AASHTO APH-2018 Partnering Handbook (Revision 2).pdf

1、AASHTO PARTNERING HANDBOOK 2018Page ii AASHTO Partnering HandbookPubl. Code: APH-2 ISBN: 978-1-56051-709-2 Cover photos courtesy of Ohio DOT. 2018, by the American Association of State Highway and Transportation Officials. All Rights Reserved. 2018 by the American Association of State Highway and Tr

2、ansportation Officials. All rights reserved. Duplication is a violation of applicable law.Page iii AASHTO Partnering HandbookForeword The American Association of State Highway and Transportation Officials (AASHTO) Technical Subcom- mittee on Contract Administration is made up of members from various

3、 state Departments of Transportation (DOTs) and the Federal Highway Administration (FHWA). It was given the mission to review and update the 2005 AASHTO Partnering Handbook. The advent of alternative contracting methods like designbuild, construction manager/general contractor, and publicprivate par

4、tnerships has fundamentally changed the way projects are being delivered across the nation. The handbooks first edition was written against a con- text of traditional designbidbuild project delivery where highway projects were awarded to the lowest responsive bidder. That contracting environment was

5、 one that could be vulnerable to adversarial relation- ships and litigation. Partnering was developed to address the negative consequences of the low-bid system. Research on partnering clearly demonstrates that it provides a practical mechanism to positively resolve project issues, averting litigati

6、on. A number of structural changes have taken place in the way highway projects are being delivered, most of which involve increasing the level of integration and collaboration between the DOT and its partners in the design and construction industries. The most prominent change is the increase in ea

7、rly contractor involve- ment in the design process. The second edition of this handbook was commissioned to capture the national experience with increasing collaboration during the design phase found in the alternative contracting prac- tices and integrate it into the partnering process. The second

8、edition includes an organizational partnering maturity model that permits DOTs to assess them- selves and determine those areas where additional guidance is needed to institutionalize the fundamental principles of partnering. This new handbook also defines three levels of partnering intensity that p

9、rovide a means to tailor the partnering process to the agencys particular requirements based on their assessed level of maturity. The overarching goal of this handbook is: To encourage public agencies to strive to create a project delivery environment where the princi- ples of partnering have been i

10、nstitutionalized into routine business practices. The contents of the revised handbook have been rigorously vetted in the field and found to add value to existing partnering programs. This handbook wll help educate key customers and partners on the benefits and methods of adopting partnering princip

11、les. The subcommittee members have spent a great number of hours to make this handbook a reality. No matter what business you are in, this handbook can help make partnering a way of life in everyday activities. Following the guidelines set forth in this handbook will help your company become a more

12、valuable stakeholder in whatever business endeavor may be encountered. AASHTO Technical Subcommittee on Contract Administration 2018 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Page iv AASHTO Partnering

13、Handbook EXECUTIVE COMMITTEE 20172018 OFFICERS:President: John Schroer, TennesseeVice President: Carlos Braceras, UtahSecretaryTreasurer: Scott Bennett, ArkansasExeutive Director: Bud Wright, Washington, DCREGIONAL REPRESENTATIVES:Region I: Jennifer Cohan, Delaware Pete Rahn, MarylandRegion II: Jame

14、s Bass, TexasRussell McMurry, GeorgiaRegion III: Patrick McKenna, MissouriJoe McGuinness, Indiana Region IV: Mike Tooley, MontanaRoger Millar, WashingtonIMMEDIATE PAST PRESIDENT: David Bernhardt, Maine 2018 by the American Association of State Highway and Transportation Officials. All rights reserve

15、d. Duplication is a violation of applicable law.Page v AASHTO Partnering Handbook Committee on Construction Chair: Malcolm Dougherty, California Vice Chair: Rob White, Utah Liaison: Evan Rothblatt, AASHTO Alabama Jeff Benefield Skip Powe Tracy Stegmaier Alaska Anthony Sprague Jim Green Shawn Alexand

