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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2014. Guide for Design Management on Design-Build and Construction Manager/General Contractor Projects. Washington, DC: The National Academies Press. doi: 10.17226/22273.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2014. Guide for Design Management on Design-Build and Construction Manager/General Contractor Projects. Washington, DC: The National Academies Press. doi: 10.17226/22273.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2014. Guide for Design Management on Design-Build and Construction Manager/General Contractor Projects. Washington, DC: The National Academies Press. doi: 10.17226/22273.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2014. Guide for Design Management on Design-Build and Construction Manager/General Contractor Projects. Washington, DC: The National Academies Press. doi: 10.17226/22273.
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Suggested Citation:"Front Matter." National Academies of Sciences, Engineering, and Medicine. 2014. Guide for Design Management on Design-Build and Construction Manager/General Contractor Projects. Washington, DC: The National Academies Press. doi: 10.17226/22273.
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Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

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 REPORT 787 Guide for Design Management on Design-Build and Construction Manager/ General Contractor Projects Edward Minchin Lourdes Ptschelinzew University of florida Gainesville, FL Giovanni C. Migliaccio Umberto Gatti University of Washington Seattle, WA Ken Atkins strategic solUtions Partners Kissimmee, FL Tom Warne tom Warne and associates Jordan, UT Gregg Hostetler infrastrUctUre engineers Oklahoma City, OK Sylvester Asiamah gai consUltants Jacksonville, FL Subscriber Categories Highways • Construction • Design TRANSPORTAT ION RESEARCH BOARD WASHINGTON, D.C. 2014 www.TRB.org 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 research provides the most effective approach to the solution of many problems facing highway administrators and engineers. Often, highway problems are of local interest and can best be studied by highway departments individually or in cooperation with their state universities and others. However, the accelerating growth of highway transportation develops increasingly complex problems of wide interest to highway authorities. These problems are best studied through a coordinated program of cooperative research. In recognition of these needs, the highway administrators of the American Association of State Highway and Transportation Officials initiated in 1962 an objective national highway research program employing modern scientific techniques. This program is supported on a continuing basis by funds from participating member states of the Association and it receives the full cooperation and support of the Federal Highway Administration, United States Department of Transportation. The Transportation Research Board of the National Academies was requested by the Association to administer the research program because of the Board’s recognized objectivity and understanding of modern research practices. The Board is uniquely suited for this purpose as it maintains an extensive committee structure from which authorities on any highway transportation subject may be drawn; it possesses avenues of communications and cooperation with federal, state and local governmental agencies, universities, and industry; its relationship to the National Research Council is an insurance of objectivity; it maintains a full-time research correlation staff of specialists in highway transportation matters to bring the findings of research directly to those who are in a position to use them. The program is developed on the basis of research needs identified by chief administrators of the highway and transportation departments and by committees of AASHTO. Each year, specific areas of research needs to be included in the program are proposed to the National Research Council and the Board by the American Association of State Highway and Transportation Officials. Research projects to fulfill these needs are defined by the Board, and qualified research agencies are selected from those that have submitted proposals. Administration and surveillance of research contracts are the responsibilities of the National Research Council and the Transportation Research Board. The needs for highway research are many, and the National Cooperative Highway Research Program can make significant contributions to the solution of 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 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 at: http://www.national-academies.org/trb/bookstore Printed in the United States of America NCHRP REPORT 787 Project 15-46 ISSN 0077-5614 ISBN 978-0-309-30805-2 Library of Congress Control Number 2014949768 © 2014 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, FMCSA, FTA, or Transit Development Corporation 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 project that is the subject of this report was a part of the National Cooperative Highway Research Program, conducted by the Transportation Research Board with the approval of the Governing Board of the National Research Council. The members of the technical panel selected to monitor this project and to review this report were chosen for their special competencies and with regard for appropriate balance. The 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 Governing Board of the National Research Council. 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 Research Council, or the program sponsors. The Transportation Research Board of the National Academies, the National Research Council, and the sponsors of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade or manufacturers’ names appear herein solely because they are considered essential to the object of the report.

