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60 at MoDOT: If a districts' project comes in under budget, the through formal and informal channels. It extends to the savings are returned to that district for future projects under host of federal, state, regional, and local government agencies its purview. At the same time, if projects come in over budget, involved at all levels of project development and delivery. It the money is taken from the overall district budget. involves contractors. And it extends to the general public. Conclusions Innovative Design Practices MoDOT is doing much to accelerate project and program MoDOT, like several other state DOTs, has engaged CSS delivery. The Missouri Tracker sets the organizational strategic concepts in its design processes through the development goals and direction, while Practical Design is one of the tools of Practical Design policies and manual. What seems par- and methods of doing business to accomplish tangible results. ticularly unique in MoDOT's application of CSS is the clearly Other salient points observed at MoDOT are summarized in stated desire and sharp focus on delivering more "good the following sections. enough" projects better, faster, and cheaper, with the end result being a great statewide transportation system. Committed Leader Emphasis on an Open and Clear System There is no way to overestimate the impact that the current of Performance Measures director of MoDOT, Pete Rahn, has had on the department's The Tracker has evolved quickly into an important depart- commitment to accelerate projects and quickly create a great mental tool for measuring MoDOT's overall performance, transportation system in Missouri. In the five years that he has including its ability to accelerate projects and programs. Its served, there appears to have been a significant internal shift measures are both clear and results oriented. Champions of to high performance for the benefit of the state's taxpayers, each measure are named and therefore clearly identifiable, as well as a perception outside the agency that a positive internally as well as externally to the public. The Tracker is transformation has occurred. Perhaps the greatest compli- published quarterly, to facilitate better judgment of trends ment to the director's role in creating this environment was and provide time to adjust strategies in performance. It mea- the MoDOT official who felt that the informal and formal sures present-day effectiveness against past trends. Most changes implemented by Rahn would last well beyond his important, it is a tool that is of equal importance to effectively tenure as director. Values such as honoring commitments, managing MoDOT and its various responsibilities, as well appreciating diversity, fostering a caring workplace, being as building credibility among Missourians about how their responsive and courteous, encouraging risk and accepting transportation system is performing. This "public window" failure, empowering employees, and innovative decision mak- via web access is the greatest testimony to MoDOT's efforts ing are practiced by senior leaders and filtered down through- toward transparency. out the organization. Essentially, the director has succeeded in MoDOT has experienced a cultural shift in the last five years. achieving total organizational buy-in for MoDOT's mission. Beginning with the Tracker and Practical Design, both of which were implemented in 2005, these strategies are designed to Strong Reliance on Staff exceed customer expectations, maintain accountability, and continuously improve quality. A focus on turning ideas to In an era of shrinking state DOT staffs, Missouri seems to reality and implementing best practices to produce results, have bucked the trend. Not only has there been an effort to while striving for innovation and radically controlling costs, retain staff and competency levels, but there has been a move has done much to speed its programs and projects from con- to help employees develop new skills and foster new working ception to completion. relationships and to refocus them toward delivering projects, meeting performance goals, and acknowledging customer needs and viewpoints. New Jersey Pipelines to Project Delivery Coordination and Communication Are Critical The New Jersey DOT's mission statement is "Improving It is a major department-wide goal to improve and maintain Lives by Improving Transportation." This motto is one that communication and coordination with the wide range of part- challenges the New Jersey DOT (NJDOT) in its efforts to ners MoDOT needs to engage in order to effectively deliver its improve its aging infrastructure and roadway networks that projects and programs. The communication begins internally, commuters have come to depend on. NJDOT's philosophy as managers and staff share best practices, progress, and issues begins with addressing the critical goals and objectives of