16、er Arizona Julie Gadsby Julie Kliewer Arkansas David Henning Eddie Tanner Lester Wilhite California Cathrina Barros Rachel Falsetti Steve Altman Colorado Laura Zamora Mark Straub Markos Atamo Connecticut Mark Rolfe Ravi Chandran Delaware Brad Saborio Chris Costello Jon Ledger District of Columbia Ab

17、dullahi Mohamed Ali Shakeri Diyar Bozkurt Federal Highway Ad- ministration Anthony Sarhan Connie Yew Gerald Yakowenko Gregory Doyle Hari Kalla Jeff Lewis Katherine Petros Matthew DiGiovanni Richard Duval Richard Unkefer Rob Elliott Florida Amy Tootle David Sadler Georgia John Hancock Marc Mastronard

18、i Rich Williams Hawaii Albert Chung Blaine Kawamura Jamie Ho Robert Shin William Hakala Idaho John Bilderback Kevin Sablan Illinois Justan Mann Tim Kell Indiana Gregory Pankow Iowa Wes Musgrove Kansas Greg Schieber Susan Eiseman Kentucky Mark Walls Matt Looney Ryan Griffith Louisiana Alden Allen Mic

19、hael V osburg Maine Devin Anderson Rich Crawford Maryland Margaret Martin Steve Marciszewski Massachusetts Anne Gorczyca Dave Spicer Mike McGrath Michigan Erick Kind Jason Gutting Matt Bellgowan Minnesota Mike Leegard Tom Ravn Mississippi Earl Glenn Shane Martin Missouri Dave Ahlvers Jay Bestgen Ran

20、dy Hitt Montana Dwane Kailey Kevin Christensen Nebraska Cameron Craig James Knott Rob Davis Nevada Jeff Freeman Sharon Foerschler Stephen Lani Theodore Kitsis New Jersey Snehal Patel New Mexico Armando Armendariz Sally Reeves North Carolina Lamar Sylvester Ron Davenport New York Theodore Kitsis Nort

21、h Dakota Phillip Murdoff Ohio Brad Jones Gary Angles Oklahoma John Leonard Will Nedbalek Ontario Tony Tuinstra Oregon Joe Squire Pennsylvania Chris Reilly Jim Foringer Joseph Robinson Rhode Island George Ley Jim Orr South Carolina Claude Ipock South Dakota Jason Humphrey Jeff Senst Rick Gordon Tenne

22、ssee Jason Blankenship Loro Lange Will Reid Texas Michael Lee 2018 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Page vi AASHTO Partnering Handbook Utah Rob Wight Vermont Jeremy Reed Mladen Gagulic Virgini

23、a Greg Henion Kerry Bates Shailendra Patel Washington Chris Christopher Craig McDaniel West Virginia Darby Clayton Jason Boyd Steve Boggs Wisconsin Tom Buchholz Wayne Chase Wyoming Andy Long Charlie Bauer Kenneth Keel Technical Subcommittee on Contract Administration Chair: Gary Angles, Ohio Vice Ch

24、air: Sue Eiseman, Kansas Secretary: Earl Glenn, Mississippi Liaison: Evan Rothblatt, AASHTO Alabama Jeff Benefield Connecticut Ravi V Chandran District of Columbia Ali Shakeri Delaware Gregory G Pawlowski Kansas Susan Eiseman Massachusetts Mike A. McGrath Michigan Jason Gutting Mississippi Earl Glen

25、n MS North Carolina Lamar Sylvester North Dakota Phillip Murdoff Nebraska James J. Knott New Hampshire Theodore Kitsis Ohio Gary E Angles Rhode Island Norman P. Marzano, Jr. Tennessee Brian Egan Virginia Kerry Alan Bates West Virginia Ronald G. Smith Wyoming Andy Lon 2018 by the American Association

26、 of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Page vii AASHTO Partnering Handbook Table of Contents Chapter 1. Partnering: What Is it? 1-11.0 PartneringGood Project Management 1-11.1 Purpose of Partnering 1-11.2 Dispelling the Myths

