Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods, Volume 1: Design–Build Delivery (2020)

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5  Table 1.1 D-B contract administration tools Contract administration phase Tools for D-B contract administration A lig nm en t D es ig n C on st ru ct io n C lo se ou t 1 Kickoff meeting  2 Roles and responsibilities  3 Confidential One-on-one meeting  4 Glossary of terms  5 Co-Location of key personnel   6 Regulatory agency partnering   7 External stakeholder coordination plan   8 D-B specific partnering     9 Continuity of team members     10 FHWA involvement overview     11 Permit commitment database     12 Plan standards  13 Deviations from agency standards  14 Discipline task force  15 Independent party design review  16 Cost savings matrix  17 In-progress design workshops  18 Over-the-shoulder reviews  19 Scope validation period   20 Public announcements    21 Delegation of authority    22 Contractor controlled QC testing  23 Contractor involvement in establishing QC Standards  24 Incentive/disincentive program for superior quality  25 Real-time electronic QM information  26 Dual construction engineering inspector roles  27 Witness and hold points  28 Payment checklist  

    6    1.8 Reader’s Guide The target audience for this Guidebook is state transportation agency personnel. The Guidebook contains information for agency leaders, D-B project managers, and technical staff. Consultants, engineers, and contractors will also benefit from the Guidebook because it allows them to understand their roles and responsibilities in the process and understand the tools agencies will be using to administer their D-B projects. The Guidebook will assist agencies with achieving the cost and time savings that SAFETEA-LU and the FHWA EDC envision through the use of D-B. A Strategic Perspective for Leaders To maximize the benefits of D-B contract administration tools, the Guidebook suggests six overarching contract administration strategies: alignment, scope, design quality, construction quality, and construction efficiency. Chapter 2 discusses these strategies in detail. Agency leadership is the primary audience for this chapter. Strategies support the use of the tools in this Guidebook and the creation of new, agency- specific tools. Moreover, agency leaders must be aware of and commit to transforming organizational culture, mentoring individual behavior, and developing procedures for alternative contracting methods. Agencies that are effective at modifying their culture and procedures specific to D-B contract administration will ensure the integration of strategies and tools in all project phases. For example, agency leadership must support a shift in roles, such as reviewing submittals for conformance with performance specifications and not prescribing design decisions. This is a significant change in culture from the traditional D-B-B contracting method, which approaches reviews from a perspective of standardization rather than innovation. The application of D-B contracting impacts agency culture in all phases of contract administration. Agency leadership can support this change through the application of the strategies and tools found in this Guidebook. Guidebook Organization Chapter 2 describes overarching management strategies that help categorize and recommend tools for use in D-B contract administration within an agency. Chapter 3 discusses the D-B process at the pre-award phase and touches on key topics such as the reasons why D-B is selected and how much design is typically completed prior to the involvement of the design-builder. Chapters 4–7 are the heart of this Guidebook. Each of these chapters introduces one of the four post-award phases and briefly describes the tools available in that phase. These chapters help to clarify an agency’s role in administering alignment, design, construction, and closeout. Chapter 8 describes the steps that agencies can take to implement the strategies and tools in this Guidebook. It also provides guidance on performance measures and continuous improvement. Finally, Appendix A provides details in a consistent format of each tool identified, along with descriptions and successful examples from various agencies. Agency leaders must commit to transforming organizational culture, mentoring individual behavior, and developing procedures for alternative contracting methods.

    7    Finally, readers should be aware that the Recommended AASHTO D-B Procurement Guide (AASHTO 2008) complements this Guidebook. The D-B Procurement Guide emphasizes setting projects up for success by focusing mostly on the pre-award phases of the process. It serves as an excellent precursor to this Guidebook. As part of the research for this D-B Guidebook, the research team also developed the Guidebook for Post-Award Contract Administration for Highway Projects Delivered Using CM/GC. While the organizational and administration processes differ between D-B and CM/GC, many of the strategies and tools overlap.

    8    Chapter 2. Overarching Contract Administration Strategies 2.1 Introduction The purpose of this chapter is to introduce overarching strategies that will aid in successful D-B contract administration. A comprehensive examination of the 28 tools in this Guidebook, content analysis of agency ACM manuals, and themes from the case studies reveals higher-level strategies for D-B contract administration success. Five overarching D-B contract administration strategies will assist with the implementation of the existing tools, the creation or addition of new contract administration tools, and, ultimately, the successful administration of D-B projects. Alignment Strategy – Establish clear project goals and create productive relationships within the agency, and between the agency and D-B team members. Scope Strategy – Ensure the project scope and responsibilities are understood and agreed upon by all parties. Design esign Quality Strategy – Ensure design quality through active participation in design reviews and accurate implementation of the RFQ/RFP requirements. Construction Quality Strategy – Promote quality during construction and enforce requirements of the D-B contract. Construction Efficiency Strategy – Implement a system that increases efficiency during construction and aligns with roles and contractual responsibilities. The following sections describe the strategies in more detail and discuss how agency leadership can implement them across programs and within projects. Readers will find the strategy icons throughout the Guidebook, particularly in the tools appendix, to highlight the strategies that the tools address.