Staffing for Alternative Contracting Methods (2018)

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76 Synthesis 48-04 seeks to (1) document current practices for organization and staffing needs of ACM projects; (2) identify skill sets, experience level, and staffing utilization required for ACM projects; and (3) identify and document unique staffing issues for the primary ACMs, including Design-Build (D-B), Construction Manager/General Contractor (CM/GC), and Public–Private Partnership (P3). Results of this project will benefit you by providing information on effective staffing practices for implementing ACM projects. Please complete and submit this survey by [date]. If you have any questions, please contact [survey administrator] by phone: xxx-xxx-xxxx or email: A.1 General and Demographic Information 1. Please provide the following contact information: First Name: ___________________________________________ Last Name: ___________________________________________ Phone Number: ___________________________________________ E-mail: ___________________________________________ U.S. state in which you are employed: ___________________________________________ 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 (or has had authority) to use the following alternative contracting methods (ACMs)? D-B CM/GC P3 Yes Yes Yes No No No If your agency does not use ACMs (e.g., D-B, CMGC, or P3) please skip to the final question. A P P E N D I X A National Survey Questionnaire

National Survey Questionnaire 77 5. Does your agency have legal constraints placed on the out-sourcing of services for which it may have the capacity to perform in-house?  Yes  No  Don’t know If yes, please explain: __________________________________________ 6. Please indicate procurement methods that your agency has used to procure contractors for ACM (e.g., D-B, CM/GC, or P3) projects. (Check all that apply.) Procurement D-B CM/GC P3 Low bid Best Value Qualification-based Others, please specify: ___________________ 7. How many ACM (e.g., D-B, CM/GC, or P3) projects has your agency delivered? D-B CM/GC P3 1-4 1-4 1-4 5-10 5-10 5-10 11-15 11-15 11-15 >15 >15 >15 NA NA NA 8. Approximately what percentage of your average annual construction program, in terms of number of projects, is delivered using ACMs (e.g., D-B, CM/GC, or P3)?  < 1%  1%–5%  5%–10%  10%–15%  15%–20%  >20% 9. Approximately what percentage of your average annual construction budget, in terms of dollar volume, is allocated to ACM (e.g., D-B, CM/GC, or P3) projects?  < 10%  10%–20%  20%–30%  30%–40%  40%–50%  >50% 10. How long has your agency been using ACMs (e.g., D-B, CM/GC, or P3)? Time D-B CM/GC P3 1-2 years 3-5 years 6-10 years >10 years

78 Staffing for Alternative Contracting Methods A.2 Organizational Structure and Training for ACM Projects 11. Which organizational structure does your agency use to deliver ACM (e.g., D-B, CM/GC, or P3) projects? Structure D-B CM/GC P3 Centralized structure (e.g., central procurement and administration) Decentralized structure (e.g., decentral procurement and administration) Combination structure (e.g., central procurement with decentral administration) Others, please specify: ___________________ 12. Does your agency have a strategic approach to staffing needs for implementing ACMs (e.g., D-B, CM/GC, or P3)?  Yes  No If yes, please describe briefly the approach? ________________________________________________________________________ 13. Does your agency have a business unit/division for ACMs (e.g., D-B, CM/GC, or P3)?  Yes  No If yes, please provide a web link if available: ____________________________ 14. Does your agency have a separate office for the procurement/administration of ACM (e.g., D-B, CM/GC, or P3) projects? D-B CM/GC P3 Yes Yes Yes No No No 15. Does your agency utilize consultants for implementing ACMs (e.g., D-B, CM/GC, or P3)? D-B CM/GC P3 Yes Yes Yes No No No 16. If the answer to Question 15 is yes, please estimate the percentage of in-house staff over A&E consultant personnel (e.g., ratio of owner/consultant personnel): ________________% 17. If the answer to Question 15 is yes, which factors does your agency consider in making the outsourcing decision? (Check all that apply.)  Lack of availability of in-house personnel  Lack of qualifications of in-house personnel  Cost savings  Other, please specify: ________________________

National Survey Questionnaire 79 18. If the answer to Question 15 is yes, what activities does consultant staff do? (Check all that apply.)  Developing ACM practices and documents  RFP/RFQ and contract development  ACM assessment and selection  Environmental reviews and document preparation  Preliminary engineering design  Project management in the procurement phase  Project management in the construction phase  Technical proposal assessment  Providing ACM training to agency staff  Other, please specify: __________________________________ 19. Does your agency provide ACM (e.g., D-B, CM/GC, or P3) training for your staff?  Yes  No 20. If the answer to Question 19 is yes, what type of training is often provided to staff? (Check all that apply.)  Agency-wide training is provided to staff  Project-specific training for every project  Project-specific training for some projects  Other, please specify: __________________________________ A.3 Staffing Needs and Skill Sets for ACM Projects 21. Which of the following ranges best describe the average age of your staff for ACM (e.g., D-B, CM/GC, or P3) projects?  20–29 years old  30–39 years old  40–49 years old  50–59 years old  60 or more years old 22. Which of the following ranges best describe the average years of experience of your staff related to ACM (e.g., D-B, CM/GC, or P3) projects?  1–5 years  5–10 years  10–15 years  15–20 years  20–25 years  25–30 years  30 or more years 23. Which of the following ranges best describe the average years of experience of your construction staff in general (e.g., construction administration, estimating, scheduling)?  1–5 years  5–10 years  10–15 years  15–20 years  20–25 years  25–30 years  30 or more years