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61 safety first, fix it first, congestion relief, smart growth, inter- services, interest, bond retirement, grants, and local aid. Total modal efficiency, environmental/quality of life, and economic disbursements amounted to $3.8 billion. (72) However, it has development opportunities. (72) been estimated that approximately $7 billion is required to New Jersey's state highway system consists of approxi- bring the state's deteriorating infrastructure to acceptable mately 38,000 centerline miles of roadways, of which the DOT standards. owns and maintains approximately 2,344 miles. The remaining Roads and bridges that were designed for the 20th century roads fall under county and municipal jurisdictions. Although have outgrown their useful life and must now be upgraded NJDOT manages only 6 percent of the roads, about 67 percent or rehabilitated to 21st century standards. According to of all traffic, including heavy trucks, use these state-owned NJDOT's discussion group, limited revenue resources along roads. A recent measure of state roadway roughness and dis- with competing demands do not provide the necessary funds tress measurement indicates that approximately 49 percent and tools to restore and rebuild New Jersey's infrastructure of the state's highway system is deficient. (72) needs. The new mode of operations currently in place at With a population of approximately 8.7 million, New Jersey NJDOT is focused on rehabilitation and maintenance of is the most densely populated state in the nation. Surpris- existing infrastructure. ingly, this urban environment has only six urban cities with more than 100,000 people, based on a 2004 estimate. (29) New Organizational Structure Jersey's geographic location in the Northeast Corridor, its immediate proximity to New York City, and major economic The NJDOT has always had a predominantly centralized generators and industries--such as ports, airports, warehous- organizational structure. It is a tiered structure wherein the ing, and pharmaceuticals--generate high volumes of com- commissioner provides leadership to his or her subordinates. muter, freight, and recreational traffic. These volumes place a Under the deputy commissioner, assistant commissioners, huge burden on the roadway system to carry ever-increasing along with directors and program managers, address the amounts of everyday traffic. DOT's organizational and operational issues. Directors, pro- More telling is the number of VMT on state roads. New Jer- gram managers, department heads, and regional managers sey experiences 75 billion VMT annually on federal aid high- all provide direction and guidance in their respective areas ways. (72) When compared to other Northeast Corridor states, to deliver their short-range and long-range programs and New Jersey also has the most densely traveled lane miles. The projects. The three major areas under the deputy commis- wear and tear of daily traffic, the multiple freezethaw cycles sioner that contribute to program delivery are (a) Planning of the temperate winter climate, and heavy truck traffic cause and Development, (b) Capital Program Management, and pavement surfaces to deteriorate more quickly than states in (c) Operations. Of these, Capital Program Management lies other locations. Transportation professionals in New Jersey at the heart of project delivery. have the unique challenge of finding ways to deliver projects NJDOT has satellite offices and maintenance facilities amid fluctuating climatic conditions, limited space require- located throughout the state, but all major decisions are made ments, and the increasing heavy truck traffic that passes over from the central office in Trenton. Centralizing all offices and New Jersey's roads and interstates to get to their destinations. units in one location has allowed for better communication, Apart from the aging infrastructure, New Jersey also faces not only within different units but also with external stakehold- problems with congestion. Despite the increase in population ers. While the organization is somewhat vertical, there have and employment, New Jersey has recognized that it "cannot been many internal changes resulting in a flatter and more build [its] way out of congestion" and must instead look to horizontal approach to reduce the formalities inherent in "tall" innovative solutions and practical approaches to address its organizations. transportation needs. Fourteen percent of the roads operate at or over capacity. Congestion in New Jersey is no longer Internal Reorganization reserved just for peak hour traffic; pockets of urban New Jersey's roads experience congestion lasting more than one NJDOT has also gone through several internal reorgani- hour, and experience increasing delays at other bottlenecks zations. However, reorganization did not simply occur on and intersections. (72) one level. At the macroscopic level, there were global changes State funding for New Jersey in 2006 came from a variety within NJDOT that allowed the department to move from of sources including user tax revenues, road and crossing long-duration, high-development cost to lower cost and higher tolls, general funds, bond proceeds, the federal government, efficiency in project delivery. These overarching elements of re- and other miscellaneous income. Total receipts amounted to organization involved a pipeline approach to project delivery, $4.9 billion. Disbursements were allocated to the national capital investment strategy, and a management-by-objective highway system, roads and streets, maintenance and highway approach. At the microscopic level, fine-tuning of community

