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2020 N A T I O N A L C O O P E R A T I V E H I G H W A Y R E S E A R C H P R O G R A M NCHRP RESEARCH REPORT 937 Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods Douglas D. Gransberg GransberG & associates, inc. Norman, OK Michael Loulakis capital project strateGies, llc Reston, VA Keith Molenaar University of colorado at boUlder Boulder, CO Steven D. DeWitt transportation infrastrUctUre solUtions, pllc Raleigh, NC Jorge Rueda-Benavides aUbUrn University Auburn, AL Ghada Gad california state polytechnic University, pomona Pomona, CA Debra R. Brisk drb consUltinG, llc Buffalo, MN Subscriber Categories Administration and Management â¢ Transportation, General Research sponsored by the American Association of State Highway and Transportation Officials in cooperation with the Federal Highway Administration
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM Systematic, well-designed, and implementable research is the most effective way to solve many problems facing state departments of transportation (DOTs) administrators and engineers. Often, highway problems are of local or regional interest and can best be studied by state DOTs individually or in cooperation with their state universities and others. However, the accelerating growth of highway transporta- tion results in increasingly complex problems of wide interest to high- way authorities. These problems are best studied through a coordinated program of cooperative research. Recognizing this need, the leadership of the American Association of State Highway and Transportation Officials (AASHTO) in 1962 ini- tiated an objective national highway research program using modern scientific techniquesâthe National Cooperative Highway Research Program (NCHRP). NCHRP is supported on a continuing basis by funds from participating member states of AASHTO and receives the full cooperation and support of the Federal Highway Administration (FHWA), United States Department of Transportation, under Agree- ment No. 693JJ31950003. The Transportation Research Board (TRB) of the National Academies of Sciences, Engineering, and Medicine was requested by AASHTO to administer the research program because of TRBâs recognized objectivity and understanding of modern research practices. TRB is uniquely suited for this purpose for many reasons: TRB maintains an extensive com- mittee structure from which authorities on any highway transportation subject may be drawn; TRB possesses avenues of communications and cooperation with federal, state, and local governmental agencies, univer- sities, and industry; TRBâs relationship to the National Academies is an insurance of objectivity; and TRB maintains a full-time staff of special- ists in highway transportation matters to bring the findings of research directly to those in a position to use them. The program is developed on the basis of research needs iden- tified by chief administrators and other staff of the highway and transportation departments, by committees of AASHTO, and by the FHWA. Topics of the highest merit are selected by the AASHTO Special Committee on Research and Innovation (R&I), and each year R&Iâs recommendations are proposed to the AASHTO Board of Direc- tors and the National Academies. Research projects to address these topics are defined by NCHRP, and qualified research agencies are selected from submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Academies and TRB. The needs for highway research are many, and NCHRP can make significant contributions to solving highway transportation problems of mutual concern to many responsible groups. The program, however, is intended to complement, rather than to substitute for or duplicate, other highway research programs. Published research reports of the NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM are available from Transportation Research Board Business Office 500 Fifth Street, NW Washington, DC 20001 and can be ordered through the Internet by going to https://www.nationalacademies.org and then searching for TRB Printed in the United States of America NCHRP RESEARCH REPORT 937 Project 08-112 ISSN 2572-3766 (Print) ISSN 2572-3774 (Online) ISBN 978-0-309-48163-2 Library of Congress Control Number 2020938979 Â© 2020 National Academy of Sciences. All rights reserved. COPYRIGHT INFORMATION Authors herein are responsible for the authenticity of their materials and for obtaining written permissions from publishers or persons who own the copyright to any previously published or copyrighted material used herein. Cooperative Research Programs (CRP) grants permission to reproduce material in this publication for classroom and not-for-profit purposes. Permission is given with the understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA, FTA, GHSA, NHTSA, or TDC endorsement of a particular product, method, or practice. It is expected that those reproducing the material in this document for educational and not-for-profit uses will give appropriate acknowledgment of the source of any reprinted or reproduced material. For other uses of the material, request permission from CRP. NOTICE The research report was reviewed by the technical panel and accepted for publication according to procedures established and overseen by the Transportation Research Board and approved by the National Academies of Sciences, Engineering, and Medicine. The opinions and conclusions expressed or implied in this report are those of the researchers who performed the research and are not necessarily those of the Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; the FHWA; or the program sponsors. The Transportation Research Board; the National Academies of Sciences, Engineering, and Medicine; and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturersâ names appear herein solely because they are considered essential to the object of the report.
The National Academy of Sciences was established in 1863 by an Act of Congress, signed by President Lincoln, as a private, non- governmental institution to advise the nation on issues related to science and technology. Members are elected by their peers for outstanding contributions to research. Dr. Marcia McNutt is president. The National Academy of Engineering was established in 1964 under the charter of the National Academy of Sciences to bring the practices of engineering to advising the nation. Members are elected by their peers for extraordinary contributions to engineering. Dr. John L. Anderson is president. The National Academy of Medicine (formerly the Institute of Medicine) was established in 1970 under the charter of the National Academy of Sciences to advise the nation on medical and health issues. Members are elected by their peers for distinguished contributions to medicine and health. Dr. Victor J. Dzau is president. The three Academies work together as the National Academies of Sciences, Engineering, and Medicine to provide independent, objective analysis and advice to the nation and conduct other activities to solve complex problems and inform public policy decisions. The National Academies also encourage education and research, recognize outstanding contributions to knowledge, and increase public understanding in matters of science, engineering, and medicine. Learn more about the National Academies of Sciences, Engineering, and Medicine at www.nationalacademies.org. The Transportation Research Board is one of seven major programs of the National Academies of Sciences, Engineering, and Medicine. The mission of the Transportation Research Board is to provide leadership in transportation improvements and innovation through trusted, timely, impartial, and evidence-based information exchange, research, and advice regarding all modes of transportation. The Boardâs varied activities annually engage about 8,000 engineers, scientists, and other transportation researchers and practitioners from the public and private sectors and academia, all of whom contribute their expertise in the public interest. The program is supported by state transportation departments, federal agencies including the component administrations of the U.S. Department of Transportation, and other organizations and individuals interested in the development of transportation. Learn more about the Transportation Research Board at www.TRB.org.
