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Page 63
Suggested Citation:"Appendix A - DB ATC Information." National Academies of Sciences, Engineering, and Medicine. 2020. Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/25866.
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Page 64
Suggested Citation:"Appendix A - DB ATC Information." National Academies of Sciences, Engineering, and Medicine. 2020. Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/25866.
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Page 65
Suggested Citation:"Appendix A - DB ATC Information." National Academies of Sciences, Engineering, and Medicine. 2020. Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/25866.
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Page 66
Suggested Citation:"Appendix A - DB ATC Information." National Academies of Sciences, Engineering, and Medicine. 2020. Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/25866.
×
Page 66
Page 67
Suggested Citation:"Appendix A - DB ATC Information." National Academies of Sciences, Engineering, and Medicine. 2020. Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/25866.
×
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Page 68
Suggested Citation:"Appendix A - DB ATC Information." National Academies of Sciences, Engineering, and Medicine. 2020. Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/25866.
×
Page 68
Page 69
Suggested Citation:"Appendix A - DB ATC Information." National Academies of Sciences, Engineering, and Medicine. 2020. Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/25866.
×
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Page 70
Suggested Citation:"Appendix A - DB ATC Information." National Academies of Sciences, Engineering, and Medicine. 2020. Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/25866.
×
Page 70
Page 71
Suggested Citation:"Appendix A - DB ATC Information." National Academies of Sciences, Engineering, and Medicine. 2020. Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods. Washington, DC: The National Academies Press. doi: 10.17226/25866.
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Page 71

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63 A P P E N D I X A This appendix contains useful information that is specific to implementing ATCs on DB projects. The appendix contains • Generic flowchart for implementing ATCs (Figure A.1) • Example CATC and ATC submittal forms • Example ATC evaluation plan DB ATC Information

64 Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods A.1 DB ATC Flowchart Design-Build ATC Process Pre-Advertising Conceptual Evaluation Approved Pr oj ec t D ev el op m en t a nd D el iv er y Ph as e YES * NOTE: There may be several one-on-one meetings with the contractors to clarify both CATCs and ATCs if required. Upcoming Project Evaluate for ATC Potential Advertise without ATCs Full or Limited ATC Scope? Receive and Evaluate Comments Develop ATC Evaluation Process Develop ATC Scope Limitations Allowable ATC Scope Clause Full Scope ATC Evaluation Plan Draft RFP Full Scope Baseline Design Limited Scope Baseline Design Potential High? NO YES LIMITED FULL Release Draft RFP?YES Final RFP NO Receive Conceptual ATC *CATC One- on-One Meeting Proceed with CATC? Abandon CATC NO Optional ATC Process Clarification One-on-One Meeting Receive ATC Proposal Evaluate ATC *ATC One- on-One Meeting Qualifies as ATC? Min ATC Benefits Met? ATC Approved? Abandon ATC NO YES Evaluate Proposal Share Losing ATCs Incorporate in Contract? Modify DB Contract for New ATCs Select Winning Proposal Final DB Contract Execute Contract YES NO Contractor Bids ATC? Final ATC- modified Proposal YES Abandon CATC NO Receive DB Proposal Figure A.1. Generic design-build ATC implementation flowchart.

DB ATC Information 65 A.2 DB CATC Submittal Forms Vermont Agency of Transportation Conceptual Alternative Technical Concept Submittal Form Design-Build Project Proposer ATC Number Advantages and Disadvantages: A listing and brief description of the comparative advantages and disadvantages of the Conceptual ATC including: Effects on the service life, safety, durability, reliability, economy of operation, ease of maintenance; other factors significantly altered by the Conceptual ATC; and rationale for the proposed deviation(s) from the BTC. Known Use or Testing: A description of any previous use or testing of the Conceptual ATC that is known to the Bidder, including the tester, the conditions, and the results. Identification of Interdependencies: A brief description of interdependent components of each ATC. General Description: A narrative that describes the proposed ATC in concept and includes the basic differences between the Baseline Technical Concept (BTC) and the ATC, the location where the ATC will be used on the project, and any design exceptions required by the ATC. Impacts to Permits and/or Third-Party Agreements: A description of steps necessary to address existing permits, new permits, or third-party agreements that may be impacted or required in order to initiate the proposed Conceptual ATC. In addition, the Bidder shall describe its expectation of securing or modifying these documents; and the responsible party(s) and time frames required to implement such requirements. Identification of Prior Similar ATCs: If the Conceptual ATC has been used under comparable circumstances, provide details of other projects where it has been used under comparable circumstances, and the action taken by the relevant agency.