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62 partnering, agency partnering, and task order contracts has approach, projects were scoped to have realistic objectives. helped to expedite projects. Those objectives were periodically evaluated and monitored. NJDOT's reorganization involved restructuring where The project management philosophy introduced a differ- certain functions were handled. For instance, environmental ent way of delivering projects. The concept of the triple con- documentation was only initiated in the Division of Project straints--a balancing of scope, schedule, and budget--became Management (DPM) after an initially preferred alternative a code that project managers lived by. Project managers was selected in the Division of Project Development (DPD). became more aware of their role in integration management Not only did this entail an official handoff from one unit to and the importance of such things as project charters, project another, but critical time was also lost in the ramp-up efforts management plans, and change control procedures. A greater to gain an understanding of the initially preferred alternative emphasis from upper management on managing scope and and the preparation of environmental documentation. At maintaining schedules guided the project managers to deliver each phase, a new group of individuals would have to famil- projects in an organized manner. iarize themselves with the history, project data and infor- The push to move toward a project management philos- mation, decisions, stakeholders, and particular challenges of ophy met with some resistance initially. But the philosophy the project. Often, decisions made by the DPD were ques- takes this into account and provides a holistic acceleration tioned by the DPM, and projects would either take longer to approach from the initiation of a project to its end. More advance or additional effort would be required to move the important, through the project charter, a formal recognition project forward. Some of this effort involved rework and a of the project allowed the project manager to begin work, resulting loss of time and budget. In an effort to streamline assign resources, make decisions, and orchestrate a plan that the environmental process, activities related to environmen- provided an end product for users. Not only did the project tal documentation were brought into the development phase management philosophy change the way NJDOT did projects, of the project. This way, the environmental process could start but it also aligned programs with the department's overall sooner in the project's life cycle, with other tasks being per- business goals; ergo, the need for a formal process to man- formed concurrently, and remain with the same individuals age projects was established. who were involved in the earlier decision-making process. Prior to the reorganization, the Office of Access Design Consultant Continuity to and the Major Access Permit unit were under the Division of Expedite Project Delivery Design Services. Managers found that many access functions had a direct impact on right-of-way, which would then impact NJDOT has significantly reduced its staff from 6,000 to project delivery. These units were relocated under the Divi- only 3,000 employees in the last 10 years. This staff reduction sion of ROW, which functions under the Capital Program has affected the way programs and projects are processed. Management area. This relocation bridged the gap between To meet the demands of programs that need to be delivered ROW and access functions and caused some of the ROW on an annual basis, NJDOT frequently procures professional acquisition processes and access alteration processes to be consultant services. Consultants are brought on board to streamlined. perform concept developments, feasibility assessments, en- vironmental documents, design, and construction services. Often, a consultant's expertise becomes valuable when the Project Management Philosophy department looks to research and develop a new program or Reorganization within the Capital Program Management process as well. One of the challenges that New Jersey faces area also involved a more critical step toward changing the way with a reduced work force is maintaining a wealth of knowl- projects were delivered. Approximately 12 years ago, NJDOT edge (of the organization) that is tacit and transactive at the began making the change toward a project managementbased same time. philosophy. This philosophy provided guidelines for proj- More recently, the NJDOT has taken a step forward ect managers in terms of how projects should be initiated, to expedite project delivery through the implementation of planned, executed, controlled, and closed, requiring the Capi- qualification-based consultant selection in batches and the tal Program Management area to undergo a paradigm shift in use of consultant task orders for simpler projects of similar the way projects were being delivered. The phases of a proj- scope. This initiative has eliminated the downtime between ect (planning, design, and construction) were analyzed for project phases and enhanced the department's procure- redundancies and potential areas where time was being lost ment management practices. in the project cycle. Reorganization of that area transformed In the past, a qualification-based consultant selection was project phases, causing it to take a more unified approach performed for each separate phase of a project, regardless of its in delivering projects. Using a management-by-objective scope. For instance, one consultant might have been respon-