80 Staffing for Alternative Contracting Methods 24. Does your agency use technology tools [e.g., building information modeling (BIM)/ construction/civil information modeling (CIM), laser scanners, smart sensors, cameras, etc.] to meet staffing needs when implementing ACMs (e.g., D-B, CM/GC, or P3)?  Yes  No If “Yes,” which technology: ____________________________ 25. Which of the following strategies has your agency used to address staff shortfall (work load staffing peaks) to deliver ACM (e.g., D-B, CM/GC, or P3) projects? (Check all that apply.)  Outsource to consultant staff;  Place existing staff on overtime;  Hire additional staff;  Temporary reassignments of staff from other business units;  Reduce inspection requirements;  Use risk-based/statistical inspection methods;  Assign non-construction personnel to construction duties;  Other, please specify: _______________________________________ 26. Does your agency use ACMs (e.g., D-B, CM/GC, or P3) to augment its existing staff (e.g., outsourcing design and/or construction responsibilities) during program funding spikes?  Yes  No Please provide more detail if possible: ____________________________ A.4 Unique Staffing Issues for ACM Projects 27. In each of the typical ACM (e.g., D-B, CM/GC, or P3) project phases listed below, please indicate who performs each function by checking the appropriate box. (Check all that apply.) Phases Central Office Agency Staff District Office Agency Staff Project Office Agency Staff Consultant Staff Private- Sector Partner Other, please explain: Scoping Phase ………… Environmental Phase ………… Procurement Phase ………… Design Phase ………… Construction Phase ………… Project Close-out Phase …………

National Survey Questionnaire 81 28. Who performs the following construction quality management and quality assurance tasks in your ACM (e.g., D-B, CM/GC, or P3) projects? (Check all that apply.) Tasks NA Agency Staff Designer's Consultant Contractor’s Construction Staff Contractor’s Consultant Staff Agency’s Consultant Staff Private- Sector Partner If Other, please explain: Technical review of construction shop drawings ………… Technical review of construction material submittals ………… Checking of pay quantities ………… Routine construction inspection ………… Quality control testing ………… Establishment of horizontal and vertical control ………… Verification testing ………… Acceptance testing ………… Independent assurance testing/inspection ………… Approval of progress payments for construction progress ………… Approval of construction post-award QA/QC plans ………… Report of nonconforming work or punch list …………

82 Staffing for Alternative Contracting Methods 29. Based on your knowledge and experience, please indicate the top 5 knowledge domains and skill sets that are critical to the success of implementing ACM (e.g., D-B, CM/GC, or P3) projects with each delivery method. Ability to explain construction plans, specification, and contract provisions Leadership and ability to coordinate other staff Experience in managing claim and disputes Understanding of project management principles Knowledge of project delivery and procurement procedure Understanding of federal and state environmental approvals and environmental commitments affecting implementation Ability to analyze constructability reviews and project phasing Knowledge of quality assurance principles for ACMs Familiar with federal transportation project finance structuring Ability to schedule, estimate, and control the work Knowledge of finance, accounting and cost management Project scheduling and resource loading Knowledge of change management Risk identification and analysis skills Knowledge of cost estimating practices and system implementation Strong background in the preconstruction process and planning Familiar with contractor’s build/assembly methods Performance and accountability reporting to multiple levels Knowledge of construction contract administration Strong partnering and team-building skills Excellent written and oral communication skills Ability to synthesize cross-checks and balances into project delivery methods Knowledge of development, tracking, and reporting of performance measures Documentation and record maintenance skills Other, please specify: _______________________________ Knowledge and Skill Sets D-B CM/GC P3 Knowledge of highway materials and construction means and methods

National Survey Questionnaire 83 30. Please rank the following “soft” skills relative to the success of implementing ACMs (e.g., D-B, CM/GC, or P3). (1 = Not Important, 2 = Slightly Important, 3 = Important, 4 = Very Important, 5 = Extremely Important, and NA = Not Applicable) “Soft” Skills 1 2 3 4 5 NA Flexible and adaptive Diverse backgrounds Innovative problem solving attitude Responsible and reflective Accountability and trust Flexibility and open to new concepts Strong commitment to successful outcome Other, please specify: _________________ 31. How do ACM (e.g., D-B, CM/GC, and P3) projects influence your staffing requirements compared to a traditional design-bid-build (D-B-B) project? D-B CM/GC P3 Less staff is required Less staff is required Less staff is required More staff is required More staff is required More staff is required No difference No difference No difference Don’t know Don’t know Don’t know 32. Please explain unique staffing issues in implementing ACM (e.g., D-B, CM/GC, or P3) proj- ects in your agency. D-B CM/GC P3 …………………. …………………. …………………. …………………. …………………. …………………. …………………. …………………. …………………. …………………. …………………. …………………. …………………. …………………. …………………. 33. What is the impact on your staffing requirements during the ACM (e.g., D-B, CM/GC, or P3) project close-out phase (e.g., warranties, record documents, and unpaid bills) compared to a traditional design-bid-build (D-B-B) project?  Less staff is required  More staff is required  No difference  Don’t know 34. Please explain staffing issues related to the ACM (e.g., D-B, CM/GC, or P3) project close-out phase: ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________

84 Staffing for Alternative Contracting Methods 35. Does your agency have a manual or document that specifically describes the staffing proce- dures to be used for ACM (e.g., D-B, CM/GC, or P3) projects?  Yes  No If yes, please add the weblink: _________________________________________or email [survey administrator] so they can obtain a copy. 36. What are the lessons learned in staffing practices to implement ACM (e.g., D-B, CM/GC, or P3) projects in your agency? ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ 37. Would you be willing to discuss your staffing practices in ACM (e.g., D-B, CM/GC, or P3) projects with the research team in a structured interview?  Yes  No 38. If the answer to Question 35 is NO, please direct us to someone else in your agency? Contact name: ___________________________________________ Phone number: ___________________________________________ E-mail: ___________________________________________ 39. Do you have any other information that you would like to share with the research team that might add value to this study? ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________