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77 A P P E N D I X C This appendix contains useful information that is specific to implementing ATCs on DBB projects. The appendix contains â¢ Full-scope flowchart (Missouri DOT) for implementing ATCs (Figure C.1) â¢ Limited-scope flowchart (Michigan DOT) for implementing ATCs (Figure C.2) â¢ Example CATC and ATC submittal forms â¢ Example ATC evaluation plan DBB ATC Information
78 Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods C.1 DBB ATC Flowcharts Missouri DOT Design-Bid-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 Upcoming Project Evaluate for ATC Potential Advertise without ATCs Full or Limited ATC Scope? MoDOT Announce Intent to Include ATCs Contractor ATC Info Meeting Develop ATC Evaluation Process Develop ATC Scope Limitations Allowable ATC Scope Clause Full Scope ATC Evaluation Plan Post Current Plans in Plans Room Full Scope Baseline Design Limited Scope Baseline Design Potential High? MoDOT Receive Conceptual ATC *Contractor CATC One-on- One Meeting Proceed with CATC? Abandon CATC MoDOT Receive ATC Proposal Evaluate ATC *Contractor ATC One-on- One Meeting Qualifies as ATC? Min ATC Benefits Met? ATC Approved? Abandon ATC MoDOT Advances Approved ATC Design ATC Design w/ Biddable Quantities Contractor Bids ATC? MoDOT or Its Consultant Completes Approved ATC Design Final ATC- modified Design Build Project Incorporating ATC NO YES LIMITED FULL NO YES YES NO YES NO Contractor ATC Process Info Meeting Optional Contractor Clarification One-on-One Meeting * NOTE: There may be several one-on- one meetings with the contractors to clarify both CATCs and ATCs if required. Figure C.1. Missouri DOT DBB full-scope ATC process flowchart.
DBB ATC Information 79 Michigan DOT Design-Bid-Build Limited Scope ATC Process Pre-Advertising Evaluation Approved Pr oj ec t D ev el op m en t a nd D el iv er y Ph as e Upcoming Project Evaluate for ATC Potential Advertise without ATCs MDOT Announce Intent to Include ATCs Contractor ATC Pre-Bid Meeting Develop ATC Scope Limitations Allowable ATC Scope Clause Post 70% Plans in Plans Room Limited Scope Baseline Design Potential High? NO YES YES YES * NOTE: There may be several one-on- one meetings with the contractors to clarify ATCs if required. Contractor Bids ATC? Final ATC- modified Design Build Project Incorporating ATC YES NO MDOT Develop List of Potential ATCs Abandon ATC No MDOT Receive ATC Proposal Evaluate ATC *Contractor ATC One- on-One Meeting ATC Equal or Better? ATC Approved? Figure C.2. Michigan DOT DBB limited-scope ATC process flowchart.
80 Guidebook for Implementing Alternative Technical Concepts in All Types of Highway Project Delivery Methods C.2 DBB CATC Submittal Format Missouri DOT DBB CATC Requirements for the CATC submittal shall include at a minimum: a) Detailed narrative of the CATC being proposed (detailed to at least enough information for the Commission to estimate cost and time savings). b) Estimate of cost savings. c) Estimate of time savings. d) Impact to the environment, utilities and right of way and any previous permits or approvals. e) A description of any previous use or submission of similar technical concepts or value engineering proposals, including dates, job numbers, results, and/or outcome of the ATC/VE if previously submitted, as known by the contractor. This would include ATCs/VEs from any state DOT. C.3 DBB ATC Submittal Format Missouri DOT DBB ATC ATC submittals will only be considered if accompanied with a pre-approved CATC. The contractor shall request and submit four copies of the ATC form with the following information: a) All original CATC submittal documents with a copy of the approval letter acknowledging the Commissionâs acceptance. b) Deviation: Reference all requirements of the Commission-furnished proposal that are inconsistent with the proposed ATC, an explanation of the nature of the ATC deviations from said requirements and impacts to other design elements. c) Description: Provide a detailed description of the ATC including specifications and conceptual drawings, and a description of where and how the ATC would be used on the Project. d) Justification: An analysis justifying the ATC and demonstrating why modifications or revisions to requirements of the Commission-furnished proposal should be allowed. Include information on how the ATC meets the project goals. e) Cost Savings: A detailed statement of the cost savings associated with the implementation of the ATC. Include an itemized list of impacted bid items and quantities supporting the cost savings for the ATC. f) Schedule Impact: A discussion of the effect the ATC will have on the contract completion time including design, construction, right of way, utility relocation and permitting issues. g) Certification that the ATC meets all applicable federal and state design standards, or conforms to a pre-approved AAS. h) Utilities: A discussion of utility (public and private) impacts. i) Permits: A discussion of permit changes, additional permits and/or agency approvals that may be required for the ATC. j) Right of Way: A discussion of the right of way requirements (both temporary and permanent) for the ATC. k) Traffic and Safety Impacts: A discussion of the impacts the ATC will have on maintenance of traffic during construction.
DBB ATC Information 81 l) Environmental Impacts: A discussion of the ATC environmental impacts as compared to the approved project Environmental Document including impacts to environmental commitments and community impacts. m) Maintenance: A discussion of the maintenance impacts over the 75-year life of the project. n) History: A detailed description of other projects on which the proposed ATC has been used including contact information (name, title, phone number, address and email) for project owners that can confirm ATC implementation. o) Inspection: Any additional testing and construction inspection requirements. p) Risks: A discussion of added risks to MoDOT and other parties associated with implementing the ATC. q) A description of both the existing contract requirements for performing the work and the proposed ATC (if more information has become available since CATC narrative). C.4 DBB ATC Evaluation and Response Missouri DOT DBB ATC ATCs will be evaluated using the following criteria. If any of the following criteria are not met, the ATC request fails. a) The ATC meets or exceeds the minimum requirements and engineering standards listed in these guidelines. The ATC was first evaluated and accepted as a Conceptual ATC (CATC). b) The ATC does not adversely affect the long-term maintenance of the project. c) The ATC is consistent with the overall project goals, which include but are not limited to the following: a. Deliver the project on budget b. Minimize public impact by keeping regional and local traffic flowing efficiently and safely through the impacted area c. Incorporate innovative design including faster/better construction techniques, quality control & inspection d. Coordinate with all partners and the local community resulting in a project that is viewed as successful e. Demonstrate quality construction, encourage green techniques and provide a long-lasting facility that complies to ADA requirements d) The ATC is equal to or better than the original design proposal. The ATC shall not cause a decrease in engineering standards for any safety related items, including but not limited to: reduction in shoulder widths, reduction in lane widths, decrease in design speed, decrease in clear zone, or reduced traffic control performance, etc. To be considered for approval, all safety related elements of the ATC must meet or exceed the MoDOT design. Evaluation of ATC proposals may, at MoDOTâs discretion, take into account the overall project design including increases and decreases in safety related items throughout the project. For example, a decrease in engineering standard may be allowed in one area if, in MoDOTâs and FHWAâs sole discretion, it is determined that the overall safety of the project, as compared to the original MoDOT baseline design, is increased by increasing the engineering standard of other parts of the project. e) Direct or secondary cost and/or delay related to utility conflicts.