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Suggested Citation:"Chapter 6 - Case Study Interview Protocol." 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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Suggested Citation:"Chapter 6 - Case Study Interview Protocol." 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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Suggested Citation:"Chapter 6 - Case Study Interview Protocol." 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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Suggested Citation:"Chapter 6 - Case Study Interview Protocol." 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.
×
Page 31
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Suggested Citation:"Chapter 6 - Case Study Interview Protocol." 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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Suggested Citation:"Chapter 6 - Case Study Interview Protocol." 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.
×
Page 33
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Suggested Citation:"Chapter 6 - Case Study Interview Protocol." 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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28 C H A P T E R 6 6.1 Introduction The main objective of Task 4 was to conduct multiple case studies of alternative contract- ing method projects delivered by agencies. The intent was to analyze, summarize, and docu- ment the post-award contract administration methods and tools that state agencies used on the previously identified D-B and CM-GC projects (see Chapter 5). This chapter describes how the research team conducted the case studies. 6.2 Case Study Process In preparation for each case study, the research team administered a short questionnaire to collect the following data prior to the interview: • Project attributes, in addition to those originally provided in the project selection question- naire (see Chapter 5); • Key post-award contract administration tools used in various phases of the project; • Key personnel for interview (e.g., project manager, project engineer, and QA-QC manager); and • Key contact information. The pre-interview questionnaire further prepared the research team ahead of the inter- view. It informed the decision whether to conduct a full interview for a specific project based on research fitness, availability of post-award contract administration tools, and availability of project personnel to participate in an interview. The interview consisted of several open-ended questions organized by the major activities identified in the research team’s IDEF process. For each activity, the respondents were asked to walk through their contract administration process and to share a method or tool used for this activity, if applicable. These tools varied from items such as a checklist and a software solution to a high-level framework. In order to receive comprehensive feedback, the research team asked clarifying questions or brought up areas in the IDEF model that the agency did not mention in their initial responses. The research team used the IDEF model structure to prompt questions at all levels, as described in this section. The target duration for each interview was approximately 2 hours. In most cases, multiple team members from a single project joined the same interview. When this was not possible, the research team asked the respondents to gather information from other team members before or after the interview was completed. Case Study Interview Protocol

Case Study Interview Protocol 29 6.3 Case Study Questions The following outline shows the general format and flow of the D-B case study process. Where appropriate, the outline highlights how this layout differed between D-B and CM-GC projects. Again, to mitigate response bias from agency representatives, the questions and topics were inten- tionally open-ended. Questions were used to guide the case studies but not to limit them. 1. Introductions: a. Thank you . . . b. Is it okay to record our conversation today? c. Introduce researchers and agency personnel involved in the interview. 2. Goal of research project: Discuss the motivation behind this research and data the research team is collecting. Present the following: a. Guidebooks: The University of Colorado Boulder and Arizona State University are developing two AASHTO post-award contract administration guidebooks: – One for design–build (D-B) and – One for construction manager–general contractor (CM-GC). Your DOT can benefit from this project in two ways. First, if one or more of your tools are selected, your DOT will be recognized as a leader of best practices. Second, the manuals will make tools from other agencies available to your DOT. To make these guides as relevant as possible, we are reaching out to you and other DOT representatives to identify D-B and CM-GC contract administration methods and tools that DOTs are finding effective. We have chosen your project because it fits the characteristics chosen for this research. b. Methods and Tools: We will be asking you open-ended questions concerning the con- tract administration methods and tools that you have found effective on this specific project. If you have processes, methods, or tools that you have found effective on other projects please let us know, but specify that they were not used on this specific project. One of the main goals of this interview is to gather these tools today or in a follow-up. We appreciate you sharing with us any documents that are used as tools. TOOLS DEFINED. For this case study, a tool is a document or event that supports the execution of the project by helping to perform a task. Background for the Research Team Strategy defined: A strategy is a plan of action intended to accomplish a specific goal. Strategies typically address a specific problem and are formulated to address a problem’s root cause. Method defined: The strategy is implemented through a method. A method is a means or manner of procedure, especially a regular and systematic way of accomplishing some- thing. The method must support the strategy. Tool defined: A method is then implemented using a tool. A tool is something used in the performance of an operation.

