1、 AASHTO PARTNERING HANDBOOK 2005 American Association of State Highway and Transportation Officials 444 North Capitol Street, N.W., Suite 249 Washington, DC 20001 (202) 624-5800 transportation.org Copyright 2005, by the American Association of State Highway and Transportation Officials. All Rights R
2、eserved. This book, or parts thereof, may not be reproduced in any form without permission of the publisher. Printed in the United States of America. ISBN: 56051-324-1 American Association of State Highway and Transportation Officials Executive Committee 2005-2006 President: Harold Linnenkohl, Georg
3、ia Vice President: David Spryncznatyk, North Dakota Secretary/Treasurer: Larry M. King, Pennsylvania Regional Representatives: Region I Allen Biehler, Pennsylvania, One -Year Term Dan Tangherlini, District of Columbia, Two-Year Term Region II Gabriel Alcaraz, Puerto Rico, One-Year Term Harold Linnen
4、kohl, Georgia, Two-Year Term Region III Gloria Jeff, Michigan, One-Year Term Frank Busalacchi, Wisconsin, Two-Year Term Region IV Tom Norton, Colorado, One-Year Term David Sprynczynatyk, North Dakota, Two-Year Term Immediate Past President: Jack Lettiere, New Jersey Executive Director: John C. Horsl
5、ey, Washington, DC AASHTO PARTNERING HANDBOOK i - Standing Committee on Quality Rhonda G. Faught P.E., Chair Douglas Rose, Vice Chair ConnieYew, Secretary Anthony R. Kane, Liaison Hannah R. Whitney Robert J. Jilla Vacant Ginger A. Murdough Ralph J. Hall Robert L. Walters Elizabeth A. Dooher Gary Sel
6、f Arthur W. Gruhn Kevin Canning Dennis OShea William P. Carr John F. Deatrick Larry Ferguson, III Ken Leuderalbert J. T. Rabun Leigh Pascua Glenn M. Yasui Jeff R. Miles Julie Pipal Susan K. Simmons Vacant Vacant Mitchell J. Dillavou G. David Comstock Katrina Bradley Jim Wathen Deidre O. Adams Michae
7、l Bridges Richard Holm Joyce Noel Taylor Becky Burk Normetha Goodrum Bridgid Seering Vacant Myron G. Frierson Richard A. Stehr Vacant Mara Campbell James D. Currie Claude R. Oie Ruedy Edgington New Mexico DOT Maryland Washington, DC Washington, DC Washington, DC Alabama Alaska Arizona Arkansas Arkan
8、sas California Colorado Connecticut Delaware Delaware Washington, DC Washington, DC Florida Florida Georgia Hawaii Hawaii Idaho Idaho Idaho Illinois Indiana Iowa Kansas Kentucky Kentucky Louisiana Louisiana Lo u is i an a Maine Maryland Maryland Maryland Massachusetts Michigan Minnesota Mississippi
9、Missouri Montana Nebraska Nevada ii AASHTO PARTNERING HANDBOOK James Marshall Carol A. Murray Lynn Rich Nick Mandel Gary Shubert Vacant Julie A. Hunkins Walt Thompson Tom D. Freier Ken Heitkamp Tim Horner Vacant Vacant Heather Catron Rina Cutler Richard H. Harris Evelyn S. Colon-Berlingeri Colin A.
10、Franco Cynthia C. Levesque Carl Chase Michael Durick Roxanne R. Rice Diane E. Gusky Gary Head Bill Dickeson Steven E. Simmons Wayne Rago Melvin Adams Larry D. Jones Malcolm T. Kerley Dennis C. Morrison Paula J. Hammond Vacant Lynne B. Judd Mel Anderson Nancy J. Wiehagen Stephen Blechschmidt Dale A.
