it acts as a protest avoidance measure by maximizing the amount of competition that can be permitted in a crisis situation. Other effective practices are as follows: 1. The “mini-solicitation” used by the Oregon DOT Tier 1 selection process provides a model for expedited selection of design consultants in an emergency. 2. Retaining a consultant to prepare a preliminary scope of work and do limited geotechnical and environ- mental testing is an effective practice that could be included in a DOT’s emergency procurement plan. 3. The Oregon DOT approach to emergency mainte- nance projects by categorizing them based on the source of funding and then delegating the author- ity to declare an emergency for a project funded by state operating funds to the state maintenance engi- neer provides a means to expedite response to high- frequency, small-scale emergencies without having to wait for permission from outside the maintenance organization. 4. The New York State DOT’s indefinite delivery/indefi- nite quantity contract for statewide emergency bridge work enables the agency to immediately react to a variety of bridge-related emergencies. 5. The Missouri DOT’s use of a nested design-build con- tract for specialty services inside a design-bid-build contract demonstrates another approach to furnish pre-event capacity to quickly react to a specific emer- gency such as a landslide. 6. By letting seasonal contracts for debris removal and disposal, the Florida DOT provides standby capacity to address high-frequency emergency events such as hurricanes. 7. Developing and maintaining a list of prequalified sources of emergency services is an effective practice based on the agreement found between DOT survey respondents and the consultant/contractor inter- viewees citing the importance of contracting with highly qualified service providers and supports the use of a standing list of prequalified consultants and contractors. 8. The chapter two case study projects demonstrated another 41 practices that are not repeated here. FUTURE RESEARCH RECOMMENDATIONS Future research is suggested in the following areas: 1. The survey found that fewer than half of the respond- ing DOTs had a document that provided specific guid- ance for expediting the procurement of emergency projects, and only five had a “contract document that was specifically developed for emergency projects.” Thus, research is needed to define the appropriate content of DOT emergency project delivery plans as well as the form and content of tailored emergency contracts and their efficacy for agencies that have used them. It would cover options to prepare written policies and procedures for each method of procure- ment used for engineering and design-related services funded with federal-aid highway program funds and submitted to FHWA for approval as specified in 23 CFR 172.9(a). 2. Survey respondents identified incentives and disincen- tives as important to emergency project success, and this finding was validated by the literature review and con-

72 tent analysis. Therefore, research on the costs and ben- efits of incentive/disincentive schemes and their impact on the success of emergency projects is recommended. 3. Research on preliminary project scoping contracts is rec- ommended to both identify the optimal content of this type of contract and document its effectiveness through analysis of its costs and benefits in terms of time/user costs as well as impact on construction cost growth. 4. Research is needed that explores the costs and ben- efits of implementing formal risk management pro- cedures on emergency projects. The research would weigh the possibility of optimizing risk management with the time available to conduct the analyses for emergency projects. Appendix B contains an NCHRP Research Needs State- ment for implementing the suggested research.