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Contents Summary ......................................................................................................................................... 1 Chapter 1 Introduction ................................................................................................................... 4 1.1 Background .......................................................................................................................... 4 1.2 Benchmarking Report .......................................................................................................... 4 1.3 Final Report Structure .......................................................................................................... 5 Chapter 2 Benchmarking Report Synopsis .................................................................................... 6 2.1 Synthesis 455 Literature Review Update ............................................................................. 6 2.2 ATC Solicitation and Program/Policy Document Content Analysis ................................... 6 2.3 Update Synthesis 455 Case Law Review ............................................................................. 6 2.4 ATC Implementation, Intellectual Property, NEPA, and Programmatic Issues .................. 7 2.4.1 ATC Implementation Initiatives ..................................................................................... 8 2.4.2 ATC Intellectual Property Issues .................................................................................... 8 2.4.3 ATC NEPA, Environmental Permitting, and Right of Way Issues ................................ 8 2.5 âBetter than or Equal Toâ Assessment ................................................................................. 9 2.6 Phase 1 Findings ................................................................................................................. 10 Chapter 3 ATC Working Definition ............................................................................................ 12 3.1 Current Definitions ............................................................................................................. 12 3.1.1 State DOT Definitions .................................................................................................. 12 3.1.2 Non-Agency Definitions: .............................................................................................. 14 3.2 ATC Working Definition ................................................................................................... 15 Chapter 4 Research Outcomes ..................................................................................................... 16 4.1 Case Study Summary Results ............................................................................................ 16 4.1.1 ATC Motivation ............................................................................................................ 16 4.1.2 Elements of the ATC Process ....................................................................................... 17 4.1.3 ATC Program Practices ................................................................................................ 18 4.2 Case Study Programmatic Outcomes ................................................................................. 20 4.2.1 California DOT ............................................................................................................. 20 4.2.2 Georgia DOT ................................................................................................................ 24 4.2.3 Missouri DOT ............................................................................................................... 26 4.2.4 Washington State DOT ................................................................................................. 30 4.3 Case Study Summary ......................................................................................................... 31 Chapter 5 Guidebook Development and Outline ......................................................................... 33 5.1 Introduction ........................................................................................................................ 33 5.2 Guidebook Framework ....................................................................................................... 33 5.3 Guidebook Development Methodology ............................................................................. 33 5.4 Guidebook Content Development ...................................................................................... 35 5.5 Guidebook Table of Contents ............................................................................................ 37 5.6 Guidebook Vetting ............................................................................................................. 38 5.6.1 Measuring Results ......................................................................................................... 39 5.6.2 Minnesota DOT Vetting ............................................................................................... 40 5.6.3 Alabama DOT Vetting .................................................................................................. 41 5.6.4 Vetting Summary .......................................................................................................... 42
Chapter 6 ATC Implementation Toolkit ...................................................................................... 43 6.1 Introduction ........................................................................................................................ 43 6.2 ATC Tool #1 ATC Project Selection. ................................................................................ 44 6.3 ATC Tool #2 ATC Implementation. .................................................................................. 45 6.4 ATC Tool #3 ATC Evaluation. .......................................................................................... 46 6.5 ATC Tool #4 ATC Performance Assessment. ................................................................... 50 6.6 Results of the DOT Vetting of the Toolkit ......................................................................... 52 Chapter 7 Conclusions and Recommendations ............................................................................ 55 7.1 Conclusions ........................................................................................................................ 55 7.2 Recommendations .............................................................................................................. 56 References ..................................................................................................................................... 58 Appendix A: Literature Review and Content Analysis .............................................................. A-1 Appendix B: ATC âBetter Than or Equal Toâ Assessment ....................................................... B-1 Appendix C: Case Study Protocol and Questionnaire ................................................................ C-1 Appendix D: Guidebook Vetting Protocol .................................................................................. D-1 NCHRP Web-Only Document 277 contains the contractor's final report for NCHRP Project 08-112 and accompanies NCHRP Research Report 937: Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods. Readers can read or purchase NCHRP Research Report 937 at www.trb.org.
