Strategic Program Delivery Methods (2017)

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72 APPENDIX A National Survey Questionnaire DEFINITIONS Alternative Contracting Methods (ACMs): ACMs are mainstreamed as viable delivery options for highway construction projects to accelerate project delivery, encourage the deployment of innovation, and minimize unforeseen delays and cost overruns. These options include design-build (D-B), construction manager/general contractor (CM/GC), alternative technical concepts (ATC), and other innovation techniques (FHWA 2016). Program: A collection of similar type projects grouped together or an endeavor to deliver a range of improvements (bridge conditions, pavement improvement, etc.) Program Delivery: A holistic approach to delivering groups of projects that are aligned with an organization’s strategic goals. Strategic Programming: The process of clarification of mission and values, development of a vision of success, environmental scanning and assessment of the driving forces behind external threats and opportunities, an analysis of the department’s capabilities and performance and assessment of internal strengths and weaknesses, development of strategic goals and objectives to identify the strategic issues facing the department, development of overall strategies and/or strategic initiatives, and definition of associated performance measures (Poister 2004). Design-Bid-Build (D-B-B): A traditional project delivery method in which the design is completed before the construction contract is advertised. Design-Build (D-B): A project delivery method where both the design and the construction of the project are simultaneously awarded to a single entity. Construction Manager/General Contractor (CM/GC): A project delivery method where an agency engages a construction manager during the design process to provide input on scheduling, pricing, phasing, and other input that helps design a more con- structible project. Public–Private Partnership (P3): A contractual arrangement between public and private sector partners, involving a govern- ment agency contracting with a private partner to renovate, construct, operate, maintain, and/or manage a facility or system, in whole or in part, that provides a public service. Best Value: An award method that utilizes cost and other factors to select the winning bidders (e.g., cost‐plus‐time bidding, qualifications, design approach) to minimize impacts and enhance the long-term performance and value of construction. Qualification-Based Selection: An award method that utilizes qualifications alone (no price component included) to select the wining contractors. GENERAL INFORMATION 1. Please provide the following contact information: First Name: _______________________________________________________ Last Name: _______________________________________________________ Phone Number: ____________________________________________________ E-mail: ___________________________________________________________ U.S. state in which you are employed: __________________________________

73 2. You are employed by what type of organization? …… State Department of Transportation …… Federal Agency; Name of Agency: …… Other Public Transportation Agency; Name of Agency: …… Other, please describe: 3. What group/section do you work in? (Check all that apply) …… Design group/section …… Program delivery group/section …… Construction group/section …… Contracts/procurement group/section …… Operations group/section ……Maintenance group/section …… Alternative project delivery group/section …… Other: 4. Does your agency have authority to use alternative project delivery methods (i.e. D-B, CM/GC, or P3)? …… Yes …… No, please proceed to Question 6 5. Which alternative project delivery methods is your organization allowed to use? (Check all that apply) …… D-B …… CM/GC …… P3 …… Other, please specify: 6. Please estimate approximately the percentage of projects associated with each delivery method that your agency uses Delivery Method % Used D-B-B D-B CM/GC or CM at Risk P3 Others

74 PROGRAM INVENTORY AND POLICIES 7. Please rank the following methods relative to their importance in grouping projects into a program in your agency. (1 = Unimportant, 2 = Slightly Important, 3 = Moderately Important, 4 = Very Important, 5 = Extremely Important, and NA = Not Applicable) Methods 1 2 3 4 5 NA 1. Projects are programmed based on state or federal mandates/political influences … … … … … … 2. Projects are programmed based on location … … … … … … 3. Projects are programmed based on technical complexity … … … … … … 4. Cost savings … … … … … … 5. Projects are programmed based on critical completion dates (schedule issues) … … … … … … 6. Projects are programmed based on funding issues … … … … … … 7. Projects are programmed based on functionalities (bridges, maintenance, or pavement) … … … … … … 8. Projects are programmed based on construction type (rehab, preservation, or new) … … … … … … 9. Projects are programmed based on financing issues /revenue generator (tolls, special taxes) … … … … … … 10. Projects are programmed based on agency personnel’s experience on similar past projects … … … … … … 11. Projects are programmed based on stakeholders’ priority and expectation … … … … … … 12. Projects are programmed based on demanding and urgency … … … … … … 13. Others, please specify: … … … … … … 8. Is your agency currently implementing or considering program delivery (a holistic approach to delivering groups of projects)? …… Yes …… No If NO, please provide reasons (Check all that apply): …… Traditional and alternative project delivery methods are adequate …… Agency upper management is unwilling to use it …… Agency expertise not available …… Legal or regulatory prohibitions …… Lack of staffing to oversee program delivery approaches …… Political/policy issues prevent its use …… Required organizational culture changes …… Lack of stakeholder confidence …… Industry oppositions prevent its use …… Not currently in use, but could be applied in the future …… Not sure how to implement program delivery …… Other, please explain:

75 9. Please indicate number of times your agency has used program delivery …… None …… Less than 5 …… Between 5 and 10 ……More than 10 10. Do you have enabling legislation for the use of program delivery? …… No …… Yes, please explain: 11. What project delivery methods are your agency allowed to use for program delivery? (Check all that apply) …… D-B-B …… D-B …… CM/GC …… P3 …… Single contract that incorporate combination of one or more of the above …… Other, please specify: 12. What procurement methods are your agency allowed to use for procuring contractors for a program? (Check all that apply) …… Low bid …… A+B (Cost + Time) …… Best Value …… Qualification-based …… Single contract that incorporate combination of one or more of the above …… Other, please specify: 13. What payment methods are used for program delivery in your agency? (Check all that apply) …… Lump sum …… Cost reimbursable …… Unit price …… Single contract that incorporate combination of one or more of the above …… Other, please specify: 14. Does/would the consulting engineering industry in your state support the use of program delivery? …… Yes …… No …… Don’t know 15. Do other transportation-related public agencies in your state that use program delivery? …… Yes …… No …… Don’t know

76 If YES, what type of agency? …… Transit agency …… Local government agency …… Airport authority/operator …… Power companies …… Other, please specify: 16. What do you consider to be organizational barriers for implementing program delivery? (Check all that apply) …… Lack of prior expertise …… Lack of training …… Cultural change required toward ACMs …… Lack of outsourcing capacity (i.e. consultant, third-party, and agency staff limitations) …… Others, please specify: PROGRAM DELIVERY SELECTION INFORMATION 17. Does your agency choose project delivery methods in the context of program delivery? …… Yes …… No Comments (optional): ______________________________________________ _________________________________________________________________ _________________________________________________________________ _________________________________________________________________ 18. Does your agency have guidelines/tools to determine delivery methods for a program? …… Yes …… No If YES, could you provide the website address if the document is located online or send a hard copy? …… Yes, I can send a hard copy to your mailing address. …… No, the document is not allowed to share. …… The website address: 19. Does your agency have a strategic approach to selecting delivery methods? …… Yes …… No 20. How does your agency select project delivery methods for a program? (Check all that apply) ……We select delivery methods based on a project by project basis ……We select delivery methods based on a group of projects ……We select delivery methods using a holistic approach to programming …… Others, please specify:

77 21. What program factors are considered when making the program delivery method decision? (Check all that apply) Program Factors Considered in Decision Motivation for Program Delivery Methods Program size (dollars) … … Program budget control issues/priority projects … … Need for nontraditional financing … … Program cost savings … … Generating revenue (tolls, special taxes, etc.) … … Program schedule issues … … Technical complexity of groups of projects … … Streamlined processes/innovation … … Location (urban vs. rural projects) … … Program construction type (new construction vs. rehabilitation projects) … … Program facility type (road vs. bridge projects) … … Third party issues (utilities, railroad, right-of-way) involved in a program/ groups of projects … … Environmental issues required for a program/groups of projects … … Project and program risk management … … Agency staff experience with delivery methods … … Agency staff availability to oversee projects development … … Program performance … … Reduced public impact … … Enhance trust/Improve agency image … … Other: … … PROJECT AND PROGRAM DELIVERY PERFORMANCE INFORMATION 22. Does your agency have a systematic process to measure benefits of ACMs? …… Yes …… No If YES, could you provide the website address if the document is located online or send a hard copy? …… Yes, I can send a hard copy to your mailing address. …… No, the document is not allowed to share. …… The website address: 23. Does your agency track the performance of the projects selected for a program? …… Yes …… No

