Evaluation of Project Delivery Methods (2009)

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TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire APPENDIX D – INTERVIEW BLANK FORM The research team conducted extensive interviews with five transit agencies as part of this research. This appendix includes the cover letter and the DB questionnaire used by the research team in conducting those interviews. Questionnaires for the DBB and CMR projects were slightly different but collected the same type of information. Northeastern University The Research Report 207

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Northeastern University The Research Report 208 Dear Mr. ...: I am leading a research effort sponsored by Transit Cooperative Research Program (TCRP) for developing a guidebook for the evaluation of project delivery methods. Specifically, the main objective of the research is to prepare a guide for transit agencies that help them choose among one of the following delivery methods for procuring transit construction services: 1) Design-bid- build, 2) Design-build, 3) Construction manager at risk, and 4) Design-build-operate-maintain. As part of this research we plan to identify a number of major U.S. transit projects utilizing one of the project delivery methods mentioned above, and conduct interviews with individuals in those transit agencies with expert knowledge and experience with project delivery methods who were involved in the selection process. The results of the interviews should form the basis of a knowledge base for our selection system. You have been identified as an expert in this field and we value and appreciate your participation in this process. We understand that your time is limited and will try our best to make the process as smooth and convenient as possible. We are sending you a copy of the questionnaire that will be the basis for the face-to-face interview. While the questionnaire appears rather comprehensive, we believe the interview format will allow us to expedite the process and gain crucial information in a most effective way. Because of this we urge you to review the questionnaire before the interview and let us know if there are any ambiguities. We welcome your sharing the questionnaire with whoever is best suited to answer the questions. We expect the duration of the interview to be between two to three hours and we welcome your inviting others who might be able to discuss issues relevant to the topic of our research. We will prepare a report of the interview and email you the report so that you will have a chance to ensure the information was summarized accurately. Needless to say, you are at complete liberty of answering only the questions that you feel comfortable with. We understand that this is a burden on your busy schedule and we appreciate your willingness to help in this important endeavor. I look forward to meet with you in the near future. Meanwhile please feel free to call me at (617)373-5508 or send me an email at atouran@coe.neu.edu if you have any questions or concerns. Very truly yours, Ali Touran Associate Professor Northeastern University

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire TCRP G-08 Structured Interview Questionnaire CONDITIONS: This interview can either be conducted in person or via telephone. The following protocol shall be followed during its administration: 1. The questionnaire shall be sent to the respondent at least 2 weeks prior to the interview via email. 2. Two days prior to the interview, a follow-up message with the questionnaire attached will be sent to confirm the date and time of the interview. 3. To maximize the quality and quantity of information collected, the primary respondent should be encouraged to invite other members of his/her organization to be present during the interview. Thus, a single “agency” response can be formulated and recorded. 4. The interviewer will set the stage with a brief introduction that emphasizes the purpose of the research, the type of information expected to be collected, and the ground rules for the interview. 5. Once the interviewees indicate that they understand the process at hand, the interview will commence. 6. The interviewer will read each question verbatim and then ask if the interviewee understood the question before asking the interviewee to respond. 7. Each question contains a specific response that must be obtained before moving to the next question. Once that response is obtained, the interviewer can record as text additional cogent information that may have been discussed by the interviewees in working their way to the specific response. 8. Upon conclusion of the interview, the interviewer will ask the interviewees if they have additional information that they would like to contribute and record those answers as text. 9. The interviewer will assemble a clean copy of the final interview results and return them to the interviewee for verification. Northeastern University The Research Report 209

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire STRUCTURED INTERVIEW: I. General Information: 1. US state in which the respondent is employed: 2. Name of Agency: 3. What type of organization do you work for? Public Transit Agency Other public transportation agency Other; Please describe: Project Delivery Method Experience Project Delivery Experience Design- Bid- Build Design- Bid- Build w/OM CM-at- Risk CM-at- Risk w/OM Design- Build Design- Build w/OM 1 Has your agency awarded a project under one of these project delivery methods? ‰ A. If yes, how many projects? ‰ B. If yes, what percentage of your total construction budget? Yes No A. 1-5 6-10 >10 B. <10% 11-25% 26-50% >50% Yes No A. 1-5 6-10 >10 B. <10% 11-25% 26-50% >50% Yes No A. 1-5 6-10 >10 B. <10% 11-25% 26-50% >50% Yes No A. 1-5 6-10 >10 B. <10% 11-25% 26-50% >50% Yes No A. 1-5 6-10 >10 B. <10% 11-25% 26-50% >50% Yes No A. 1-5 6-10 >10 B. <10% 11-25% 26-50% >50% Northeastern University The Research Report 210