66 Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods A.3 DB Formal ATC Submittal Forms California and North Carolina Departments of Transportation Each Formal ATC submittal shall include the following information: 1) Description. A detailed description and schematic drawings of the configuration of the ATC or other appropriate descriptive information (including, if appropriate, product details [i.e., specifications, construction tolerances, special provisions] and a traffic operational analysis, if appropriate); 2) Usage. Where and how the ATC would be used on the project; 3) Deviations. References to all requirements of the RFP, or other documents incorporated into the contract by reference, that are inconsistent with the proposed ATC, an explanation of the nature of the deviations from said requirements, and a request for approval of such variance(s); 4) Analysis. An analysis justifying use of the ATC and why the variance to the requirements of the RFP, or other documents incorporated into the contract by reference, should be allowed; 5) Impacts. Discussion of potential impacts on vehicular traffic, environmental impacts identified, community impact, safety and life-cycle project impacts, and infrastructure costs (including impacts on the cost of repair and maintenance); 6) History. A detailed description of other projects where the ATC has been used, the success of such usage, and names and telephone numbers of project owners that can confirm such statements; 7) Risks. A description of added risks to the Department and other entities associated with implementing the ATC; and 8) Costs. An estimate of the ATC implementation costs to the Department, the Design-Build Team, and other entities (right-of-way, utilities, mitigation, long term maintenance, etc.). Minnesota Department of Transportation An ATC must include the following parts: 1. Deviations. A list of the specific requirements in the RFP that are inconsistent with the proposed ATC and from which Proposer is requesting to deviate. MnDOT will not approve broad generalizations that do not provide references to specific requirements. 2. Description. Detailed, descriptive information sufficient to thoroughly describe the requested change from RFP requirements, including the locations and instances in which the ATC will be used on the Project. This description may include drawings, specifications, product detail, etc. as necessary. 3. Analysis. An analysis, in detail sufficient for MnDOT to judge the concept, explaining why the ATC is equal or better in quality and effect. 4. Impacts. A summary of any noteworthy positive and negative impacts of the ATC to factors such as vehicular traffic, right-of-way, utilities, system maintainability and life-cycles, the environment, local communities, safety, risk mitigation, completion time, etc. 5. History. A detailed description of the ATC’s previous, successful use on other projects under comparable circumstances, if applicable. 6. Costs. Estimated price and cost impacts. This information is used for programmatic purposes only and does not affect the “equal or better” analysis of the ATC.

DB ATC Information 67 New York State Department of Transportation Proposer: ATC Title: Project Title: ATC No.: Contract #: Date: A Description: Provide a detailed description of the configuration of the ATC or other appropriate descriptive information. B Usage: Describe where and how the ATC would be used on the Project C1 Deviations: Provide references to any requirements of the RFP Documents or to any elements of the Contract Documents that are inconsistent with the proposed ATC. C2 Provide an explanation of the nature of the proposed deviation and a request for: (a) approval of such deviations or (b) a determination that the ATC is consistent with applicable requirements D Analysis: Provide an analysis justifying use of the ATC and why the deviations from the requirements of the RFP Documents should be allowed. E1 Impacts: Provide an explanation of potential impacts of the ATCs on vehicular traffic with an emphasis on truck traffic in the community due to the construction. E2 Provide an explanation of potential impacts of the ATCs on the environment (favorable and unfavorable) identified in appropriate environmental documents (especially with regard to the impacts and commitments of the EIS). E3 Provide an explanation of potential impacts of the ATCs on the surrounding community. E4 Provide an explanation of potential impacts of the ATCs on the safety and lifecycle, Project and infrastructure costs (including impacts on the cost of repair and maintenance). F1 Environmental Approvals: Provide an explanation of any changes in any Environmental Approval which would be required as a result of the ATC. F2 Provide an explanation of whether the ATC would require any deviation from the terms and conditions of any permit or of any anticipated or existing Environmental Approval or new Environmental Approval and, if so, an analysis of the steps required, costs involved and time that would be required to obtain, and the likelihood of success in obtaining, the required approval from the appropriate Governmental Agencies, as well as an analysis of all potential impacts on the Project. G History: Provide a detailed description of other projects where the ATC has been used under comparable circumstances, if any, the success of such usage, and names, email addresses and contact telephone numbers of project owners that can confirm such statements. H Risks: Provide a description of any added or reduced risks to the Department and other Persons associated with implementing the ATC. I Schedule: Provide an estimate of the impact of the ATC upon the Contract duration and schedule, including the Proposer’s estimate of the likely durations for any permits and consents necessary for the ATC. J Price: Provide an estimate of the impact (Savings) of the ATC on the Proposal Price. K ROW Requirements: Provide a list of additional ROW requirements, if any, and a description of when additional ROW would be required in order to implement the ATC. L One-on-One Meeting: Provide a statement as to whether, in the Proposer’s view, a one-on-one meeting with the Department would be appropriate to discuss the ATC. M Attach supporting drawings/sketches (Required).