The National Academy of Sciences is a private, nonprofit, self-perpetuating society of distinguished scholars engaged in scientific and engineering research, dedicated to the furtherance of science and technology and to their use for the general welfare. Upon the authority of the charter granted to it by the Congress in 1863, the Academy has a mandate that requires it to advise the federal government on scientific and technical matters. Dr. Ralph J. Cicerone is president of the National Academy of Sciences. The National Academy of Engineering was established in 1964, under the charter of the National Academy of Sciences, as a parallel organization of outstanding engineers. It is autonomous in its administration and in the selection of its members, sharing with the National Academy of Sciences the responsibility for advising the federal government. The National Academy of Engineering also sponsors engineering programs aimed at meeting national needs, encourages education and research, and recognizes the superior achievements of engineers. Dr. C. D. Mote, Jr., is president of the National Academy of Engineering. The Institute of Medicine was established in 1970 by the National Academy of Sciences to secure the services of eminent members of appropriate professions in the examination of policy matters pertaining to the health of the public. The Institute acts under the responsibility given to the National Academy of Sciences by its congressional charter to be an adviser to the federal government and, upon its own initiative, to identify issues of medical care, research, and education. Dr. Victor J. Dzau is president of the Institute of Medicine. The National Research Council was organized by the National Academy of Sciences in 1916 to associate the broad community of science and technology with the Academy’s purposes of furthering knowledge and advising the federal government. Functioning in accordance with general policies determined by the Academy, the Council has become the principal operating agency of both the National Academy of Sciences and the National Academy of Engineering in providing services to the government, the public, and the scientific and engineering communities. The Council is administered jointly by both Academies and the Institute of Medicine. Dr. Ralph J. Cicerone and Dr. C. D. Mote, Jr., are chair and vice chair, respectively, of the National Research Council. The Transportation Research Board is one of six major divisions of the National Research Council. The mission of the Transporta- tion Research Board is to provide leadership in transportation innovation and progress through research and information exchange, conducted within a setting that is objective, interdisciplinary, and multimodal. The Board’s varied activities annually engage about 7,000 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 individu- als interested in the development of transportation. www.TRB.org www.national-academies.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 REPORT 787 Christopher W. Jenks, Director, Cooperative Research Programs Christopher Hedges, Manager, National Cooperative Highway Research Program Andrew C. Lemer, Senior Program Officer Sheila Moore, Program Associate Eileen P. Delaney, Director of Publications Maria Sabin Crawford, Assistant Editor NCHRP PROJECT 15-46 PANEL Field of Design—Area of General Design Rodger D. Rochelle, North Carolina DOT, Raleigh, NC (Chair) Reuel S. Alder, Utah DOT, Salt Lake City, UT Baabak Ashuri, Georgia Institute of Technology, Atlanta, GA Henry I. Chango, D’Ambra Construction Co., Inc., Warwick, RI Jon M. Chiglo, Minnesota DOT, St. Paul, MN Robert Dyer, Washington State DOT, Olympia, WA Arunprakash M. Shirole, S & A Shirole, Inc, Robbinsdale, MN Richard Duval, FHWA Liaison Frederick Hejl, TRB Liaison