27、 and Misconceptions: What Partnering Is and Is Not 1-2 1.2.1 The Partnering “Stigma” 1-3 1.2.2 What Is Partnering and What It Is Not? 1-31.2.3 Partnering Is About Shared Responsibility 1-41.3 The Partnering Evolution 1-41.4 Principles of Partnering 1-61.5 Making the Business Case for Partnering 1-6

28、1.5.1 Summary of Tangible Benefits 1-7 1.5.2 Summary of Intangible Benefits 1-71.6 How to Use This Handbook 1-9 Chapter 2. Why Partnering Is Important 2-12.0 Why Use a Partnering Process? 2-12.1 Partnering 2-12.2 Project Examples 2-2 2.2.1 NCTA Triangle Expressway (More information in Appendix A-1)

29、2-2 2.2.2 LaDOTD MacArthur Interchange Project (More information in Appendix A-5) 2-3 2.2.3 The Stan Musial Veterans Memorial Bridge (More information in Appendix A-9) 2-4 Chapter 3. The Partnering Spectrum 3-13.0 Introduction 3-13.1 The Spectrum of Partnering Intensity 3-1 3.1.1 Partnering Intensit

30、y 3-2 3.1.2 Partnering Intensity Definitions 3-23.2 Organizational Partnering Maturity Modeling 3-3 3.2.1 Organizational Maturity Theory 3-4 3.2.2 Applying Organizational Maturity Modeling 3-43.3 Partnering as a Risk Management Tool 3-63.4 The Partnering Spectrum Summary 3-7 Chapter 4. Alternative D

31、elivery and the Role of Partnering 4-14.0 Brief Introduction to Alternative Delivery 4-14.1 The Drivers and Complexities of Alternative Delivery 4-2 4.1.1 The Drivers of Alternative Delivery 4-2 4.1.2 The Complexities of Alternative Delivery 4-44.2 The Value of Partnering in Alternative Delivery 4-6

32、 2018 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Page viii AASHTO Partnering Handbook 4.3 International Alternative Delivery and Partnering 4-7 4.3.1 Alliance Contracting 4-8 4.3.2 Early Contractor Invo

33、lvement Contracting 4-9 4.4 Summary 4-9 Chapter 5. Partnering on Construction Manager/General Contractor (CMGC) Projects 5-1 5.0 Brief Introduction to CMGC Project Delivery 5-1 5.1 Components of the CMGC Partnering Process 5-2 5.1.1 Preconstruction Partnering 5-3 5.1.2 Preconstruction Partnering wit

34、h In-House Design 5-7 5.1.3 Construction Partnering 5-7 5.2 CMGC Partnering Checklist 5-8 5.3 CMGC Partnering Summary 5-10 Chapter 6. Partnering in DesignBuild (DB) Projects 6-1 6.0 Brief Introduction to DesignBuild Delivery 6-1 6.1 Differences between DB and Traditional Project Delivery 6-2 6.2 Com

35、ponents of the DB Partnering Process 6-2 6.2.1 Design Phase Partnering 6-3 6.2.2 Construction Phase Partnering 6-4 6.3 D-B Partnering Roles and Responsibilities 6-5 6.3.1 Roles and Responsibilities of the DOT 6-5 6.3.2 Roles and Responsibilities of the DesignBuilder 6-6 6.4 DB Partnering Checklist 6

36、-6 6.5 Partnering Summary 6-8 Chapter 7. Partnering on Public Private Partnership (P3) Projects 7-1 7.0 Brief Introduction to P3 Project Delivery 7-1 7.1 7-2 7-3 7-3 7-5 Components of the P3 Partnering Process 7.1.1 Phase I: Pre-Procurement 7.1.2 Phase II: Procurement 7.1.3 Phase III: DesignBuild Ph

37、ase 7.1.4 Phase IV: Operations and Maintenance 7-5 7.2 P3 Partnering Summary 7-6 Chapter 8. Partnering at the Programmatic Level 8-1 8.0 Introduction 8-1 8.1 Partnering Programs 8-1 8.1.1 Internal Partnering 8-1 8.1.2 Industry Outreach Programs 8-1 8.1.3 Partnering at a Project Level 8-2 8.1.4 Partn

