Managing Enhanced Risk in the Mega Project Era (2022)

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88 NCHRP LRD 86 APPENDIX C- MANAGING ENHANCED RISK IN THE MEGA PROJECT ERA QUESTIONNAIRE FOR PROJECT PERSONNEL I. RESPONDENT & PROJECT INFORMATION 1. Respondent (person completing this questionnaire): a. Name: _______________________________________________________________________________________________ b. Employer: ____________________________________________________________________________________________ c. Current Position/ Group you work in: ______________________________________________________________________ d. No. of years of experience: _______________________________________________________________________________ e. No. of years involved in this Project: _______________________________________________________________________ f. Position held during involvement in Project: _________________________________________________________________ g. Number of projects involved in with same type of project delivery method _________________________________________ 2. Project Information: a. Name of the project: ___________________________________________________________________________________ b. Project location (City, State): _____________________________________________________________________________ c. Name of owner agency: _________________________________________________________________________________ d. Project Delivery Method used (circle one) i. Design-Bid-Build iv. Public-Private Partnership ii. Design-Build v. Other ____________________________________________ iii. CM/GC or CM-at-Risk e. Total Project cost: ______________________________________________________________________________________ f. Total Project construction duration: _______________________________________________________________________ g. Total Project O&M duration, if applicable: __________________________________________________________________ h. How many projects of the same project delivery method has your agency delivered? i. 1-2 projects iii. 6-10 projects ii. 3-5 projects iv. >10 projects i. Main contracting parties involved on the project i. _________________________________________________________________________________________________ ii. _________________________________________________________________________________________________ iii. _________________________________________________________________________________________________ iv. _________________________________________________________________________________________________ v. _________________________________________________________________________________________________ II. PLANNING STAGE A. Use of Risk Mitigation Tools 3. Did you employ a formal Risk Management Program on your project in which project risks were identied, assessed, and allocated? a. Yes, please describe it and how it informed the contract draing process ___________________________________________ ____________________________________________________________________________________________________ ____________________________________________________________________________________________________ b. No 4. Do you think the size of the project or complexity aected how risks were allocated in the contract, or the delivery method selection? a. Yes, please explain _____________________________________________________________________________________ ____________________________________________________________________________________________________ b. No 5. Were there legal or statutory regulations that aected decisions made during the planning phase of the project (e.g. selection of the project delivery method, procurement process, contract risk allocation (such as DSC), funding or bonding requirements, etc.)? a. Yes, please describe and provide legal citation.________________________________________________________________ ____________________________________________________________________________________________________ b. No

NCHRP LRD 86 89 B. Funding Source 6. How was this project funded? (e.g., TIFIA, PABs, federal and/or state funds, private funding, bonds, etc.)? __________________ _______________________________________________________________________________________________________ 7. Did the funding sources impact (or possibly help determine) the delivery method, key contract provisions, or raise other legal issues on this project? a. Yes, please explain _____________________________________________________________________________________ ____________________________________________________________________________________________________ b. No C. Government Approvals 8. Did the project contract address and allocate risk and responsibility between the owner/agency and the contractor for federal, state, and local entities governmental approvals? a. Yes, please explain how the risk was addressed and allocated, and whether the relevant provisions were successfully implemented as intended. _______________________________________________________________________________________ b. No D. Agreements with third parties 9. Did the project contract include provisions allocating risks and responsibility for third-party approvals (other than governmental approvals) between the agency and the contractor for the project? a. Yes, please describe the provisions and whether the relevant provisions were successfully implemented as intended _________ ____________________________________________________________________________________________________ b. No 10. Did the project contract allocate risks and responsibilities between the owner/agency and the contractor for right-of-way acquisition with landowners within the project limits? a. Yes, please explain how the risk was addressed and whether the relevant provisions were successfully implemented as intended ____________________________________________________________________________________________________ b. No 11. Did the project contract allocate risks and responsibilities between the owner/agency and the contractor for utility adjustments with landowners within the project limits? a. Yes, please explain how the risk was addressed and whether the relevant provisions were successfully implemented as intended ____________________________________________________________________________________________________ b. No 12. Did you or the contractor encounter any issues or concerns while planning and executing agreements with third parties? a. Yes, please explain _____________________________________________________________________________________ ____________________________________________________________________________________________________ b. No E. Environmental Permitting 13. Did the project contract include provisions allocating risks and responsibility for the environmental approvals between the agency and the contractor for the project (circle one)? a. Yes, please describe the provisions and whether they worked as intended __________________________________________ b. No 14. Was a NEPA reevaluation necessary on this project? a. Yes, please explain was it obtained prior to procuring the contract for the project ____________________________________ ____________________________________________________________________________________________________ b. No

