AWWA M47-2010 Capital Project Delivery (Second Edition).pdf

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1、 Capital Project Delivery AWWA MANUAL M47 Second Edition 30047.indb 1 5/17/2010 1:28:05 PM Copyright 2010 American Water Works Association. All Rights Reserved. MANUAL OF WATER SUPPL Y PRACTICES M47, Second Edition Capital Project Delivery Copyright 1996, 2010 American Water Works Association All ri

2、ghts reserved. No part of this publication may be reproduced or transmitted in any form or by any means, electronic or mechanical, including photocopy, recording, or any information or retrieval system, except in the form of brief excerpts or quotations for review purposes, without the written permi

3、ssion of the publisher. Disclaimer The authors, contributors, editors, and publisher do not assume responsibility for the validity of the content or any consequences of their use. In no event will AWWA be liable for direct, indirect, special, incidental, or consequential damages arising out of the u

4、se of information presented in this book. In particular, AWWA will not be responsible for any costs, including, but not limited to, those incurred as a result of lost revenue. In no event shall AWWAs liability exceed the amount paid for the purchase of this book. Project Manager: Melissa Valentine E

5、ditor: Deborah Lynes Production Editor: Cheryl Armstrong Cover Photo: The Twin Oaks Aquifer Storage and Recovery facility, San Antonio Water System Library of Congress Cataloging-in-Publication Data. LaBonde, Shawn.Capital project delivery / by Shawn LaBonde. - 2nd ed.p. cm. - (AWWA manual ; M47)“Se

6、cond edition of AWWA Manual 47, formerly known as the Construction Contract Administration manual, published in 1996”-Pref.Includes bibliographical references and index.ISBN 978-1-58321-756-6 (alk. paper)1. Water utilities-United States. 2. Construction projects-United States. 3. Waterworks-United S

7、tates-Design and construction. 4. Water treatment plant construction contracts-United States. I. American Water Works Association. II. Construction contract administration. III. Title. HD4461.L33 2010363.610684-dc222010016955 ISBN 1-58321-756-8 978-1-58321-756-6 Printed in the United States of Ameri

8、ca American Water Works Association 6666 West Quincy Ave. Denver, CO 80235 Printed on recycled paper 30047.indb 2 5/17/2010 1:28:05 PM Copyright 2010 American Water Works Association. All Rights Reserved. Contents iii List of Figures, vii List of Tables, ix Preface, xi Acknowledgments, xiii Introduc

9、tion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Principal Terms, 3 Publicly Owned Versus Privately Owned Utilities, 4 Project Delivery Methods and Overview, 4 Recent Trends, 4 Chapter Preview, 4 Reference, 6 SECTION I CONVENTIO

10、NAL PROJECT DELIVERY Conventional Project Delivery: Design-Bid-Build Approach Chapter 1 . . . . . . . 9 Project Phases, 9 Participant Responsibilities, 13 Advantages and Disadvantages, 17 Reference, 17 Construction Documents: Overview and Application Chapter 2 . . . . . . . . . . . . 19 The CSI Form

11、at for Construction Documents, 19 Standard Forms for the Bidding and Contract Documents, 20 Engineers Joint Contract Documents Committee, 21 Design-Build Institute of America, 26 Standard Specifications , 26 References, 27 Prequalifying and Selecting Contractors Chapter 3 . . . . . . . . . . . . . .

12、 . . . . . . . . 29 Prequalification, 29 Competitive Bidding Process, 34 References, 36 SECTION II ALTERNATIVE PROJECT DELIVERY Owner Construction Management Chapter 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 Characteristics and Activities, 39 Staff Requirements and Responsibilitie

13、s, 41 Advantages, 46 Disadvantages, 47 30047.indb 3 5/17/2010 1:28:05 PM Copyright 2010 American Water Works Association. All Rights Reserved. iv Third-Party Construction And Program Management Chapter 5 . . . . . . . . . . . 49 Characteristics, 49 Advantages And Disadvantages, 51 Responsiblities An

14、d Procedures, 52 Multiple Prime Contracts Chapter 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 55 Multiple Prime Contracts Project Management, 55 Characteristics of MPC Projects, 58 General Qualifications and Procedures, 62 Reference, 62 Design-Build and Turnkey Constructi

15、on Chapter 7 . . . . . . . . . . . . . . . . . . . . . . 63 Design-Build, 64 Turnkey Construction, 70 Standard Documents, 72 References, 74 Construction Management at Risk Chapter 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . 75 Characteristics, 75 Objectives of GMPCM, 76 Participant Respo

16、nsibilities by Phase of Project, 79 Reference, 84 SECTION III ISSUES COMMON TO ALL DELIVERY METHODS Budgeting and Payment Procedures Chapter 9 . . . . . . . . . . . . . . . . . . . . . . . . . . 87 Project Budgeting , 88 Payment Methods, 88 Payment Schedule, 90 Important Elements in Project Payments

17、, 91 Payment Problems, 93 Project Completion Payment Procedures, 94 Performance Clauses Chapter 10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95 Types of Performance Clauses, 95 Other Performance Incentives and Issues, 97 Examples of Liquidated Damages, Bonus, and Pena

18、lty Clauses, 98 Warranties Chapter 11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101 Participant Responsibilities, 101 General Content, 103 Conditions and Requirements, 104 Claims, 109 Risk Allocation Chapter 12 . . . . . . . . . . . . . . . . . . . . .