38、ering in Planning and Planning-Related Programs 8-3 8.1.5 Stakeholder Partnering 8-3 2018 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Page ix AASHTO Partnering Handbook8.1.6 Partnering in Design/Consulta

39、nt Contracts 8-4 8.1.7 Partnering in Construction Contracts 8-4 8.1.8 Partnering Maintenance Agreements 8-4 8.1.9 Partnering Between Agencies 8-5 8.1.10 Partnering on Environmental Programmatic Agreements 8-5 Chapter 9. The Partnering Process 9-19.0 An Attitude as Well as a Way of Doing Business 9-2

40、9.1 Partnering Process Model 9-39.2 Summary 9-4 Chapter 10. Partnerings Potential Impact on Project Risk 10-110.0 Mitigating and Managing Risk 10-110.1 Marriage of Partnering and Risk Workshops 10-210.2 The Risk Register as a Partnering Tool 10-310.3 Summary 10-4 Chapter 11. The Partnering Workshop

41、11-111.0 Introduction 11-111.1 Partnership Models 11-1 11.1.1 Informal Partnering Workshop 11-1 11.1.2 Semi-Formal Partnering Workshop 11-2 11.1.3 Formal Partnering Workshop 11-211.2 Preparing for the Workshop 11-211.3 Elements of the Partnering Workshop 11-3 11.3.1 Offer to Partner 11-4 11.3.2 Agen

42、da 11-4 11.3.3 Charter 11-5 11.3.4 Communication 11-6 11.3.5 Issue Resolution 11-611.4 Performance Measurement 11-611.5 Partnering Workshop Evaluations 11-711.6 The Role of the Facilitator 11-7 11.6.1 Internal Facilitator 11-8 11.6.2 External Facilitator 11-8 11.6.3 The Role of the Facilitator for A

43、lternative Project Delivery 11-811.7 Facilitation Score Sheet 11-8 Chapter 12. Issue Resolution 12-112.0 The Crux of An Issue 12-112.1 Dispute Resolution by Escalation 12-112.2 Summary 12-2 2018 by the American Association of State Highway and Transportation Officials. All rights reserved. Duplicati

44、on is a violation of applicable law.Page x AASHTO Partnering Handbook Chapter 13. The Importance in Measuring Partnering Performance 13-113.0 Introduction 13-113.1 Objective Measures of Project Performance 13-113.2 Qualitative Measures of Project Performance 13-413.3 Program-Level Performance Measur

45、ement 13-613.4 Summary 13-6 Chapter 14. The Future of Partnering 14-114.0 Where to Next? 14-114.1 The Next Generation of Partnering 14-214.2 Barriers to Contractually Increasing the Amount of Collaboration 14-214.3 Summary 14-3 15.0 References R-1 Appendix A: Partnered ACM Project Examples A-1NCTA T

46、riangle Expressway A-1LaDOTD MacArthur Interchange Project A-5MoDOT The Stan Musial Veterans Memorial Bridge A-9 Appendix B: Partnership Workshop B-1 Appendix C: Partnering Maturity Model C-1 Appendix D: Partnering Costs and Benefits D-1 Appendix E: Glossary E-1 2018 by the American Association of S

47、tate Highway and Transportation Officials. All rights reserved. Duplication is a violation of applicable law.Page 1-1 AASHTO Partnering Handbook Chapter 1. Partnering: What Is It? 1.0 PartneringGood Project Management It is undeniable that partnering is a critical component to every transportation p

48、roject. Partnering, at its core, is really about having a strong project management process in place. Establishing open lines of commu- nication, making commitments to solve problems, treating all members of the team with respect, and fo- cusing on the ultimate project purpose and associated goals a

49、re all key elements of what successful project managers do. Monitoring and managing proj- ect schedules, scopes, costs, and budgets with a focus on safety, environmental responsibility, and quality all are key tasks of effective project management. Partnering has historically been viewed as a highly formalized process that encourages co- operation, joint problem solving, and focusing as a team on the objectives of a project. Key el- ements of the partnering process have included partnering charters, escalation ladders, period- ic workshops and meetings, and pe