Guidebook for Integrating Collaborative Partnering into Traditional Airport Practices (2019)

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A I R P O R T C O O P E R A T I V E R E S E A R C H P R O G R A M ACRP RESEARCH REPORT 196 2019 Research sponsored by the Federal Aviation Administration Subscriber Categories Aviation Guidebook for Integrating Collaborative Partnering into Traditional Airport Practices Sinem Mollaoglu Angelo Garcia Harshavardhan Kalbhor Michigan State UniverSity Lansing, MI a n d Brian Polkinghorn center for conflict reSolUtion SaliSbUry UniverSity Salisbury, MD

AIRPORT COOPERATIVE RESEARCH PROGRAM Airports are vital national resources. They serve a key role in trans- portation of people and goods and in regional, national, and interna- tional commerce. They are where the nation’s aviation system connects with other modes of transportation and where federal responsibility for managing and regulating air traffic operations intersects with the role of state and local governments that own and operate most airports. Research is necessary to solve common operating problems, to adapt appropriate new technologies from other industries, and to introduce innovations into the airport industry. The Airport Cooperative Research Program (ACRP) serves as one of the principal means by which the airport industry can develop innovative near-term solutions to meet demands placed on it. The need for ACRP was identified in TRB Special Report 272: Airport Research Needs: Cooperative Solutions in 2003, based on a study spon- sored by the Federal Aviation Administration (FAA). ACRP carries out applied research on problems that are shared by airport operating agen- cies and not being adequately addressed by existing federal research programs. ACRP is modeled after the successful National Cooperative Highway Research Program (NCHRP) and Transit Cooperative Research Program (TCRP). ACRP undertakes research and other technical activi- ties in various airport subject areas, including design, construction, legal, maintenance, operations, safety, policy, planning, human resources, and administration. ACRP provides a forum where airport operators can cooperatively address common operational problems. ACRP was authorized in December 2003 as part of the Vision 100— Century of Aviation Reauthorization Act. The primary participants in the ACRP are (1) an independent governing board, the ACRP Oversight Committee (AOC), appointed by the Secretary of the U.S. Department of Transportation with representation from airport operating agencies, other stakeholders, and relevant industry organizations such as the Airports Council International-North America (ACI-NA), the American Associa- tion of Airport Executives (AAAE), the National Association of State Aviation Officials (NASAO), Airlines for America (A4A), and the Airport Consultants Council (ACC) as vital links to the airport community; (2) TRB as program manager and secretariat for the governing board; and (3) the FAA as program sponsor. In October 2005, the FAA executed a contract with the National Academy of Sciences formally initiating the program. ACRP benefits from the cooperation and participation of airport professionals, air carriers, shippers, state and local government officials, equipment and service suppliers, other airport users, and research organi- zations. Each of these participants has different interests and responsibili- ties, and each is an integral part of this cooperative research effort. Research problem statements for ACRP are solicited periodically but may be submitted to TRB by anyone at any time. It is the responsibility of the AOC to formulate the research program by identifying the highest priority projects and defining funding levels and expected products. Once selected, each ACRP project is assigned to an expert panel appointed by TRB. Panels include experienced practitioners and research specialists; heavy emphasis is placed on including airport professionals, the intended users of the research products. The panels prepare project statements (requests for proposals), select contractors, and provide technical guidance and counsel throughout the life of the project. The process for developing research problem statements and selecting research agencies has been used by TRB in managing coop- erative research programs since 1962. As in other TRB activities, ACRP project panels serve voluntarily without compensation. Primary emphasis is placed on disseminating ACRP results to the intended users of the research: airport operating agencies, service pro- viders, and academic institutions. ACRP produces a series of research reports for use by airport operators, local agencies, the FAA, and other interested parties; industry associations may arrange for workshops, training aids, field visits, webinars, and other activities to ensure that results are implemented by airport industry practitioners. ACRP RESEARCH REPORT 196 Project 08-02 ISSN 2572-3731 (Print) ISSN 2572-374X (Online) ISBN 978-0-309-48011-6 Library of Congress Control Number 2019930338 © 2019 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FMCSA, FRA, FTA, Office of the Assistant Secretary for Research and Technology, PHMSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. Images: The following stock images from 123RF Stock Photo (www.123rf.com) appear in this guidebook: profile_orla”>orla; profile_coramax”>coramax; profile_pixelery”> pixelery; profile_johan2011”>johan2011; profile_photostocker”>photostocker; profile_ sparrow3d”>sparrow3d; profile_texelart”>texelart; profile_abluecup”>abluecup; profile_ coramax”>coramax; profile_anatolymas”>anatolymas; and profile_nicolasmenijes”> nicolasmenijes. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the Airport Cooperative Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report. Published research reports of the AIRPORT COOPERATIVE RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to http://www.national-academies.org and then searching for TRB Printed in the United States of America

The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. C. D. Mote, Jr., is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.national-academies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to increase the benefits that transportation contributes to society by providing leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied committees, task forces, and panels annually engage about 7,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.