19、 . . . . . . . . . . . . . . . . . . . . 111 Risk Identification, 111 Evaluating risks, 115 Risk Allocation, 118 Contingency Management, 119 Summary, 120 References, 121 30047.indb 4 5/17/2010 1:28:05 PM Copyright 2010 American Water Works Association. All Rights Reserved. v Disputes Chapter 13 . .

20、. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123 Background, 123 Dispute Resolution, 127 Alternative Dispute Resolution, 131 Communication Chapter 14 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135 Basics of Good Comm

21、unication, 135 Project Communication, 138 Selecting Consultants Chapter 15 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 141 Overview of Selection Methods, 141 Noncompetitive Selection Process, 142 Competitive Selection Process, 143 Decision yo Use Competitive or Noncompeti

22、tive Selection, 144 Implementing Qualification-Based Selection, 147 Reference, 154 Partnering Chapter 16 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 155 Case Studies, 157 References, 159 Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . .

23、. . . . . . . . . . . . . . . . . . . . . . . . . . . . 161 Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 163 AWWA Manuals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

24、 . . . . 000 30047.indb 5 5/17/2010 1:28:05 PM Copyright 2010 American Water Works Association. All Rights Reserved. This page intentionally blank. 30047.indb 6 5/17/2010 1:28:05 PM Copyright 2010 American Water Works Association. All Rights Reserved. This page intentionally blank. Figures vii Figur

25、e I-1 Large water transmission pipeline . 1 Figure I-2 Steel water tower 2 Figure I-3 Prestressed circular or cast-in-place rectangular reservoir 2 Figure I-4 Headquarters/admin building . 3 Figure 1-1 Traditional project participants 10 Figure 1-2 Water valve11 Figure 1-3 Treatment plant11 Figure 2

26、-1 Damage from Hurricane Katrina . 25 Figure 2-2 Repairs after Hurricane Katrina 25 Figure 3-1 Moffat Tunnel/Winter Park 30 Figure 3-2 Environmentally sensitive area in Mojave desert .31 Figure 3-3 Pipeline repair.31 Figure 4-1 Contractors following safety procedures 40 Figure 4-2 Installation of wa

27、ter tank . 44 Figure 4-3 Workers involved in plant expansion 45 Figure 5-1 Pump station 50 Figure 5-2 Membrane water treatment plant. 50 Figure 5-3 Scaffold inspection. 53 Figure 6-1 Typical flow of information for multiple prime contractors 56 Figure 6-2 Typical flow of information for multiple pri

28、me contractors with a construction manager 57 Figure 6-3 Preliminary site work. 59 Figure 6-4 Finished exterior 59 Figure 7-1 Elevated steel reservoir . 68 Figure 7-2 Ground storage reservoir 69 Figure 8-1 Water treatment plant. 77 Figure 8-2 Pump station 77 Figure 8-3 Site and foundation work 79 Fi

29、gure 8-4 Chemical feed system, a gas chlorinator. 83 Figure 9-1 Sample payment procedure workflow .91 Figure 9-2 Sample contractor payment workflow. 92 Figure 11-1 Manufacturers assist with startup 102 Figure 11-2 Documentation of equipment installation procedure 103 Figure 11-3 Inform contractor of

30、 potential problems. 106 Figure 11-4 Requirements for equipment handling. 106 30047.indb 7 5/17/2010 1:28:06 PM Copyright 2010 American Water Works Association. All Rights Reserved. viii Figure 11-5 Requirements for proper equipment placement. 107 Figure 11-6 Requirements for equipment connection. 1

31、07 Figure 11-7 Requirements for backfilling. 108 Figure 12-1 Risk assessment chart 116 Figure 12-2 Contingency drawdown curve (example) 120 Figure 13-1 Typical contractual arrangement 30 years ago . 125 Figure 13-2 Typical general contractor format today 125 Figure 13-3 Typical format for modern lar

32、ge projects 126 Figure 13-4 Typical modern format with multiple prime contractors. 126 Figure 14-1 Communication model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .135 Figure 14-2 Construction signage displaying a concise message. 136 Figure 14-3 Contrast in

33、 communication 137 Figure 16-1 Partnering agreement for plant expansion . 156 Figure 16-2 Partnering workshop schedule. 159 30047.indb 8 5/17/2010 1:28:06 PM Copyright 2010 American Water Works Association. All Rights Reserved. Tables Table 1-1 Summary of project delivery methods 5 Table 1-2 Project