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Northeastern University The Research Report 211 Project Delivery Experience Design- Bid- Build Design- Bid- Build w/OM CM-at- Risk CM-at- Risk w/OM Design- Build Design- Build w/OM 2 Does your agency use alternative project delivery methods for one of these workforce-oriented reasons? ‰ A. To augment existing workforce during program funding spikes? ‰ B. To reduce the number of professional engineers on the agency’s staff? ‰ C. To reduce the size of the agency’s full-time staff? A. Yes No B. Yes No C. Yes No A. Yes No B. Yes No C. Yes No A. Yes No B. Yes No C. Yes No A. Yes No B. Yes No C. Yes No A. Yes No B. Yes No C. Yes No A. Yes No B. Yes No C. Yes No

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire II. Case Study Project Information 1. Project Name and location: . 2. Project scope of work: 3. Original Total Awarded Value of project: $ Final Total Value of project: $ 4. Date preliminary design contract awarded: Date project advertised: Date final design contract awarded: Date construction contract awarded: [Note: same if DB] Original Project Delivery Period (including design) Final Project Delivery Period (including design) Explanatory notes: 5. Project delivery method used on this project: Design-Bid-Build Design-Bid-Build w/OM CM-at-Risk CM-at-Risk w/OM Design-Build Design-Build w/OM 6. Which of the following were reasons why your agency selected the delivery method used for this project? Check all that apply. Reduce/compress/accelerate project delivery period Establish project budget at an early stage of design development Get early construction contractor involvement Encourage innovation Facilitate Value Engineering Encourage price competition (bidding process) Compete different design solutions through the proposal process Northeastern University The Research Report 212

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Redistribute risk Complex project requirements Flexibility needs during construction phase Reduce life cycle costs Provide mechanism for follow-on operations and/or maintenance Innovative financing Other: Explain 7. Which of the above was the single most significant reason for the delivery method decision on this project? 8. Please explain the process that led you to the choice of the project delivery system for this project . 9. Did you consider OM for this project? Yes No; Explain if necessary: Northeastern University The Research Report 213

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire 10. Case Study Project Issues: Of the following types of issues, indicate whether the issue was considered a benefit or a constraint when this project’s delivery method was selected. Case Study Project Delivery Method: DBB DB CMR DBOM (circle one) Issue Type Benefit Constraint Comments • Project Size • Risk management • Risk allocation • Schedule • Cost • LEED certification • Other Project-level Issues • Agency experience • Staffing required • Staff capability • Agency goals & objectives • Agency control of project • Third party agreements • Other Agency-level Issues Public Policy/ Regulatory Issues • Competition • DBE/small business impact • Labor Unions • Fed/State/ Local laws • FTA/EPA regulations. • Other • Stakeholder/community input Life Cycle Issues • Life cycle cost • Maintainability • Sustainable design/goals • Sustainable construction/ goals • Other Northeastern University The Research Report 214

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Northeastern University The Research Report 215 Issue Type Case Study Project Delivery Method: DBB DB CMR DBOM (circle one) Benefit Constraint Comments Other Issues • .Construction claims • .Adversarial relationship between project participants • . • . 11. Was a formal risk analysis conducted on the project in any of the following areas? Project Scope Project Schedule Project Cost Contracting Risk 12. Did the project cost estimate involve an analysis of uncertainty (i.e. was a range cost estimate developed)? Yes No 13. Did the project employ any of the following risk identification techniques? Check all that apply. Brainstorming Scenario planning Expert interviews Delphi methods Influence or risk diagramming Other risk identification techniques Explain:

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire 14. Did the project employ either of the following? Qualitative risk assessment techniques - If yes, please describe. Quantitative risk analysis techniques - If yes, please describe. Examples include: Monte Carlo simulation, expected values, etc. 15. Did the project use any of the following risk management techniques? - Risk register or risk charter - Risk management plan - Risk mitigation plan - Other risk tracking techniques Explain: 16. Did the project employ any formalized risk allocation techniques to draft the contract provisions? Yes No If yes, please describe: III. Case Study Project Delivery Process Information: The following questions will break up the alternative project delivery process for the case study project into the following three phases: ♦ Procurement phase: Actions taken regarding the project award and management processes that are reflected in solicitation documentation such as in the Request for Qualifications (RFQ) and the Request for Proposals (RFP). ♦ Design Phase: Actions taken regarding the development of design deliverables as well as those used to determine that the final design complies with contractual requirements. ♦ Construction Phase: Actions taken regarding the management of construction including those specifically related to ensuring the final constructed product complies with both the completed design and other contractual requirements Northeastern University The Research Report 216