List of Figures Figure 2.1 ATC Usage Map ........................................................................................................... 7 Figure 4.1 GDOT ATC Process Flow Chart. ............................................................................... 25 Figure 4.2 Missouri DOT DBB Full Scope ATC Process Flow Chart ........................................ 28 Figure 5.1 Mapping the Research Results into the Guidebook Content ...................................... 36 Figure 6.1 Generic Project Development and Delivery Phases (after Gransberg et al. 2016). ... 44 Figure 6.2 Tool #1: ATC Project Selection Checklist ................................................................. 44 Figure 6.3 Tool #2 â Contracting Method Considerations. ......................................................... 45 Figure 6.4 Tool #2 â CATC Checklist. ........................................................................................ 46 Figure 6.5 Tool #3 â ATC Evaluation Flowchart. ....................................................................... 47 Figure 6.6 Tool #3 â ATC Evaluation Attribute Example. .......................................................... 48 Figure 6.7 Tool #3 â ATC Evaluation Attribute Weighting Example. ........................................ 49 Figure 6.8 Tool #3 â ATC Evaluation Attribute Comparison with Baseline Design Example. .. 49 Figure 6.9 Tool #3 â ATC Evaluation Attribute Comparison with Baseline Design Example. .. 50 Figure 6.10 Excerpt of Table 4.1 ATC Inventory. ....................................................................... 51 Figure 6.11 Project-Level and Agency-Level ATC Performance Indicators. ............................. 52 List of Tables Table 3.1 State DOT ATC Definitions and Purpose for Employing ATCs. ................................ 13 Table 4.1 Case Study Population ................................................................................................. 16 Table 4.2 Importance of ATC Process Factors. ........................................................................... 17 Table 4.3 Importance of ATC Process Factors including Synthesis 455 Results. ....................... 18 Table 4.4 Common ATC Practices. ............................................................................................. 19 Table 4.5 Caltrans ATC Program Example (Adapted from Tritt 2013). ..................................... 21 Table 4.6 Caltrans Devore Interchange DB Project ATC Summary ........................................... 22 Table 4.7 MoDOT Final DBB Standard ATC Documentation Deliverables List ....................... 29 Table 4.8 WSDOT ATC Program 2009- 2012 (Adapted from Carpenter 2012). ....................... 31 Table A.1 Subject areas studied on ATCs and ATC implementation in transportation ............ A-1 Table A.2 Data Collection Summary for Synthesis 455 Update ............................................... A-5 Table A.3 ATC Submittal Content from Solicitation Document Content Analysis .................. A-6 Table A.4 Solicitation Document Content Analysis Summary Analysis .................................. A-7 Table A.5 Policy/Program Document Content Analysis Summary Analysis............................ A-7 Table A.6 Data Collection Summary from Synthesis 455 and NCHRP 08-112 Update ........... A-8 Table B.1 ATC Evaluation - Primary Elements and Methodology Requirements .................... B-3 Table B.2 Methods for Evaluating Value for Money (adapted from Fleming 2013) ................ B-4 Table B.3 DFID VfM Assessment Model - Dimensions & Evaluation Criteria ....................... B-5 Table B.4 DFID VfM Assessment Model â Economy Scoring Sheet ....................................... B-6 Table B.5 ICAI VfM Assessment Model â Parameters and Evaluation Criteria ...................... B-7 Table B.6 ICAI VfM Assessment Model â âTraffic Lightâ Rating System .............................. B-7 Table B.7 Best-Value Parameters and Evaluation Criteria (Scott et al. 2006) .......................... B-8 Table B.8 Best-Value Rating Systems (adapted from Scott et al. 2006) ................................... B-9 Table B.9 Best-Value Award Algorithms (adapted from Scott et al. 2006) .............................. B-9