C O O P E R A T I V E R E S E A R C H P R O G R A M S CRP STAFF FOR NCHRP RESEARCH REPORT 937 Christopher J. Hedges, Director, Cooperative Research Programs Lori L. Sundstrom, Deputy Director, Cooperative Research Programs Camille Crichton-Sumners, Senior Program Officer Tyler Smith, Senior Program Assistant Eileen P. Delaney, Director of Publications Natalie Barnes, Associate Director of Publications Ellen M. Chafee, Senior Editor NCHRP PROJECT 08-112 PANEL Field of Transportation PlanningâArea of Planning Methods and Processes Darryl D. VanMeter, Georgia DOT, Atlanta, GA (Chair) Gouranga Banik, Oklahoma State University, Stillwater, OK Joseph K. Dongo, California DOT, Sacramento, CA Anne J. Gorczyca, Massachusetts DOT, Boston, MA Joshua F. Johnson, Bentley Systems, Ft. Collins, CO Eric K. Kahlig, Ohio DOT, Columbus, OH Michael W. Midkiff, Texas DOT, Austin, TX Shannon Sweitzer, S&ME, Inc., Raleigh, NC Richard Duval, FHWA Liaison R. David Unkefer, FHWA Liaison Nelson H. Gibson, TRB Liaison
NCHRP Research Report 937 is a guidebook for state transportation agencies on imple- menting alternative technical concepts (ATCs) in the state highway project delivery process. This guidebook should be of immediate use to practitioners who are responsible for project delivery in state transportation agencies. The alternative technical concept (ATC) processâused with design-build highway project deliveryâsolicits design modification ideas offered by respondents during the bidding process. These modifications aim to encourage innovation and improve design requirements while giving the respondent a competitive advantage. The use of ATCs may result in accelerated highway construction, increased constructability, and cost savings. These benefits have stirred interest in the implementation of this innovative project delivery approach. Under NCHRP Project 08-112, Gransberg & Associates was asked to explore the challenges and successful practices encountered during the implementation of ATCs in various project delivery methods at state transportation agenciesâincluding design- build contracts and publicâprivate partnerships. Project deliverables include this guide- book; an ATC Implementation Toolkit, which is an interactive spreadsheet designed to help agencies implement ATCs; and the contractorâs final report, published as NCHRP Web-Only Document 277. The ATC Implementation Toolkit can be found on the TRB website by searching on âNCHRP Research Report 937â. The contractorâs final report can be found on the TRB website by searching on âNCHRP Web-Only Document 277â. A project presenta- tion is available on the NCHRP Project 08-112 web page at https://apps.trb.org/cmsfeed/ TRBNetProjectDisplay.asp?ProjectID=4188. F O R E W O R D By Camille Crichton-Sumners Staff Officer Transportation Research Board
1 Summary 3 Chapter 1 Introduction 4 1.1 A Bold Approach 5 1.2 Project Delivery Methods 9 1.3 ATC Legal Matters 11 1.4 Characteristics of ATC Delivery 14 1.5 How to Use This Guidebook 15 Chapter 2 ATC Procurement Considerations 15 2.1 Conducting an Open and Transparent Procurement 16 2.2 Maintaining Confidentiality During the Procurement Process 19 2.3 Design Liability Arising from an ATC 20 2.4 ATC Roles and Responsibilities 23 2.5 Developing an ATC Project Scope of Work 27 Chapter 3 Accounting for ATCs in Design 27 3.1 Characteristics of an ATC Project 28 3.2 Risk Analysis and Mitigation 33 3.3 Scope Development 34 3.4 Design Packaging 34 3.5 NEPA/Permitting Constraints 35 3.6 Summary 36 Chapter 4 Agency Review and Evaluation of ATCs 36 4.1 ATC Review Process 40 4.2 ATC Evaluation Process 42 4.3 ATC Submittal Documentation 43 4.4 ATC Liquidated Damages and Incentives/Disincentives 43 4.5 Clarifications and Modifications of the Baseline Scope for Approved ATCs 44 4.6 Amendments to the Solicitation Triggered by ATC Submittals 46 Chapter 5 Project Administration 46 5.1 Incorporating ATCs from Unsuccessful Proposals 47 5.2 Project Oversight/Inspection 47 5.3 ATC Payment Provisions 48 5.4 Change Orders on ATC Projects 48 5.5 ATC Impact on Quality Assurance Procedures 48 5.6 ATC Impact on Agency Resources 49 5.7 The Future for ATC Implementation C O N T E N T S
50 Chapter 6 ATC Implementation Toolkit 50 6.1 ATC Tool #1: ATC Project Selection 51 6.2 ATC Tool #2: ATC Implementation 52 6.3 ATC Tool #3: ATC Evaluation 57 6.4 ATC Tool #4: ATC Performance Assessment 60 References 62 Abbreviations 63 Appendix A DB ATC Information 72 Appendix B P3 ATC Information 77 Appendix C DBB ATC Information 82 Appendix D CMGC ATC Information 85 Appendix E Example ATC Solicitation and Contract Clauses 93 Appendix F Useful Links Note: Photographs, figures, and tables in this report may have been converted from color to grayscale for printing. The electronic version of the report (posted on the web at www.trb.org) retains the color versions.