68 Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods Massachusetts Department of Transportation DB Entities shall submit an Executive Summary to the MassDOT Construction Contracts Engineer at least three (3) Business Days prior to each one-on-one meeting. The Executive Summary should include the following information, presented in a summary fashion: Description of the general configuration of the ATC or other appropriate descriptive information such as schematic drawings of the configuration of the ATC and any schedule information beneficial to the review. Location where the ATC will be used on the Project. Description shall be detailed and schematic drawings of the configuration of the ATC or other appropriate descriptive information, including if appropriate, product details (for example, specifications, construction tolerances, and special provisions), a traffic operational analysis, and any schedule information beneficial to the review. References to requirements of the RFP documents which are inconsistent with the proposed ATC, an explanation of the nature of the deviations from said requirements, and a request for approval of such deviations, or a determination that the ATC is consistent with the requirements of the RFP. Identification of any design exceptions required by the ATC. The basis of the analysis justifying the use of the ATC and why the deviation (if any) from the requirements should be allowed. Analysis of potential issues with current or required Environmental Approvals. Discussion of potential impacts on vehicular traffic, environmental impacts (favorable or unfavorable), community impacts, safety and life-cycle Project and infrastructure costs (including impacts on the cost of future operation, repair, and maintenance). A detailed history of other projects where the ATC has been used under comparable circumstances, the success of such usage, and names and telephone numbers of project owners that can confirm such statements. Design calculations as necessary to support the use of the ATC. Description of the long-term durability of implementing the ATC. Description of added risks with implementing the ATC.

DB ATC Information 69 A.4 DB ATC Evaluation and Response Forms Vermont Agency of Transportation Conceptual Alternative Technical Concept Response Form Project Name: Date Received: Project Number: Design-Build Team: Date Responded: Subject: Reviewer Comments: Deviation: By providing XX there (is or is not) a deviation from standards. Analysis: This solution (is or is not) equal or better than the RFP. Disposition: Choose one of the responses A. thru C. A. Invite the Bidder to present the ATC at a One-on-One ATC Meeting (additional information may be requested) B. Invite the Bidder to furnish a Detailed ATC submittal C. Reject the Conceptual ATC Detailed Alternative Technical Concept Response Form Subject: Reviewer Comments: Deviation: By providing XX there (is or is not) a deviation from standards. Analysis: This solution (is or is not) equal or better than the RFP. Disposition: Choose one of the responses A. thru C. A. Invite the Bidder to present the ATC at a One-on-One ATC Meeting (additional information may be requested) B. Approve or Conditionally Approve the ATC without a One-on-One ATC Meeting presentation C. Reject the ATC for reasons that will be described briefly

70 Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods Final Alternative Technical Concept Response Form Subject: Reviewer Comments: Deviation: By providing XX there (is or is not) a deviation from standards. Analysis: This solution (is or is not) equal or better than the RFP. Disposition: Choose one of the responses A. thru B. A. The ATC is approved/conditionally approved B. The ATC is not approved with appropriate explanation

DB ATC Information 71 Georgia Department of Transportation ATC Responsiveness Checklist Proposer: ATC Number: Brief Description: 1. ATC is labeled appropriately as designated in the ITP Section 3.1.2 (a) Yes No 2. ATC description meets the requirements of ITP Section 3.1.2 (b) Yes No 3. ATC contains usage information as required in the ITP Section 3.1.2 (c) Yes No 4. ATC references the required changes to the RFP and includes the ATC Checklist (Form P of the ITP). Yes No 5. ATC meets the requirements of ITP Section 3.1.2 (e) Yes No 6. ATC meets the requirements of ITP Section 3.1.2 (f) Yes No 7. ATC identifies potential cost savings (if any) as required in the ITP Section 3.1.2 (g) Yes No 8. ATC identifies potential time savings (if any) as required in the ITP Section 3.1.2 (h) Yes No 9. ATC identifies potential risks (if any) as required in the ITP Section 3.1.2 (i) Yes No 10. ATC identifies how the ATC is better than or equal to the quality and performance requirements in the RFP Yes No 11. ATC identifies costs (if any) as required by the ITP Section 3.1.2 (k) Yes No 12. ATC identifies any changes in operations as required by the ITP Section 3.1.2 (l) Yes No 13. ATC identifies any changes in anticipated maintenance as required by the ITP Section 3.1.2 (m) Yes No 14. ATC identifies any changes in anticipated life as required by the ITP Section 3.1.2 (n) Yes No 15. ATC identifies any additional right-of-way needed as required by the ITP Section 3.1.2 (o) Yes No 16. ATC identifies other projects where the ATC has been successfully implemented as required by the ITP Section 3.1.2 (p) Yes No 17. ATC includes a statement if the Proposer is willing to sell their ATCs as part of its work product Yes No

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The past decade has been characterized by the pressing need to rapidly renew the nation’s deteriorating infrastructure, which has driven the increased use of alternative contracting methods for transportation and other infrastructure projects.

The TRB National Cooperative Highway Research Program's NCHRP Research Report 937: Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods is designed to help guide alternative technical concepts (ATCs) in the state highway project delivery process. The ATC process—used with design-build highway project delivery—solicits 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 report is accompanied by an Excel-based ATC Implementation Toolkit and an associated publication, NCHRP Web-Only Document 277: Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods.

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