90 NCHRP LRD 86 15. Were there any unique issues or delays on this project in connection with the environmental permitting approval process and the allocation of risks related to environmental approvals and the environmental permitting process? a. Yes, please explain how these issues aected how the project contract was draed ____________________________________ ____________________________________________________________________________________________________ b. No III. PROCUREMENT STAGE A. Procurement Process 16. What was the contract payment type? a. Lump Sum d. Combination or hybrid (please describe) b. Unit Price _________________________________________________ c. Cost Reimbursable 17. How was the contractor selected? a. Competitive Bid (low-bid) d. Negotiated b. Best-value e. Other, please explain ________________________________ c. Qualication based _________________________________________________ 18. Were the qualications of proposers/bidders evaluated (i.e. through a separate prequalication process, in a two-step procurement process that included development of a short-list, etc.) ? a. Yes, please explain _____________________________________________________________________________________ b. No 19. Do you think the project size or complexity aected the amount of competition on the project? a. Yes, please explain _____________________________________________________________________________________ b. No 20. Did any legal issues arise during the procurement of the contract for this project (e.g., protests, other challenges regarding the authority for the procurement or to the project, etc.)? a. Yes, please explain and summarize the resolution of the legal issue(s) _____________________________________________ b. No 21.Did you use any of the following procurement tools during the procurement process? Please circle all that apply and explain why. a. One-on-one meetings d. Alternative technical concepts b. Clarication requests e. Best-value proposal scoring processes c. Aesthetics review processes Please explain your use of the tool, its ecacy, any diculties encountered and any lessons learned. _______________________ _______________________________________________________________________________________________________ 22. What were the key risks on the project as perceived by the owner/agency and the bidders/proposers during the procurement? _______________________________________________________________________________________________________ 23. Were the risk allocation strategies and provisions successfully implemented as they were intended to during the procurement? a. Yes, please explain _____________________________________________________________________________________ b. No 24. Did the project contract documents include provisions/requirements on managing Disadvantaged Business Enterprise requirements? a. Yes, please describe the requirements and whether they were successfully implemented as intended _____________________ b. No 25. Please describe any lessons learned during the various phases of contract procurement process (e.g., pre-procurement, RFQ (if used), RFP, selection, protest (if applicable))? _______________________________________________________________________________________________________

NCHRP LRD 86 91 B. Bonding/Insurance/Warranty Requirements 26. What surety bonds, or other security (e.g., letters of credit) were required from the prime contractor or CM on this project? Please circle all that apply. a. Bid bond e. Maintenance bond b. License and Permit bond f. Site improvement bond c. Payment bond g. Others, please list ___________________________________ d. Performance bond _________________________________________________ 27. What surety bonds did the prime contractor or the CM require from their subcontractors? Please circle all that apply. a. Bid bond f, Site improvement bond b. License and Permit bond g. Retainage Bond c. Payment bond h. Others, please list ___________________________________ d. Performance bond _________________________________________________ e. Maintenance bond 28. Were there any lessons learned related to insurance, including professional liability coverage, contractor-controlled insurance programs (CCIP), owner controlled insurance program (OCIP), or other insurance requirements for this project? a. Yes, please explain _____________________________________________________________________________________ ____________________________________________________________________________________________________ b. No 29. Were any claims made on the insurance policies or bonds for the project? a. Yes, please explain _____________________________________________________________________________________ ____________________________________________________________________________________________________ b. No 30. Did the project contract(s) include express and/or implied warranties? a. Yes, express warranties b. Yes, implied warranties c. Yes, both express and implied warranties d. No If yes, how long was/were the warranty period(s) and what did warranties cover? ___________________________________ ____________________________________________________________________________________________________ How eective were the warranty provisions? _________________________________________________________________ IV. POST AWARD STAGE A. Design and Construction Phase 31. Were there any lessons learned in this project related to appropriate stang levels, sta training, or education and outreach eorts (both internally within your organization and externally)? a. Yes, please explain _____________________________________________________________________________________ b. No 32. Do you think the delivery method impacted the amount and type of change orders? a. Yes, please explain _____________________________________________________________________________________ b. No 33. Do you think the size or complexity of the project impacted the amount and type of change orders? a. Yes, please explain _____________________________________________________________________________________ b. No 34. Were there any other key factors that impacted the change orders on the project? a. Yes, please explain _____________________________________________________________________________________ b. No