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Procurement phase: Design-Build Project Interviewer—use appropriate form for the case study project delivery method Required proposal submittal? Is it evaluated to make the DB award decision? Do either the RFQ or the RFP require the following to be submitted as part of the design-build proposal? Yes No Yes No Qualifications of the Project Manager Qualifications of the Designer-of-Record Past performance record on similar projects Proposed schedule Proposed schedule milestones Lump sum price Schedule of values Unit prices Qualifications of the Design Quality Manager Qualifications of the Construction Quality Manager Design quality management plan Construction quality assurance plan Construction quality control plan Independent quality assurance Design submittals Proposed sustainable design/construction Outline specifications Do either your RFQ or your RFP contain the following? Design criteria checklists Standard design details Standard guide specifications Standards for sustainability Construction testing matrix Northeastern University The Research Report 217

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Design Phase: Design-build project Who performs the following design management tasks? (Check all that apply) Does not apply Agency personnel Design- builder’s design staff Design- builder’s construction staff Agency- hired consultant Technical review of design deliverables Checking of design calculations Checking of quantities Acceptance of design deliverables Review of specifications Approval of construction documents Approval of payments for design progress Approval of post-award design QA/QC plans Construction Phase: Design-build project Who performs the following construction management tasks? (Check all that apply) Does not apply Agency personnel Design- builder’s design staff Design- builder’s construction staff Agency- hired consultant Technical review of construction shop drawings Technical review of construction material submittals Review of construction schedule Checking of pay quantities Routine construction inspection Quality control testing Establishment of horizontal and vertical control on site Verification/acceptance testing Approval of progress payments for construction progress Approval of construction post-award QA/QC plans Northeastern University The Research Report 218

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Procurement Phase: Construction Manager-at-Risk project Required proposal submittal? Is it evaluated to make the CMR award decision? Do either the RFQ or the RFP require the following to be submitted as part of the construction manager-at-risk proposal? Yes No Yes No Qualifications of the Project Quality Manager Qualifications of the Construction Quality Manager Past performance record on similar projects Design constructability review plan Design cost engineering review plan Construction quality management plan Construction quality assurance plan Construction quality control plan Do either your RFQ or your RFP contain the following? Design constructability checklists Cost engineering review checklists Standards for sustainability Construction testing matrix Quality management roles and responsibilities Design Phase: Construction Manager-at-Risk project Who performs the following design management tasks? (Check all that apply) Does not apply Agency personnel A/E design staff CM’s pre- construction staff Agency- hired consultant Technical review of design deliverables Checking of design calculations Checking of quantities Cost engineering reviews by CMR Constructability reviews by CMR Acceptance of design deliverables Northeastern University The Research Report 219

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Review of specifications Approval of construction documents Approval of progress payments for design progress Approval of post-award design QA/QC plans Construction Phase: Construction Manager-at-Risk project Who performs the following construction management tasks? (Check all that apply) Does not apply Agency personnel A/E design staff CM’s construction staff Agency- hired consultant Technical review of construction shop drawings Technical review of construction material submittals Review of construction schedule Checking of pay quantities Routine construction inspection Quality control testing Establishment of horizontal and vertical control on site Verification/acceptance testing Approval of progress payments for construction progress Approval of construction post-award QA/QC plans Northeastern University The Research Report 220

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Procurement phase: Design-bid-build Interviewer—use appropriate form for the case study project delivery method Required proposal submittal? Is it evaluated to make the Design award decision? Do either the RFQ or the RFP for the DESIGN contract require the following to be submitted as part of the design- bid-build proposal? Yes No Yes No Does not apply – Design was done using agency engineers Qualifications of the Project Manager Qualifications of the Designer-of-Record Past performance record on similar projects Proposed schedule Proposed schedule milestones Lump sum price Schedule of values Unit prices Qualifications of the Project Quality Manager Qualifications of the Design Quality Manager Qualifications of the Construction Quality Manager Design quality management plan Construction quality assurance plan Independent quality assurance Design submittals Proposed sustainable design/construction Outline specifications Do either your RFQ or your RFP contain the following? Design criteria checklists Standard design details Standard guide specifications Standards for sustainability Construction testing matrix Northeastern University The Research Report 221