30 Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods We would like to know about informal or formal tools you use, either personally developed or externally provided, such as: � Templates for meeting agendas or meeting minutes, � Excel spreadsheet templates, � Basic guidelines given by coworkers–superiors and so on, � Checklists, � Flow charts, � Events or meetings, � Etc. Additionally, we would like to understand: – Who is involved with each activity (individuals and organizations); – Any guidance you use to inform the use of a tool (websites, publications, agency manuals, federal guidebooks, etc.); – Strategies and processes you use to guide the use of tools or methods; and – Any constraints that control the process (environmental restrictions, utilities, permits, etc). 3. Project description: Please briefly describe the targeted project: project size, project type, project location, any unusual occurrences that may have made the project unique or an outlier (i.e., Acts of God/Force Majeure, extreme delays, extreme additions of scope, unusual stakeholders, etc.). Construction can generate a lot of documents and records. How would you describe your project documentation on a scale from Excellent—Average—Could be Better? If needed, ask: I will list off some documents, and you can respond “yes” or “no” as to whether you use these and High, Average, Low as to the level of completeness/thorough- ness of the record keeping. Examples are RFI logs, submittal logs, inspection logs, punch lists, change orders, progress payments, risk analysis, innovation tracking, third-party coordination, long lead-time procurement, early work packages, etc. 4. D-B activities: The four highest-level activities we identified for design–build were – Administer alignment between the D-B and DOT, – Administer design of a D-B project, – Administer preconstruction services of a CM-GC Project (CM-GC Only), – Administer construction of a D-B project, and – Administer closeout for a D-B project. a. The heart of this interview focuses on these four main activities just mentioned. These activities may overlap in time. We will plan to spend about 20 minutes on each of the four sections. b. (Show interviewees a graphic of this level). For consistency across interviews, I will go through a list of scripted questions. At times I may redirect or move us forward as needed. c. Do you have any questions or clarifications on any of these? 5. Administer alignment between D-B and DOT seems to be an important feature of D-B. It includes coming to an agreement on roles, responsibilities, and processes; plans for moving forward and functioning as a team; guidelines for the team; and project goals. For a D-B project, this would happen between the design–builder and the owner.

Case Study Interview Protocol 31 a. Do you have any questions or clarifications regarding this activity? b. We will now ask about the tools used in the activities comprising administer alignment between D-B and DOT. (Researcher goes through each activity listed below with the same question). c. Are there any tools or methods your agency used to facilitate Conduct Kickoff Meeting? (e.g., agendas, checklists, rubrics, training, or stipend). i. Researcher records all stated tools. ii. If there are any tools that the researcher is aware of from literature review, IDEF model, or previous case studies, and that the interviewee did not bring up, the researcher will ask whether or not the interviewee is aware of the tool and about its effectiveness. – Conduct Kickoff Meeting – Administer Team Alignment Meeting – Align Project Plans � Align Stakeholder Management Plans; � Agree upon Cash Flow, Schedule of Values, and Schedule; � Review Quality Management Plan and Risk Management Plan; � Align Construction Implementation Plans with D-B and DOT; � Execute Partnering Plan and Align Team Integration; and � Develop Project Plan Package. 6. Administer design of a D-B project includes overseeing the completion of the design, ensuring compliance to specifications, and ability to meet the project goals per the contract. a. Do you have any questions or clarifications regarding this activity? b. We will now ask about the tools used in the activities comprising administering design of a D-B project. (Researcher goes through each activity with the same question). c. Are there any tools or methods your agency used to facilitate Ensure design compliance? (e.g., agendas, checklists, rubrics, training, or stipend). i. Researcher records all stated tools. ii. If there are any tools that the researcher is aware of from literature review, IDEF model, or previous case studies, and that the interviewee did not bring up, the researcher will ask whether or not the interviewee is aware of the tool and about its effectiveness. d. Ensure design compliance � Ensure environmental compliance, � Manage utilities and permits, � Manage right-of-way (ROW) and temporary construction easements, � Ensure functional requirements, and � Ensure schedule requirements. – Manage work package coordination – Review design package – Approve design invoice – Manage design documentation – Enact contract modifications which impacts design 7. (CM-GC Only) Administer preconstruction services of a CM-GC project includes over- seeing input that the contractor provides during the design process. a. Do you have any questions or clarifications regarding this activity? b. We will now ask about the tools used in the activities comprising administer preconstruction services of a CM-GC project. (Researcher goes through each activity with the same question). c. Are there any tools or methods your agency used to facilitate Review CM-GC Input for Design? (e.g., agendas, checklists, rubrics, training, or stipend). i. Researcher goes through entire list of unique activities and records all stated tools. ii. If there are any tools that the researcher is aware of from literature review, IDEF model, or previous case studies, and that the interviewee did not bring up, the researcher will ask whether or not the interviewee is aware of the tool and about its effectiveness.