92 NCHRP LRD 86 35. Did the project contract address and allocate risks and responsibility with respect to archeological, paleontological, or cultural resources? a. Yes, please explain how the risk was addressed and whether the relevant provisions were successfully implemented as intended ____________________________________________________________________________________________________ b. No 36. Did the project contract allocate risk between the owner/agency and the contractor for diering site conditions? a. Yes, please explain how the risk was allocated and whether the relevant provisions were successfully implemented as intended ____________________________________________________________________________________________________ b. No 37. Did the project contract address and allocate risk between the owner/agency and the contractor for force majeure events? a. Yes, please explain how the risk was addressed and allocated and whether the relevant provisions were successfully implemented as intended ________________________________________________________________________________________ b. No 38. Did the project contract address and allocate risk between the owner/agency and the contractor for change in law? a. Yes, please explain how the risk was addressed and allocated and whether the relevant provisions were successfully implemented as intended _______________________________________________________________________________________ b. No 39. Did the project contract allocate risk and responsibility between the owner/agency and the contractor for endangered species? a. Yes, please explain how the risk was addressed and allocated and whether the relevant provisions were successfully implemented as intended ________________________________________________________________________________________ b. No B. Hazardous Materials Management 40. Did the project contract address and allocate risk between the owner/agency and the contractor for hazardous materials management? a. Yes, please explain how the risk was addressed and allocated, and whether the relevant provisions were successfully implemented as intended ________________________________________________________________________________________ b. No 41. Were there any lessons learned related to risk allocation decisions and legal issues you encountered, related to discovery and processing of hazardous materials, potentially including use of preliminary investigations, allowances, unit pricing, and other limitations on either time or monetary relief? a. Yes, please explain _____________________________________________________________________________________ b. No C. Dispute Resolution and Project Labor Agreement 42. Was there an internal process set up for handling claims on the project (i.e. project level resolution, dedicated claims group of sta/consultants to review claims, claims escalation ladders, etc.)? a. Yes, please explain _____________________________________________________________________________________ b. No 43. What dispute resolution method did you use for this project? please circle all that apply. a. Partnering e. Disputes Review Boards b. Litigation f. Others, please explain _______________________________ c. Arbitration _________________________________________________ d. Mediation 44. Were there any lessons learned related to dispute resolution process choice (e.g. project neutral, arbitration, mediation, disputer review board, etc.) and its implementation on this project? a. Yes, please explain _____________________________________________________________________________________ b. No

NCHRP LRD 86 93 45. Were there any changes, claims, or disputes that arose during the project or aer turn over? a. Yes, please explain _____________________________________________________________________________________ b. No 46. Did you utilize project labor agreements (PLA) on this project? a. Yes, please explain any lessons learned during the implementation of PLAs _________________________________________ b. No D. Other Contract Provisions 47. Were there any incentives and disincentives provisions used in this contract? a. Yes, please explain and discuss any lessons learned ___________________________________________________________ b. No 48. Were there any contract provisions limiting the contractor’s liability (overall limitations, limitations on consequential damages, limitations on consequential damages, etc.)? a. Yes, please explain and discuss any lessons learned ___________________________________________________________ ____________________________________________________________________________________________________ b. No 49. Did these provisions help encourage certain contractor behavior, including early completion, limiting the owner’s potential liability for claims and meeting or exceeding performance requirements? a. Yes, please explain _____________________________________________________________________________________ ____________________________________________________________________________________________________ b. No 50. Please describe any provisions in the contract regarding step-in rights, suspension or termination, as well as any lessons learned? _______________________________________________________________________________________________________ E. Operations and Maintenance Phase 51. Did the project contract address and allocate risk between the owner/agency and the contractor for loss of toll revenues? a. Yes, please explain how the risk was addressed and allocated and whether the relevant provisions were successfully implemented as intended ________________________________________________________________________________________ ____________________________________________________________________________________________________ b. No 52. Were there any lessons learned encountered during operations and maintenance, potentially including issues related to warranties, claims, training and appropriate budgeting for operations and maintenance work? a. Yes, please explain _____________________________________________________________________________________ b. No V. ADDITIONAL INFORMATION 53. Please share the bid and contract document used on this project. Provide a link below if available: _______________________________________________________________________________________________________ _______________________________________________________________________________________________________ 54. Would you be willing to allow the NCHRP 25-03 research team to collect a case study of the risks and risk management processes used by your department on this project? a. Yes, please provide your contact information: ________________________________________________________________ b. No c. Maybe