34、 delivery variants and options 6 Table 2-1 CSI organization of the bidding and contract documents. 20 Table 4-1 Example of estimating project staff requirements. 42 Table 7-1 Advantages and disadvantages of design-build project delivery system 70 Table 12-1 Capital project safety risks .113 Table 12

35、-2 Capital project business risks .113 Table 12-3 Capital project performance risks .114 Table 12-4 Capital project legal risks.115 Table 12-5 Example of a risk ranking table .116 Table 12-6 Project participants individual interests .117 ix 30047.indb 9 5/17/2010 1:28:06 PM Copyright 2010 American W

36、ater Works Association. All Rights Reserved. This page intentionally blank. 30047.indb 10 5/17/2010 1:28:06 PM Copyright 2010 American Water Works Association. All Rights Reserved. This page intentionally blank. Preface xi This manual introduces the terms and procedures used in water utility constru

37、ction proj- ect administration in the United States. The intended audience is anyone involved in such projects, including engineers, contractors, suppliers, administrators, and decision-makers. The main emphasis of the manual, however, is presented from the water utilitys, or own- ers, point of view

38、. Because construction projects vary so much from project to project and country to country and because state and local regulations vary nearly as much, this manual cannot address every specific issue. Because of the variance, the manual cannot be considered a standard of practice. It should be used

39、, rather, as a resource in planning, designing, and managing construction projects. Contract documents have important legal consequences, and consultation with qual- ified professional services firms, such as attorneys and consultants, is encouraged before entering into a contract for the performanc

40、e of construction, engineering services, con- struction management, and other services. This publication, titled Capital Project Delivery, is the second edition of AWWA Man- ual 47, formerly known as the Construction Contract Administration Manual, published in 1996. The American Water Works Associa

41、tion (AWWA) and the Capital Project Delivery Committee would appreciate any comments on the manual. Contact the AWWA Volunteer and Technical Support Group at VTSawwa.org, or write to the group at 6666 West Quincy Avenue, Denver, CO 80235-3098. 30047.indb 11 5/17/2010 1:28:06 PM Copyright 2010 Americ

42、an Water Works Association. All Rights Reserved. This page intentionally blank. 30047.indb 12 5/17/2010 1:28:06 PM Copyright 2010 American Water Works Association. All Rights Reserved. This page intentionally blank. Acknowledgments xiii The American Water Works Capital Project Delivery Committee of

43、the Engineering and Construction Division developed this manual. Special appreciation is expressed to Richard S. Gabrielse, former committee chair during development of the first manual, for initiating the project. Authors and reviewers for the current edition are as follows: S.D. LaBonde, ChairE. C

44、ollins, Veolia Water, Indianapolis, Ind.D.C. Howie, HDR Engineering, Inc., Olympia, Wash.C.M. Koniarski, Earth Tech, Inc., Skokie, Ill.A.K. Kramer, Northern Kentucky Water District, Erlanger, Ky.S.D. LaBonde, Black & Veatch Corporation, Aurora, Colo.T.J. Ratzki, Black & Veatch Corporation, St. Louis

45、, Mo.J.C. Reichenberger, Loyola Marymount University, Los Angeles, Calif.B. Stater, Bowen Engineering Corporation, Fishers, Ind.M.D. Steele, Ernst & Young, Philadelphia, Penn.B.D. Steglitz, City of Ann Arbor Water, Ann Arbor, Mich.D.P. Wetstein, CH2M HILL, Denver, Colo.W.C. Lauer, AWWA Staff Advisor

46、, Denver, Colo.Beth Behner, AWWA Manuals Coordinator, Denver, Colo. (retired)Molly Beach, AWWA Manuals Coordinator, Denver, Colo. Photographs in this manual are courtesy of Joe Reichenberger, Brian Steglitz (City of Ann Arbor, Mich.), Amy Kramer (Northern Kentucky Water District), and Kevin Linder (

47、Aurora Water, Colo.). 30047.indb 13 5/17/2010 1:28:06 PM Copyright 2010 American Water Works Association. All Rights Reserved. xiv 30047.indb 14 5/17/2010 1:28:06 PM Copyright 2010 American Water Works Association. All Rights Reserved. 1 AWWA MANUAL M47 Introduction Capital projects are those constr

48、uction projects that further the growth of a utilitys in- frastructure or upgrade or replace aging infrastructure. These capital projects involve a significant amount of monetary investment (capital) and, when completed, are expected to service the utility and its customers for decades. The term cap

49、ital project delivery refers to the method of contracting for the construction of these projects. Depending on the delivery method, the term may also include the design or short-term or even long-term operation of the project. Figures I-1, I-2, I-3, and I-4 illustrate typical water utility construc- tion projects. Large water transmission pipeline (courtesy of Beaumont Cherry Valley Water District, Figure I-1 J. Reichenberger, P.E., District Engineer) 30047.indb 1 5/17/2010 1:28:07 PM Copyright 2010 American Water Works Associati