11、Forster Ray Mantha New Hampshire New Hampshire New Jersey New Mexico New Mexico New York North Carolina North Carolina North Dakota North Dakota North Dakota Ohio Oklahoma Oregon Pennsylvania Pennsylvania Puerto Rico Rhode Island Rhode Island South Carolina South Dakota South Dakota Tennessee Tennes
12、see Texas Texas Utah Vermont Virginia Virginia Virginia Washington West Virginia Wisconsin Wyoming Wyoming New Brunswick New Brunswick Ontario AASHTO PARTNERING HANDBOOK iii Table of Contents Foreword Partnering: What Is It? Definition Partnering Is About Shared Responsibility Principles of Partneri
13、ng History Partnering Roles Clarifymg Myths and Misconceptions: What Partnenng Is and Is Not Why We Partner Benefits of Partnering Characteristics of Successful Partnerships Partnering in Construction Partnering Between Agencies State Partnerships with EPA for Environmental Streamlining Cost Sharing
14、 Agreements Lead to Better Project Development Intelligent Transportation Systems (ITS) Solutions Prove Value of Partnering Regional and Multi-State Organizations State-Local Maintenance Agreements Partnerships in Planning and Planning Related Programs Joint Problem Solving in Florida and Oregon Par
15、tnering in Private Industry The Future of Planning Partnerships Areas of Continued Great Promise for Partnerships Other Innovative Uses of Partnerships Partnering Process: An Attitude as Well as Way of Doing Business Are you Ready to Partner? Readiness Checklist Identify Stakeholders Identify Goals
16、Roles and Responsibilities vii 1 1 2 2 3 4 7 8 9 11 11 11 12 13 13 14 15 15 15 16 16 16 16 19 19 20 21 22 23 AASHTO PARTNERING HANDBOOK V The Partnering Workshop Partnership Models Partnering Workshop Elements Issue Resolution How to Resolve Issues Within a Partnership Issue Resolution Tools Why Is
17、It Important to Measure Your Partnership? Types of Measurement Use Technology to Chart Progress How to Showcase and Celebrate Your Partnership Internal and External Recognition Awards Partnering Resources Partnering Materials References Appendix A Examples of Partnerships Generalized Partnering Exam
18、ples Public Partnering Internal Partnering Appendix B: Partnership Workshop Pre-Meeting Checklist Key Stakeholders to Attend Workshop Partnering Workshop Suggested Ground Rules Sample Charter (Version I) Sample Charter (Version 11) Partnering Workshop Agenda Sample Sample Issue Resolution Ladder Sam
19、ple Issue Resolution Chart Issue Resolution Chart Instructions Action Planning and Follow-Up 25 25 26 31 31 32 33 35 37 41 41 41 42 43 45 47 47 48 52 55 55 56 57 58 59 60 61 62 63 64 Glossary 65 vi AASHTO PARTNERING HANDBOOK Foreword The American Association of State Highway and Transportation Offic
20、ials (AASHTO) Standing Committee on Quality (SCoQ) Partnering Subcommittee is made up of members from various state Departments of Transportation and the Federal Highway Administration. These members are, or have been, part of partnering processes in their respective states for many years. They have
21、 led the charge while in some instances revitalizing the partnenng effort. The subcommittees vision is to have partnering practices used nationwide in all facets of work to enhance communication and business relationships. Our mission is to elevate the standard of partnering practices through awaren
22、ess using marketing and educational methods. Five years ago, this subcommittee envisioned developing and distributing a generalized part- nenng handbook nationwide. This handbook would help educate key customers and part- ners on the benefits and methods of adopting partnering principles. The subcom
23、mittee 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 partnenng a way of life in everyday activities. Following the guidelines set forth in this handbook will help your com- pany become a more valuable stake
24、holder in whatever business endeavor that may be encountered. AASHTO Standing Committee on Quality Partnering Subcommittee AASHTO PARTNERING HANDBOOK vii Partnering: What Is It? “There is no such thing as a self-made man-you reach your goals only With the help O OiherS.”-GeoP.ge Shin Individuals and
25、 organizations define”partnering”in a variety of ways. For the purpose of this handbook, we offer the dictionary definition of partnering and our definition of partnering. Definition partmer (prtnr) n. One that is united or associated with another or others in an activity or a sphere of common inter
26、est: v. part-nered, partenering, parteners v. tr. To make a partner of. To bring together as partners. To be the partner of. v. intr. To work or perform as a partner or partners. The American Association of State Highway and Transportation Officials (AASHTO) Standing Committee on Quality (SCoQ), Par
27、tnering Subcommittee defines partnering as, ”A process of collaborative teamwork to achieve measurable results through agreements and productive relationships.” Partnering is: Process of building an attitude of goodwill and trust Fair-fair attitude Each party understanding the others obligations Ave
28、nue to create cost efficiency Structure to keep things moving positively along Getting along Cooperative management with enthusiasm Going out of your way to look at issues from the other parYs point of view A good team-building tool Commitment by all parties to work within the parameters and guideli
29、nes established Shared risk Commitment and performance Commitment to communicate and cooperate Proactive attitude Synergistic performance (joint problem solving) Loss of revenue to an attorney (due to claims) Reduced litigation costs Process for relationship building State agency and contractor work
30、ing together without being adversaries Commitment to open and honest relationships Partnering is a formal process which includes all partners input, with tangible deliverables, such as a partners communication and roles matrix, a charter (mission, goals, and guide- AACHTO PARTNERING HANDBOOK 1 lines