32 Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods – Review CM-GC input for design – Review project management plans – Negotiate GMP (CAP) – Approve CM-GC preconstruction services invoices – Enact CM-GC contract modifications – Manage CM-GC documentation 8. Administer construction of a D-B project includes ensuring the D-B firm successfully builds what is agreed upon in the contract. a. Do you have any questions or clarifications regarding this activity? b. We will now ask about the tools used in the activities comprising administering construction of a D-B project. (Researcher goes through each activity with the same question). c. Are there any tools or methods your agency used to facilitate Manage Legal Relations? (e.g., agendas, checklists, rubrics, training, or stipend). i. Researcher records all stated tools. ii. If there are any tools that the researcher is aware of from literature review, IDEF model, or previous case studies, and that the interviewee did not bring up, the researcher will ask whether or not the interviewee is aware of the tool and about its effectiveness. – Manage Legal Relations – Manage Public Relations – Manage Materials � Sample and Verify Materials � Test Materials � Certify Materials – Control and Inspect Work � Inspect Work for Conformance of Plans and Specifications � Review Completion of Punch List Items � Document the Daily Work, Compliance, and Quality � Monitor D-B QA-QC � Manage nonconformances � Review nonconformance design solution – Execute Supplemental Agreements � Receive change order � Estimate cost and time adjustments � Negotiate cost and time adjustments at site level � Review change order � Execute change order – Resolve disputes – Measure progress and pay contractor � Receive contractor invoice � Review payment invoice � Execute payment – Acquire project completion documentation – Ensure as-builts are being developed by design–builder d. Additional questions: i. How does the owner’s roles and responsibilities change for quality control? ii. How does the owner’s roles and responsibilities change for measure progress and pay contractor? iii. Please describe how shared and owner contingencies are determined and how they are used during construction.

Case Study Interview Protocol 33 9. Administer closeout of a D-B project includes performing all of the tasks required to ensure the job is properly closed per contractual obligations and documents are retained per DOT requirements. a. Do you have any questions or clarifications regarding this activity? b. We will now ask about the tools used in the activities comprising administer closeout of a D-B project. (Researcher goes through each activity with the same question). c. Are there any tools or methods your agency used to facilitate Conduct Final Inspection? (e.g., agendas, checklists, rubrics, training, or stipend). i. Researcher goes through entire list of unique D-B activities and records all stated tools. ii. If there are any tools that the researcher is aware of from literature review, IDEF model, or previous case studies, and that the interviewee did not bring up, the researcher will ask whether or not the interviewee is aware of the tool and about its effectiveness. – Conduct final inspection � Perform inspection � Review punch list work – Review final turnover documentation � Review as-built plans � Review contractor turnover documentation � Review contractor payments – Review invoice for final payment – Review corrective action completion – Execute contractor release – Conduct contractor evaluation and lessons learned – Execute warranties 10. We would like to ask you a few questions about innovations that may have occurred on your D-B project. Innovations would include methods, materials, or processes used on the project that are not ordinarily used. a. Did any innovations occur on this project? What was the innovation? b. At what phase of the project did the innovation occur? (0–30%, 31%–60%, 61%–90%, 91%–100%, or construction?) c. Did early contractor involvement influence each innovation? If so, how? 11. Conclusion: a. Did we miss any agency activities or tools that you used on this project or similar projects? b. For a DOT starting out in D-B, is there any tool you would highly recommend to them? c. That brings us to the conclusion of our interview. Is there anything else you would like to share about the tools you use to administer this D-B project? d. We will be following up with you via email to request and gather some of the specific tools your team talked about today. e. Thank you. 6.4 Case Study Follow-Up After the case study interviews, the research team sent a follow-up email to all attendees, thanking them for their participation. At this time, the research team also requested copies of any documents that were discussed but not provided during the interview. Typically, these documents were anything that would help the research team better understand the project [e.g., request for qualifications (RFQs), RFP, or submittals] or the tools used to execute it (e.g., tem- plates, checklists, or agendas).

34 Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods In some cases—as the research team was developing tool descriptions—interviewees were contacted again to provide feedback on the status of the tool description. This follow-up was used to clarify questions about the tool and to ensure accuracy. 6.5 Summary These case studies were conducted to learn more about the specific tools and methods used by state agency project teams to effectively deliver D-B and CM-GC highway construction projects. The research team developed the case study interview protocol based on the IDEF models. The research team conducted the interviews in a way that encouraged unprompted and unbiased responses by agency team members. This process was crucial for the development of the tools presented in these guidebooks.

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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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