Guidebooks for Post-Award Contract Administration for Highway Projects Delivered Using Alternative Contracting Methods, Volume 1: Design–Build Delivery (2020)

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    21    Table 4.1 Summary of D-B alignment phase tools Contract administration phase Project complexity Project size Tools for D-B contract administration A lig nm en t D es ig n Co ns tru ct io n Cl os eo ut N on -c om pl ex M od er at el y co m pl ex C om pl ex ≤ $1 0 M $1 0 M - $5 0 M > $5 0M Phase 1: Administer Alignment between Design-Builder and Agency 1 Kickoff meeting        2 Roles and responsibilities        3 Confidential one-on-one meeting        4 Glossary of terms        5 Co-location of key personnel         6 Regulatory agency partnering         7 External stakeholder coordination plan         8 D-B specific partnering           9 Continuity of team members           10 FHWA involvement overview           11 Permit commitment database           19 Scope validation period          = Recommended;  = Consider Case-by-Case;  = Not Recommended 4.4 Summary The alignment phase of a project is a joint effort between the agency and design-builder. The tools in this chapter are those that agencies can use to administer alignment. Before tools are implemented, they should be explained to the team and modified for the project conditions or agency context. The alignment phase helps build a foundation of trust and collaboration that can serve the team throughout the project. Clear communication from the start is extremely important to foster a collaborative environment. The primary goal of these tools is to help project participants communicate, document, plan, and execute the project efficiently. This list of tools may inspire agencies to develop new tools or adapt some of the tools in this guidebook based on the needs of a particular project or the organizational structure of their agency.

    22    Chapter 5. Design Phase Administration 5.1 Introduction The purpose of this chapter is to discuss the design phase and present tools that contribute to design development. This chapter addresses:  D-B design process overview.  Design phase contract administration tools. D-B contracting places the responsibility and risk for design in the hands of the D-B entity. However, the agency plays a key role in keeping communication channels open during design by providing timely feedback and verification related to performance specifications in the contract. Design should proceed so as to achieve a safe and functional facility meeting acceptable standards that benefits from constructability input. The design-builder and agency should develop engineering drawings to provide adequate guidance for construction as opposed to bidding, as well as meet the agency’s as-built requirements. 5.2 D-B Contract Administration Process D-B requires the agency and design-builder to manage design under what is essentially a construction contract. The D-B engineer must design to the requirements of the RFP. The agency needs to integrate all design requirements into the RFP and cannot interject preferences into the design process that extend beyond what is stated in the RFP. In the design phase, the most important contract administration activities involve the agency’s review of the design work packages for overall compliance with the requirements. The outputs of the design are the design completion paperwork; environmental, utilities, and permitting restrictions; added scope; and work packages required to perform the construction services. Key agency activities in the design phase include:  Ensure Design Compliance o Ensure Environmental Compliance o Manage Utilities and Permits o Manage ROW and Temporary Construction Easements o Ensure Functional Requirements o Ensure Schedule Requirements  Manage Work Package Coordination  Review Design Package  Approve Design Invoice  Manage Design Documentation  Enact a Contract Modification Which Impacts Design.

    23    5.3 Agency Contract Administration Tools In this phase the agency seeks to facilitate design for construction. This requires the project team has a clear understanding of the contract project goals. Both the agency and the D-B entity need to work collaboratively to fulfill project goals. This requires an understanding of the D-B roles and processes relating to design. D-B delivery can offer opportunities for innovation, but both the agency and the D-B entity need to be open to thinking outside the routine standards. They must focus on rapidly making design decisions that achieve the project goals while maintaining safety and quality in a cost-effective and timely manner. Agency administration tools should facilitate innovation that achieves project goals while maintaining safety and quality in a cost-effective and timely manner. After executing the D-B contract and before further developing the design, it can be helpful for the agency to implement the tool 19 Scope validation period. This tool designates a given time period when the D-B entity can perform a thorough review of the RFP documents in order to check for defects, errors, or inconsistencies. If scope issues are discovered during this period, the D-B presents these issues to the agency and the D-B and agency work together to resolve the issues. This process helps the project avoid problems later in design and construction. To promote innovation, D-B teams can use a tool called 13 Deviations from agency standards, which provides a means to document and approve solutions that are outside of an agency’s routine standards. By clearly articulating this approach, the D-B team can more easily focus on project goals and select suitable standards, perhaps from other states, or create project-specific specifications that will meet the agency’s goals. The D-B team needs to know when to interact with FHWA on federally funded projects. The 10 FHWA involvement overview clarifies when FHWA staff are invited to meetings and when they are to receive the required design documents. Collaboration between the agency, D-B entity, and FHWA on federally funded projects, can be structured and strengthened with 8 D-B specific partnering. Partnering can help bring people together and keep them in communication during the design process. 6 Regulatory agency partnering can promote good working relationships between the regulatory agencies and the D-B team during design. This can save time because the parties can review site constraints and design options together before a permit application is prepared and submitted. A 11 Permit commitment database can be developed during design to help ensure that commitments made during the design phase are carried out during construction. When different jurisdictions, utilities, and other stakeholders are involved, an 7 External stakeholder management plan can be implemented so their feedback can be considered in design as early as possible. 20 Public announcements is a tool to keep the public informed about the project scope, schedule, budget, and about how the D-B delivery method will benefit the project. D-B partnering can go beyond the agency and design-builder to include FHWA and regulatory agencies and ensure that all stakeholders have input in key design decisions.