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Suggested Citation:"Chapter 9 - Conclusions and Recommendations." National Academies of Sciences, Engineering, and Medicine. 2020. Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods, Volume 3: Research Overview. Washington, DC: The National Academies Press. doi: 10.17226/25692.
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Page 46
Page 47
Suggested Citation:"Chapter 9 - Conclusions and Recommendations." National Academies of Sciences, Engineering, and Medicine. 2020. Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods, Volume 3: Research Overview. Washington, DC: The National Academies Press. doi: 10.17226/25692.
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Page 47
Page 48
Suggested Citation:"Chapter 9 - Conclusions and Recommendations." National Academies of Sciences, Engineering, and Medicine. 2020. Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods, Volume 3: Research Overview. Washington, DC: The National Academies Press. doi: 10.17226/25692.
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Page 48

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46 C H A P T E R 9 9.1 Conclusions The research addressed the primary research question, “What are the most effective tools for post-award contract administration of D-B and CM-GC projects?” The research produced two practitioner guidebooks in AASHTO format, based on the identification and analysis of the tools in use on a range of ACM projects for post-award contract administration of D-B and CM-GC projects. As an additional scope of work proposed by the research team, the research also produced an update to the AASHTO Guide for Design–Build Procurement. The state-of-practice review produced the following key items, which define the context for ACM in state highway agencies and validate the need for the guidebooks. • State legislation for D-B is more widespread than for CM-GC. • State manuals covering D-B are more widespread than for CM-GC. • Documents mention various specific tools and processes used by state agencies for ACM contract administration. However, there was no comprehensive documentation of these tools. • Tools and processes used in D-B-B are reported as being used in D-B and CM-GC. However, the stakeholder roles and timing may have been different for ACM projects. • Tools and processes included both tangible documents (e.g., a cost–savings matrix) and recommended practices (e.g., confidential one-on-one meetings). The IDEF modeling and in-depth case studies defined a set of ACM phases: Alignment, Design, Preconstruction Services (CM-GC only), Construction, and Project Closeout. These phases serve as an organization for the guidebooks to present strategies and tools. State agencies can use these phases to organize more comprehensive ACM guidance manuals, implement and develop ACM tools, and, ultimately, measure the performance of their ACM programs. To aid in implementation, the research produced five overarching CM-GC strategies and five overarching D-B strategies through a comprehensive examination of all the tools, an analysis of agency ACM manuals, and an analysis of themes from the case studies. Four of these strategies are consistent between both D-B and CM-GC contract administration. How- ever, two strategies are unique to either D-B or CM-GC. These strategies will assist agencies at both the program and project level. At the ACM program level, the strategies will help guide the development of policies and practices. At the project level, the strategies will help guide successful implementation of the existing tools, the creation or addition of new contract administration tools, and the successful administration of D-B and CM-GC projects. The research ultimately incorporated 28 tools for NCHRP Research Report 939: Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Con- tracting Methods, Volume 1: Design–Build Delivery, and 32 tools are included in NCHRP Conclusions and Recommendations

Conclusions and Recommendations 47 Research Report 939: Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods, Volume 2: Construction Manager–General Contractor Delivery. The tool descriptions were generated using the information obtained during the case studies, feedback from the practitioners–reviewers, and comments collected from the initial tool selection survey. These tools have proven effective in administering contracts for D-B and CM-GC projects, and all state transportation agencies should consider them for future use. 9.2 Challenges to Implementation The guidance that this research provides has the potential to increase the efficiency and effec- tiveness of ACM project delivery. Advancement of ACM contract administration will require a willingness of highway agencies to formalize their approaches and measure their effectiveness. It has taken more than a decade to implement the AASHTO Guide for Design–Build Procure- ment and to develop a common approach between states. Most industry members would agree that there is still work to be done. The publication of the CM-GC and D-B contract adminis- tration guidebooks will promote consistency and efficiency in state practices, but experience with D-B procurement shows that it will take a decade or more to fully implement the contract administration practices. It will take the efforts of highly motivated individuals and champions of change before the industry can fully realize the impacts of these advances. The challenges of implementing alternative ACM contract administration strategies and tools are similar to the implementation of any process changes across large public or private organizations. State highway agencies must consider several challenges when deploying this research. At a minimum, the following challenges exist: • Lack of widespread experience with ACM contract administration across agencies, particu- larly CM-GC experience; • Lack of state-level training and guidance manuals to promote consistency; and • Lack of performance measures and targets to measure ACM program success. NCHRP and FHWA have a role to play in addressing these challenges. Without national guidance, state agencies will produce individual solutions to these implementation challenges. Additional research and guidance can increase the pace of implementation and promote efficiency. 9.3 Recommendations The limitations of this research point toward additional research topics and implementa- tion actions. The NCHRP project panel was forward-looking in its request to develop an implementation approach and training materials with this research. These items are ready for deployment, but they need testing and refinement. The research also revealed the need to develop methods to measure ACM performance for continuous improvement, which do not exist. The following are critical topics that NCHRP and FHWA should consider for immediate implementation: 1. Test and deploy training materials. This research developed draft training materials relating to the strategies and tools in the guidebooks. However, the scope and funding for the research did not include testing or implementation. The research team strongly recommends a sys- tematic approach to testing these training materials and implementing them with five to six lead states. This approach will allow refinement of the material and distribution to all state highway agencies.

48 Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods 2. Test guidebook implementation on pilot projects. All of the tools in the guidebooks are in use by state highway agencies. However, the overarching strategies and the approach to selecting specific tools are new. Testing of the guidebook approach on pilot projects and publishing the results as case studies would aid in the speed and effectiveness of guidebook implementation. 3. Develop, test, and deploy ACM performance measures. The research revealed a lack of a comprehensive framework, performance measures, and targets for measuring ACM perfor- mance. CM-GC and D-B projects are selected for specific goals that might not be achieved through traditional delivery methods. Therefore, ACM projects and programs should use a unique set of performance measures. National research to develop a common set of ACM performance measures and targets will expedite and improve implementation. 4. Continue to develop new ACM tools where agencies have needs. During this research, gaps where there are a lack of ACM tools were discovered. Some areas to consider in- clude project closeout, risk management, quality management, constructability input, and work packaging. Researchers could work with agencies to develop practical tools for ACM contract administration to meet felt needs of agencies. The research team strongly recommends that NCHRP—potentially with the cooperation of FHWA—implement these four recommendations. Implementation will require partner- ship from AASHTO and a small group of state highway agencies. The research team is prepared to assist with implementation, and states that would be willing to participate are easily identifiable from the data collection in this research study. These recommendations provide opportunities to accelerate the diffusion of ACM knowledge.

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The use of alternative contracting methods (ACMs) has accelerated the delivery of highway design and construction projects. These changes came about through efforts of the Federal Highway Administration (FHWA) and state agencies over the last 30 years.

The TRB National Cooperative Highway Research Program's NCHRP Research Report 939: Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods, Volume 3: Research Overview provides the necessary methods and tools to help state agencies better administer Design–Build (D-B) and construction manager–general contractor (CM-GC) contracts on highway construction projects.

This Research Report documents the rigorous process followed to produce these two Guidebooks.

Vol. 1, on design-build delivery, and Vol. 2, on construction manager–general contractor delivery, are also available.

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