Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods, Volume 3: Research Overview (2020)

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24 C H A P T E R 5 5.1 Introduction Task 4 of this research project involved a case study approach to gather information about state agency tools and methods. The team applied a methodologically rigorous approach to select a diverse set of 30 projects representing a variety of project sizes for CM-GC and D-B. The final distribution of case studies is shown in Table 5.1. This chapter will explain the research team’s case study project selection process. 5.2 Data Collection Process As an initial step for data collection, the research team developed and administered an online survey to request project names and details for potential case studies. The research team contacted 56 ACM experts in 56 agencies nationwide, in Canada, and in Puerto Rico, including the 50 states; the District of Columbia; Ontario, Canada; Colorado Bridge Enter- prise; and the FHWA Central and Western Federal Lands Highway Divisions. The experts’ names and contact information were presented to the NCHRP project panel for review. The panel provided valuable feedback with regard to the best individuals to contact in their respec- tive states. The survey questionnaire asked 12 distinct questions to gather the following information: • State or agency name, • Project name, • Project or contract number, • Contract type, • Primary facility type, • Project type, • Estimated dollar value of construction, • Approximate construction start date, • Construction stage in summer of 2017, • Approximate or estimated project finish date, • Project contact (name, email address, and phone number), and • Additional comments. The survey was administered using the Qualtrics online survey software platform. It allowed the research team to identify 70 projects that fit the project selection criteria developed for this research. The responses represent 32 agencies distributed across the United States, which indi- cates a response rate of 57 percent. Figure 5.1 shows the geographical distribution of the agencies Case Study Project Selection

Case Study Project Selection 25 that was used for the final list of case studies (i.e., states that responded to the research team’s case study requests and had projects that fit the team’s desired size and delivery method). 5.3 Project Selection Initially, the research team wanted to select 30 case studies with the distribution shown in Figure 5.2. For both CM-GC and D-B, the research team attempted to select five projects from each size category, ranging from less than $10 million to greater than $50 million. However, no CM-GC projects of less than $10 million in size were found. This category was removed, and the team distributed five more projects between the remaining categories to reach the desired total of 30 projects. The final distribution is shown in Table 5.1. Most projects selected were complete or nearing completion, allowing agency teams to more accurately gauge project success and access project team members with recent knowledge. Post- award contract administration practices were examined in retrospect for the earlier phases of these projects. A complete list of the case studies can be seen in Tables 5.2 and 5.3. Figure 5.1. Geographical distribution of case studies. Size Delivery Method <$10 million >$50 million D-B 6 Projects 6 Projects 7 Projects CM-GC 0 Projects 6 Projects 5 Projects ≥ $10 million–≤ $50 million Table 5.1. Distribution of selected projects.