31、), issue resolution agreements, an action plan, partnering evaluation program, meeting follow-up strategies, and a report that includes all partnership agreements. Partnering Is About Shared Responsibility The Maryland State Highway Administration (MSHA) describes partnering as “A process based on t
32、rust and an open, honest attitude in which all participants in a project recognize both common and individual objectives and work to achieve those objectives through improved communication and cooperation.”The ultimate purpose of part- nering is to create a multi-participant team in which all key pa
33、rticipants are committed to a common purpose, goals, and work approach for which they hold themselves mutually accountable. Shared responsibility means fulfilling com- mitments to the team and insuring the suc- cess of all members of the team. The approach must still allow for the fact that the memb
34、ers of the team share many common interests yet have differing authorities, interests, and objectives that must be accommodated. Principles of Partnering The Arizona Department of Transportation (ADOT) credits the following terms as the seven partnering principles: 1. 2. 3. 4. 5. 6. 7. Trust is know
35、ing that a partner will look out for the other partners best interests. Commitment is keeping agreements. Communication means sharing information in an open and honest way. Cooperation, Teamwork, and Relationships relate to how partnership members work together toward common goals. Issue Resolution
36、speaks to having agreements and a process in place so that issues are prevented when possible, or are identified and resolved before they harm the partnership or the project. Measurement and Feedback evaluates the progress of the partnership towards its goals. Continuous Improvement uses feedback to
37、 determine and make the required changes necessary to sustain the partnership. 2 AASHTO PARTNERING HANDBOOK History Excerpt from the Ohio Department of Transportation (ODOT) Purtnering Handbook: “Partnering is not a new concept. It has been around informally for a long time. In 1929, New York busine
38、ssmen developed a team and decided to build the tallest building in the world. In less than two years (18 months), the Empire State Building was completed, sometimes developing at a rate of four and a half stories a week. It was the teams con- tinuous cooperation, spirit of trust, open communication
39、, and coordination that caused the construction process to be a success for all stakeholders.” 1 It may be suggested that the 1980s marked a time in the construction industry when risk shifting, finger pointing, and expensive litigation to recover losses were industry norms. In contrast, the 1990s m
40、arked an industry transformation from the reactive claims practices of the 1980s to a more proactive ideology of claims prevention. The industry has discovered that proactive measures such as alternative dispute resolution techniques lead to lower costs, reduced claims, better long- term relationshi
41、ps, and successful projects. The concept of”partnering”is a proactive approach that is being embraced in both the pri- vate and public construction industry sectors. The application of the partnering concept began in the middle of the 1980s as an effort to improve relationships between the different
42、 parties involved in the construction process. (Hernandez, 1994) (4). The US. Army Corps of Engineers (USACE) was one of the leading public agencies to utilize partnering in the late 1980s. Of the Federal agencies, the USACE and the U.S. Naval Facilities Engineering Command (NAVFEC) are utilizing th
43、e most mature public partnenng programs (Schmader and Gibson, 1995). The 1990s marked the emergence of formal partnering programs in public agencies that since have grown steadily over the past decade. In January 1991 the Associated General Contractors of Americas Quality in Construction Task Force
44、embraced the Corps of Engineers concept of partnering with a strong commitment from the 1991 newly elected president, Marvin M. Black. Partnenng was expressed in his objectives for the year, backed up with support and production of a video and manual for spreading the word to members. In March 1993,
45、 the Marvin M. Black Excellence in Partnenng Awards for construction projects that best exemplified the concepts of partnering were awarded to eight contractors across the United States. The Associated General Contractors of America have continued to promote partnering. A partnering survey conducted
46、 by the AASHTO SCoQ Partnering Subcommittee in January 2002 found that 32 states and authorities participated in some form of organizational part- nering. Twenty-nine states indicated that they had a formal partnering process. AASHTO PARTNERING HANDBOOK 3 Partnering Roles The majority of examples in
47、 this handbook focus on the construction contractor and state DOT partnerships. However, these principles work for any relationship. Arizona DOT defines public partnering as being among and between state DOTS, other state, local, and Federal agencies, and non-governmental stakeholders. There are str
48、ategic partnerships that are long- term, while project partnerships tend to be short-term. Also, partnerships exist within an organization and are among and between members, leaders, and work units. The California Department of Transportation (Caltrans) believes the project leaders are accountable f
49、or the day-to-day operations of the project and, as such, are in the perfect place to promote partnering. They are key to partnering success or failure. Role of Resident Engineer (RE) and Project Manager (PM) The Cultruns Field Guide to Partnering on Cultruns Projects (Field Guide) states that”. . .it is the responsibility of the Contractors PM to oversee the construction of the work and the Contractors operations, ensuring the Contractor fully satisfies hisiher obligations, including those related to quality, as set forth in the contract. It