NCHRP Report 787: Guide for Design Management on Design-Build and Construction Manager/General Contractor Projects presents guidance for state DOTs and other trans- portation agencies on design management under CM/GC and D-B project delivery. The guidance, including case studies of projects successfully developed using these alternative procurement strategies, is written to assist agency staff responsible for management over- sight of facilities development. While the traditional design-bid-build (DBB) approach to project delivery remains prev- alent among state departments of transportation (DOTs) and other owners of transporta- tion facilities, some agencies have been selectively adopting alternative delivery methods that increase collaboration among the owner, designer, and constructor. Under the design- build (D-B) process, for example, the designer and constructor act as a unified team to deliver a completed project at a set price. Under a construction manager-at-risk (CMR) process, designer and constructor are engaged separately by the owner (as is the case under DBB), but the constructor is involved from the earliest stages of the design process; the designer and constructor are expected to work collaboratively to deliver a project that meets the owner’s requirements. Some agencies have adopted the term Construction Manager/ General Contractor (CM/GC) for a method that is generally similar to CMR but has more effectively facilitated the reallocation of risk among owner, constructor, and designer; and does not restrict the primary contractor’s performance of work tasks. (As used in this research, CM/GC was understood to include CMR.) Among the attractions claimed for such alternative project-delivery methods are improved constructability, increased project cost certainty, improved schedule certainty, and actual cost savings. Experience has shown that agency policies used to develop and administer traditional design contracts (that is, under DBB) are inadequate for these alternative delivery meth- ods. The objective of NCHRP Project 15-46, “Design-Management Guide for Design-Build and Construction Manager/General Contractor Projects” was to develop a guide to effec- tive design-management practices for owners using CM/GC or D-B. The guide was to include (a) a review and synthesis of recent experience of owners’ management of design services under CM/GC and D-B; (b) critical assessments of the relative merits of alterna- tive approaches to managing key aspects of the design that affect project scope, quality, and cost; and (c) lessons learned from design management under CM/GC and D-B that may be effectively applied under other project delivery methods. A team led by the University of Florida, M.E. Rinker, Sr. School of Construction Manage- ment, Gainesville, FL, conducted the research. The research team reviewed recent experi- ences of DOTs and other public agencies regarding design management practices used on F O R E W O R D By Andrew C. Lemer Staff Officer Transportation Research Board

projects developed under CM/GC, D-B, and similar methods for project delivery. The team also investigated relevant experience from other construction industry segments. Consider- ing such issues as liability and responsibility in CM/GC and D-B project development and measures of effectiveness for design management, the team developed a framework char- acterizing principal areas where owners’ design management practices under CM/GC and D-B project delivery processes are likely to influence project success and specific guidance for successful design management. The product is a guidebook for state DOTs and other transportation agencies on design management under CM/GC and D-B project delivery. The guidance is supplemented by case studies of projects successfully developed by several DOTs. This document is written to assist agency staff responsible for management oversight of facilities developed using CM/ GC and D-B and other such alternative procurement strategies.

1 Summary 4 Chapter 1 Introduction 4 Background 6 Problem Statement 7 Research Objectives 7 Research Approach 8 Overview of Guidebook Content 9 Chapter 2 Shaping Design Management for D-B and CM/GC 9 Overview of DM Process Framework 11 Start: Identification of Transportation Initiative 11 Step 0: Selection of Project Delivery Method 11 Step 1: Identification of Agency’s and/or Project’s Constraints 12 Step 2: Selection of DM Practices through Review of Implementation Lessons Learned 12 Step 3: Identification and Review of Case Studies 12 Step 4: Review Implementation Guidelines, Lessons Learned, and Recommendations 13 Chapter 3 Design Management Under Design-Build 13 A: Self-Assessment Background 14 Agency/Program Self-Assessment Level 18 Project Self-Assessment Level 20 B: D-B Implementation Framework and Templates for Organizing Design Management under Design-Build 20 Design-Build Implementation Framework 21 General Design-Build Implementation Guidelines 21 Design Management Guidelines by Phase of Implementation Lifecycle 35 C: Short Case Studies 35 Program Case Studies 41 Project Case Studies 47 Chapter 4 Design Management under Construction Manager/General Contractor 48 A: Background 50 B: Framework and Template for Organizing DM under CM/GC 50 Understand CM/GC 54 Recruit Team of Experienced Leaders 57 Develop Strategic Plan 58 Capitalize on Early Contractor Involvement 60 Substantial Cost Savings are Available 60 Balance/Assign Project Risk C O N T E N T S

61 Tailor Project to Schedule and Budget 63 Define Clear QA/QC Procedures 63 Lessons Learned 67 C: Short Case Studies 67 Program Case Studies 75 Project Case Studies 79 Chapter 5 Conclusions 79 Design-Build 80 Construction-Manager-as-General-Contractor 82 References 84 Glossary 88 Abbreviations and Acronyms 90 Appendix A Design-Build Full Case Studies 143 Appendix B Construction Manager/General Contractor Full Case Studies 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.

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