26 Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods Case Study No. Agency Project Name Contract Type Primary Facility Type Project Type Dollar Value Con. Start Date 1 Pennsylvania DOT West 4th Street Bridge Design– Build Bridge Rehabilitation/ Reconstruction $3M Spring 2016 2 Florida DOT SR 90 Traffic Signal Update Design– Build ITS Rehabilitation/ Reconstruction $4M Feb 2016 3 Florida DOT I-75(SR 93A) Design–Build ITS Rehabilitation/ Reconstruction $3M Jan 2017 4 Virginia DOT Braddock and Pleasant Valley Intersection Improvements Design– Build Road Rehabilitation/ Reconstruction $6M Apr 2015 5 Georgia DOT SR-299 Bridge over I-24 Design– Build Bridge Rehabilitation/ Reconstruction $7M Aug 2016 6 Michigan DOT US-2 Iron Mountain Design– Build Road Rehabilitation/ Reconstruction $2M March 2017 7 FHWA Central Federal Lands Highway Division Lahaina Bypass 1B-2 Design–Build Road, Bridge, Drainage New Construction/ Expansion $39M Jan 2017 8 Arizona DOT Grand–Bell Traffic Interchange Design– Build Road, Bridge, Other New Construction $42M Jan 2016 9 ConnecticutDOT Route 8 Design–Build Design– Build Road, Bridge, Drainage Rehab/Recon $36M Jun 2015 10 Missouri DOT St. Louis District Safety Design–Build Road, Bridge, Drainage, ITS New Construction/ Expansion $24M Jul 2017 11 New York State DOT Wellwood Bridge Design– Build Bridge Reconstruction $20M Spring 2016 12 Vermont Agency of Transportation I-89 in Milton Design–Build Bridge Reconstruction $23M Fall 2013 13 Colorado DOT I-25–Cimarron Design–Build Design– Build Road, Bridge, Drainage, ITS Rehab/Recon $72M Mar 2015 14 North Carolina DOT Business 40 (Salem Parkway) Design– Build Road, Bridge New Construction $99M Fall 2017 15 Maryland DOT State Highway Administration MD 404–US 50 to East of Holly Road Design– Build Road, Bridge New Construction/ Expansion $105M Jun 2016 16 Caltrans Devore Interchange Design–Build Road, Bridge Reconstruction $208M Dec 2012 17 Florida DOT E2U46 I-95 @ I-295Interchange Design– Build Road Reconstruction $177M July 2016 18 Georgia DOT Northwest Corridor Project Design– Build Road, Bridge, Drainage, ITS New Construction/ Expansion $600M Oct2014 19 Washington State DOT I-405, NE 6th Street to I-5–NB Hard Shoulder Running and ETL Improvement Design– Build Road, Drainage, ITS Rehabilitation/ Reconstruction $155M Feb 2012 Note: Con. = construction; SR = state route; ITS = intelligent transportation system; NB = northbound; ETL = express toll lane. Design–Build <$10 million Design–Build $10 million to $50 million Design–Build >$50 million Table 5.2. Design–build case studies. Figure 5.2. Initial case study distribution.

Case Study Project Selection 27 5.4 Summary The case study approach to this research project resulted in analysis of 30 projects from 18 state agencies. These construction projects were executed using D-B or CM-GC contract- ing methods, and sizes ranged from $2 million to $600 million. The diversity in project size, contracting method, and state agencies allowed the research team to conduct a thorough investigation and identify a variety of contract administration tools and methods used to deliver the projects. Case Study No. Agency Project Name Contract Type Primary Facility Type Project Type Dollar Value Con. Start Date Construction Manager–General Contractor $10 million to $50 million 20 Colorado DOT I-70 Vail Underpass CM-GC Road, Bridge New Construction/ Expansion $31M Oct2015 21 Colorado DOT US 6 and 19th Interchange CM-GC Road, Bridge, Drainage New Construction/ Expansion $25M Feb 2016 22 Colorado DOT I-25/Arapahoe CM-GC CM-GC Road, Bridge, Drainage, ITS Rehabilitation/ Reconstruction $50M May 2016 23 FHWA Central Federal Lands Highway Division South Fork Smith River Road CM-GC Bridge Rehabilitation/ Reconstruction $15M Aug 2013 24 Caltrans I-215/Barton Road Interchange CM-GC Road, Bridge Reconstruction $47M Nov 2017 25 Utah DOT SR-108; SR-127 to SR-107 CM-GC Road Reconstruction/Expansion $50M Mar 2017 Construction Manager–General Contractor >$50 million 26 Minnesota DOT Winona Bridge CM-GC Bridge New Construction/ Expansion, Rehabilitation/ Reconstruction $147M Aug 2014 27 Arizona DOT Ina Road Traffic Interchange–GMP 1 CM-GC Road New Construction/ Expansion, Rehabilitation/ Reconstruction $124M July 2016 28 Colorado DOT SH 82/Grand Avenue Bridge CM-GC Road, Bridge New Construction/ Expansion $75M Jan 2016 29 Minnesota DOT TH 53 CM-GC Road, Bridge New Construction/ Expansion $156M Nov 2015 30 Colorado DOT E-470 Widening–Parker to Quincy CM-GC Road, Bridge, Drainage New Construction/ Expansion $90M Spring 2016 Note: SH = state highway; TH = trunk highway. Table 5.3. Construction manager–general contractor case studies.