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Design Phase: Design-bid-build project Who performs the following design management tasks? (Check all that apply) Does not apply Agency personnel A/E’s design staff Agency- hired consultant Technical review of design deliverables Checking of design calculations Checking of quantities Acceptance of design deliverables Review of specifications Approval of construction documents Approval of payments for design progress Approval of post-award design QA/QC plans Construction Phase: Design- bid-build project Who performs the following construction management tasks? (Check all that apply) Does not apply Agency personnel A/E’s design staff Contractor’s staff Agency- hired consultant Technical review of construction shop drawings Technical review of construction material submittals Review of construction schedule Checking of pay quantities Routine construction inspection Quality control testing Establishment of horizontal and vertical control on site Verification/acceptance testing Approval of progress payments for construction progress Approval of construction post-award QA/QC plans Northeastern University The Research Report 222

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire IV. Quality Management Planning: Please answer the following questions from a general perspective based on your experience. If you there are differences between project delivery methods, please answer the question with what you believe to be the most prevalent practice. 1. Is the design-build or CMR construction QA/QC plan significantly different from the QA/QC plan used on traditional design- bid- build construction projects? Yes No If yes, what is the major difference? 2. Is the design-build or CMR design QA/QC plan significantly different from the QA/QC plan used on traditional design projects? Yes No If yes, what is the major difference? 3. Does the agency specify what must be included in the design-builder’s or construction manager’s QA/QC plans? Yes No 4. Does the agency mandate the use of its own standard QA/QC plans? Yes No 5. Does the agency mandate the use of standard agency specifications? Yes No 6. Does the agency mandate the use of standard agency design details? Yes No 7. Does the agency mandate the use of standard agency construction means and/or methods? Yes No Northeastern University The Research Report 223

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire 8. Does the agency mandate a specific set of qualifications for the design-builder’s or construction manager’s quality management staff? Yes No If yes, what are those qualifications? 9. Does the agency mandate a specific set of qualifications for the design-builder’s or consulting engineer’s (A/E) design quality assurance staff? Yes No If yes, what are those qualifications? 10. Does the agency mandate a specific set of qualifications for the design-builder’s or construction manager’s construction quality control staff? Yes No If yes, what are those qualifications? 11. Does the agency mandate a separate set of quality management documentation for projects that have follow-on maintenance and/or operations features? Yes No If yes, what is different? Northeastern University The Research Report 224

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire V. Project Delivery Issues: This section is not project-specific and should be filled out for all project delivery systems. This provides us with an expert opinion on the impact of each parameter on the choice of project delivery system. The purpose of this section is to identify pertinent issues that impact the project delivery method selection decision. Mark with a check whether the given issue is considered “pro” (not considered a potential problem in the given project delivery method) or “con” (considered a potential problem in the given project delivery method) Issue Type Project Delivery Method DBB DBB w/OM CMR CMR w/OM DB DB w/OM Pro Con Pro Con Pro Con Pro Con Pro Con Pro Con Project- level Issues • Project Size • Risk management • Risk allocation • Schedule • Cost • LEED certification • Other Northeastern University The Research Report 225

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Northeastern University The Research Report 226 Issue Type Project Delivery Method DBB DBB w/OM CMR CMR w/OM DB DB w/OM Pro Con Pro Con Pro Con Pro Con Pro Con Pro Con Notes on above

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Northeastern University The Research Report 227 Issue Type Project Delivery Method DBB DBB w/OM CMR CMR w/OM DB DB w/OM Pro Con Pro Con Pro Con Pro Con Pro Con Pro Con Agency- level Issues • Agency experience • Staffing required • Staff capability • Agency goals & objectives • Agency control of project • Other Notes on above

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Northeastern University The Research Report 228 Issue Type Project Delivery Method DBB DBB w/OM CMR CMR w/OM DB DB w/OM Pro Con Pro Con Pro Con Pro Con Pro Con Pro Con Public Policy/ Regula- tory Issues • Competition • DBE/small business impact • Labor • Fed/State/ Local laws • FTA/EPA regs . • Other Notes on above

TCRP G-08 – Project Delivery Methods Appendix D - Interview Blank Questionnaire Northeastern University The Research Report 229 Issue Type Project Delivery Method DBB DBB w/OM CMR CMR w/OM DB DB w/OM Pro Con Pro Con Pro Con Pro Con Pro Con Pro Con Life Cycle Issues • Life cycle cost • Maintain- ability • Sustainable design goals • Sustainable construction goals • Other Notes on above Other Issues • . • . • . • .