C O O P E R A T I V E R E S E A R C H P R O G R A M S AUTHOR ACKNOWLEDGMENTS The principal investigators and members of the research team wish to acknowledge the invaluable contributions of the following industry partners, without whose help this guidebook could not have been created: • Douglas Gransberg, Gransberg & Associates Inc., Norman, OK; • Roddy Boggus, RS&H, Dallas, TX; • Joe Jackson, RS&H, San Francisco, CA; • Duane Boreham, Q&D Construction, Inc., Sparks, NV; • Carla Lopez, LEED AP, Fort Collins, CO; • Kurt Dettman, Strategic Enterprise Technology Inc., Boston, MA; and • Anthony Sparkling, AES Consulting Solutions, LLC, Ann Arbor, MI. CRP STAFF FOR ACRP RESEARCH REPORT 196 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Michael R. Salamone, Manager, Airport Cooperative Research Program Marci A. Greenberger, Senior Program Officer Brittany Summerlin-Azeez, Program Coordinator Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Sharon Lamberton, Editor ACRP PROJECT 08-02 PANEL Field of Construction Angel E. Ramos, St. Louis Lambert International Airport, Bridgeton, MO (Chair) Rohini Kumarage, City of Austin (TX) Department of Aviation, Austin, TX Jennifer Maples, City of Phoenix (AZ) Aviation Department, Phoenix, AZ Lloyd A. McCoomb, Oakville, ON Robert Reaugh, OrgMetrics LLC, Livermore, CA Palmina M. Whelan, American Airlines, Inc., Fort Worth, TX Holly Cyrus, FAA Liaison Ben Mahaffay, FAA Liaison Christopher J. Oswald, Airports Council International—North America Liaison T.J. Schulz, Airport Consultants Council Liaison Christine Gerencher, TRB Liaison

ACRP Research Report 196 provides guidance for using collaborative partnering for air- port construction projects. Regardless of the type of project delivery method, the guidance is scalable so that airports of all sizes can use the collaborative partnering method for con- struction projects of all sizes, types, and levels of complexity. Because collaborative part- nering is new to the airport industry, the guidance includes discussion about the benefits of partnering and how to measure success along with how to implement this approach. As an approach to project management, collaborative partnering has been used exten- sively by the construction industry since the 1980s. Collaborative partnering is a structured process to bring owners, designers, and construction teams face-to-face throughout the life of the project, and often is facilitated by a neutral third party. The process brings together all the stakeholders, including those responsible for managing and/or operating the assets. It improves communication, trust, and conflict resolution. Previous research has shown that collaborative partnering can result in cost and time savings, an increase in safety during construction, and reductions in claims. A team of academicians and practitioners led by Michigan State University developed this guidebook so that airport staff involved in all aspects of the design, construction, operation, and maintenance phases of constructing new airport assets will know how collaborative partnering can enhance tasks during the process, and how to implement the process. The research included reaching out to the construction industry, airports, and state departments of transportation who have used collaborative partnering to understand and capture lessons- learned about how best to apply this process in the airport environment. Staff from airports of all sizes and levels of complexity can benefit from utilizing collab- orative partnering in any construction project. F O R E W O R D By Marci A. Greenberger Staff Officer Transportation Research Board

1 Summary 6 Chapter 1 Collaborative Partnering 6 1.1 What Is Collaborative Partnering? 7 1.2 Making the Business Case to Obtain Top Management Support 10 1.3 Project Examples 12 1.4 Barriers to Partnering and Resources to Overcome Them 13 1.5 Adopting This Guidebook 17 Chapter 2 The Flight Manual: Collaborative Partnering Tools 17 2.1 Introduction 18 2.2 Collaborative Partnering Tools 29 Chapter 3 The Flight Plan: Implementing Collaborative Partnering in Airport Projects 29 3.1 Introduction 31 3.2 Step 1: Assess Project Risk 33 3.3 Step 2: Determine Partnering Intensity Level 33 3.4 Step 3: Follow the Partnering Implementation Framework 38 3.5 Step 4: Develop and Use the Partnering Checklist 38 3.6 Partnering Costs and Responsible Parties 42 Chapter 4 The Pilot and the Crew: Partnering Facilitators and Project Stakeholders 42 4.1 Introduction 42 4.2 Partnering Facilitators 46 4.3 Stakeholders 50 Chapter 5 Ground Control: Role of the Organization in Partnering 50 5.1 Introduction 50 5.2 The Organizational Readiness Model for Partnering 52 5.3 Components and Application of the Organizational Readiness Model 58 Chapter 6 Conclusions 58 6.1 Collaborative Partnering for Airport Construction Projects 58 6.2 A Note to Top Management: Why Support Collaborative Partnering? 59 6.3 Successful Implementation of Collaborative Partnering 59 6.4 Thinking Beyond the Project to the Organization 59 6.5 Final Words 60 References C O N T E N T S

61 Appendix A Samples of Collaborative Partnering Tools 88 Appendix B Examples of Partnering Costs 91 Appendix C Resources to Learn More Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.