78 If YES, please specify the type of performance indicators/measures your agency uses: _________________________________________________________________ _________________________________________________________________ _________________________________________________________________ 24. Does your agency have a process to measure the performance of program delivery? …… Yes …… No If YES, please specify the type of performance indicators/measures your agency uses: _________________________________________________________________ _________________________________________________________________ _________________________________________________________________ 25. Which of the following are benefits of program delivery that you have observed/perceived? (Check all that apply) Benefits Program Delivery 1. Accelerated project delivery … 2. Flexibility in delivery scheduling … 3. More choices in funding and delivery methods … 4. Cost savings … 5. Greater and/or earlier cost certainty … 6. Distributed funding efficiently and equitably … 7. Managing and leveraging resources … 8. Enhanced workforce management … 9. Flexibility in innovation … 10. Better managing risk and uncertainty/flexibility in reassessing and reassigning risk … 11. Effectively managing changes … 12. Improved trust and agency reputation … 13. Fostered relationships among agencies (local, regional, and department) … 14. Greater partnership between the public and private sectors … 15. Reduced public impact … 16. Enhanced safety attributes … 17. Improved quality parameters of simultaneous projects … 18. Increased control of scope, schedule, and cost … 19. Ability to select multiple firms under a single contract … 20. More sustainable and livable communities … 21. Other: …

79 26. Based on your knowledge and experience, from the list in Question 34, please indicate the top five benefits to programmatic decisions associated with each delivery method. Benefits to Programmatic Decisions D-B-B D-B CM/GC P3 1. Accelerated project delivery … … … … 2. Flexibility in delivery scheduling … … … … 3. More choices in funding and delivery methods … … … … 4. Cost savings … … … … 5. Greater and/or earlier cost certainty … … … … 6. Distributed funding efficiently and equitably … … … … 7. Managing and leveraging resources … … … … 8. Enhanced workforce management … … … … 9. Flexibility in innovation … … … … 10. Better managing risk and uncertainty/flexibility in reassessing and reassigning risk … … … … 11. Effectively managing changes … … … … 12. Improved trust and agency reputation … … … … 13. Fostered relationships among agencies (local, regional, and department) … … … … 14. Greater partnership between the public and private sectors … … … … 15. Reduced public impact … … … … 16. Enhanced safety attributes … … … … 17. Improved quality parameters of simultaneous projects … … … … 18. Increased control of scope, schedule, and cost … … … … 19. Ability to select multiple firms under a single contract … … … … 20. More sustainable and livable communities … … … … 21. Other: … … … … 27. What has been the biggest challenge with implementing program delivery in your agency? _________________________________________________________________ _________________________________________________________________ _________________________________________________________________ _________________________________________________________________ 28. What are the lessons learned in the process of implementing program delivery in your agency? _________________________________________________________________ _________________________________________________________________ _________________________________________________________________ _________________________________________________________________

80 29. Would you be willing to discuss your project and program delivery selection process with the research team in a structured interview? …… Yes …… No If NO, please refer us to someone else in your agency: Contact name: _____________________________________________________ Phone number: _____________________________________________________ E-mail: ___________________________________________________________ 30. Do you have any other information that you would like to share with the research team that might add value to this study?

81 APPENDIX B Summary of Survey Results This Appendix presents the state DOTs that responded to the survey and summarizes the results of each question in the survey. It is noted that the survey was not distributed to Maryland DOT and Kentucky Transportation Cabinet because their contact information was not available in the AASHTO Standing Committee on Highway contact list at the time of distributing this survey. STATE DOTS RESPONDING TO THE SURVEY No. State DOT No. State DOT 1 Alaska 22 Mississippi 2 Arizona 23 Nebraska 3 Arkansas 24 Nevada 4 California 25 New Hampshire 5 Colorado 26 New Jersey 6 Connecticut 27 New York 7 Delaware 28 North Carolina 8 Florida 29 North Dakota 9 Georgia 30 Ohio 10 Hawaii 31 Oklahoma 11 Idaho 32 Oregon 12 Illinois 33 Pennsylvania 13 Indiana 34 Rhode Island 14 Iowa 35 South Dakota 15 Kansas 36 Utah 16 Louisiana 37 Vermont 17 Maine 38 Washington State 18 Massachusetts 39 West Virginia 19 Michigan 40 Wisconsin 20 Minnesota 41 Wyoming 21 Missouri SECTION I – GENERAL INFORMATION Figure B1 displays the result for the group/section in which the survey respondents work. Almost 50% of the survey respon- dents work in either the program delivery section or the design section. Other respondents work in the contracts, construction, maintenance, operations, and alternative project delivery sections.