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Suggested Citation:"Appendix B - P3 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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Suggested Citation:"Appendix B - P3 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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Suggested Citation:"Appendix B - P3 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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Suggested Citation:"Appendix B - P3 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 75
Page 76
Suggested Citation:"Appendix B - P3 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 76

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72 A P P E N D I X B This appendix contains useful information that is specific to implementing ATCs on P3 projects. The appendix contains • Generic flowchart for implementing P3 ATCs (Figure B.1) • Example CATC and ATC submittal forms • Example ATC evaluation and response P3 ATC Information

P3 ATC Information 73 B.1 P3 ATC Flowchart P3 ATC Flow Chart St ag e 1 St ag e 2 St ag e 3 Adapted from Jolley and Garvin 2013 Define ATC Process in ITP Issue Draft RFP Final Preliminary ATC Proposed Preliminary ATC Revenue Risk Project? PATC Revenue Impact? Internal ReviewOne-on-One Meetings* PATC add Value? Proposer’s Bid with Approved ATC ATCs Incorporated into Final Agreement Proposer Selected End Concession Agreement & Technical Provisions Modified for ATCs Owner shares losing bidders’ ATCs Commercial Close Achieved Yes No Yes No Yes End No Yes No Yes * NOTE: There may be several one- on-one meetings with the ACM contractors to clarify ATCs, if required. Issue RFP Design & Construction O&M Financing Proposed Formal ATC EndDesign & Construction O&M Financing Proposer Makes Changes ATC Decision Formal Review End Accepted with Conditions Accepted Proposer Chooses to Implement One-on-One Meetings* Reject No Pr ed ev el op - m en t Figure B.1. Generic P3 ATC implementation flowchart.

74 Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods B.2 CATC Submittal Format Texas DOT P3 Pre-Proposal ATC Pre-Proposal ATC submissions shall include: (a) a sequential ATC number identifying the Proposer and the ATC number (multi-part or multi-option ATCs shall be submitted as separate individual ATCs with unique sequential numbers); (b) a description and conceptual drawings of the configuration of the ATC or other appropriate descriptive information, including a traffic operational analysis, if appropriate; (c) the locations where, and an explanation of how, the ATC will be used on the Concession Facility; (d) any changes in operations requirements associated with the ATC, including ease of operations; (e) any changes in maintenance requirements associated with the ATC, including ease of maintenance; (f) any changes in Handback Requirements associated with the ATC; (g) any changes in the anticipated life of the item(s) comprising the ATC; (h) any reduction in the time period necessary to design and construct the Concession Facility resulting from implementing the ATC, including, as appropriate, a description of method and commitments; (i) references to requirements of the RFP 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; (j) the analysis justifying use of the ATC and why the deviation, if any, from the requirements of the RFP should be allowed; (k) a preliminary analysis of potential impacts on vehicular traffic (both during and after construction), environmental permitting, community impact, safety, and lifecycle Concession Facility and infrastructure costs, including impacts on the cost of repair, maintenance and operation; (l) a preliminary analysis of potential impacts on Concession Facility revenue; (m) if and what additional right-of-way will be required to implement the ATC (and Proposers are advised that they shall (i) be solely responsible for the acquisition of any such right-of-way, including the cost thereof and obtaining any necessary Environmental Approvals; (ii) not be entitled to any additional time or money as a result of Site conditions (i.e., Hazardous Materials, differing site conditions, geotechnical issues, Utilities, etc.) on such additional right-of-way; and (iii) not be entitled to any additional time or money as a result of any delay, inability or cost associated with the acquisition of such right of way); (n) a description of other projects where the ATC has been used, the degree of success or failure of such usage and names and contact information including phone numbers and e-mail addresses for project owner representatives that can confirm such statements; (o) a description of added risks to TxDOT or third parties associated with implementing the ATC; (p) an estimate of any additional TxDOT, Developer and third-party costs associated with implementation of the ATC; (q) an estimate of any savings that would accrue to TxDOT should the ATC be approved and implemented; (r) a description of how the ATC is equal or better in quality and performance than the requirements of the RFP; and (s) a preliminary analysis of potential impacts on the Public Funds Request.

P3 ATC Information 75 B.3 ATC Submittal Format Florida DOT P3 Formal ATC All ATC submittals shall be sequentially numbered and include the following information and discussions: a. Description: A description and conceptual drawings of the configuration of the ATC or other appropriate descriptive information, including, if appropriate, product details and a traffic operational analysis; b. Usage: The locations where and an explanation of how the ATC would be used on the Project; c. Deviations: References to requirements of the RFP which are inconsistent with the proposed ATC, an explanation of the nature of the deviations from the requirements and a request for approval of such deviations along with suggested changes to the requirements of the RFP which would allow the alternative proposal; d. Analysis: An analysis justifying use of the ATC and why the deviation, if any, from the requirements of the RFP should be allowed; e. Impacts: A preliminary analysis of potential impacts on vehicular traffic (both during and after construction), environmental impacts, community impacts, safety, and life-cycle Project and infrastructure costs, including impacts on the cost of repair, maintenance, and operation; f. Risks: A description of added risks to the Department or third parties associated with implementation of the ATC; g. Quality: A description of how the ATC is equal or better in quality and performance than the requirements of the RFP; h. Operations: Any changes in operation requirements associated with the ATC, including ease of operations; i. Maintenance: Any changes in maintenance requirements associated with the ATC, including ease of maintenance; j. Anticipated Life: Any changes in the anticipated life of the item comprising the ATC; k. Handback: Any changes in Handback Requirements associated with the ATC; l. Project Revenue: A preliminary analysis of potential impacts on Project Revenue; m. Payments: A preliminary analysis of potential impacts on the Upfront Concession Payment and Annual Lease Payment.

76 Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods B.4 ATC Evaluation and Response Texas DOT P3 ATC Evaluation Department may request additional information regarding a proposed ATC at any time. Department will make every attempt to respond to the ATC in a timely manner. However, Department reserves the right not to respond to any ATC. Department and the Proposer can discuss ATCs at one-on-one meetings. Department’s ATC response times and/or the one-on-one meetings will not be grounds for a protest. Department will review each ATC and will respond to Proposer with one of the following determinations: A) The ATC is Approved. B) The ATC is not Approved. C) The ATC is not Approved in its present form, but may be Approved upon satisfaction, in Department’s sole judgment, of certain identified conditions that shall be met or certain clarifications or modifications that shall be made (Conditionally Approved). D) The submittal does not qualify as an ATC but may be included in the Proposal without an ATC (i.e., the concept complies with the baseline RFP requirements). E) The submittal does not qualify as an ATC and may not be included in the Proposal.

Next: Appendix C - DBB ATC Information »
Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods Get This Book
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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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