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63 sible for the feasibility assessment phase of a project, while a Pipeline History different consultant would undertake the design phase. Over The pipelines concept came about in the late 1990s. It was its life cycle, the project might have passed through three or more different consultants. From the NJDOT end, this pro- the result of numerous NJDOT units coming together to find cess required additional administrative time and effort to ways of streamlining project delivery from its inception. Prior prepare RFPs and select consultants. At the consultant end, to this time, projects had their beginnings in a Regional ramp-up efforts were required when a new consultant was Design Office of the Division of Design and ROW and were selected for the next phase of the project. then transferred to a centralized Environmental group. This To provide better continuity, the new consultant solici- unit would perform environmental screening and implement tation process incorporates language that allows one con- the NEPA process to secure the necessary environmental doc- sultant to take the project from inception to completion, umentation. The project would be transferred once again to from purpose and need definition through to final design the Project Management group for design. A final transfer and construction services. It permits a contract to be mod- would occur when the project was let and entered the final ified such that the same consultant may remain assigned to phase, construction. However, in the initial attempts at accel- the project through multiple phases, at the request of the eration, depending upon the complications and challenges department, without needing to undergo additional con- of a project at any point in the cycle, the project had the sultant selections. Therefore, the DPD has the ability to se- tendency to slow in momentum because of scope changes, lect a consultant from a group of qualified consultants and to be reprioritized due to funding, to be "thrown" back into subsequent divisions can allow that consultant to perform DPD possibly due to fatal flaws or insufficient assessments, all aspects of a project. The intent is that one consultant can or simply to be halted due to stakeholder opposition. All of provide continuity from beginning to end, reducing admin- these factors contributed to increased budgets, hours of re- istrative time in responding to preparing proposal documents work, and delayed project delivery. Management wanted to and allowing for seamless continuity through project phases. eliminate those pitfalls and provide a fluid process whereby Another key element of maintaining one consultant through projects could consistently follow a path to completion. the life of the project is that it allows for a better knowledge Through years of refining their existing processes, the four management system. In other words, critical information and pipelines were created and redefined to provide a clear path to knowledge that is acquired as a project gains momentum is plan, develop, design, and construct transportation projects less likely to be lost if the same team of individuals is involved from the time that an issue is simply a problem statement. from beginning to end. These pipelines are now a fundamental way for projects to follow a defined process, build on the basic information and data, and gain momentum as they pass through the multiple Best Practice for New Jersey: phases of concept development, feasibility assessment, design, Pipelines to Project Delivery and finally to construction and completion. Propelling a project forward through critical milestones and a multitude of activities is possible if the right components are Capital Projects Procedures in place throughout the life of the project. Pipelines to proj- ect delivery have helped NJDOT achieve just that. "Pipelines" The pipelines are a part of a larger set of Capital Projects are customized paths that facilitate and ensure that all the ele- Procedures (CPP). The CPP serve as a guide that allows ments required for project delivery are addressed from the NJDOT staff and design consultants to follow a consistent set onset of purpose and need assessment through construction. of steps to produce the best product--a safe, efficient trans- There are four different pipelines, each representing a differ- portation system. Given that the execution of projects requires ent level of project complexity and common characteristics. practical engineering judgment, the CPP is flexible enough Pipeline 1 is the most complex pipeline; projects in this pipe- to allow for changes. Both NJDOT staff and consultants line require a purpose and need, environmental documenta- have some authority to seek changes that eliminate waste- tion, a full feasibility assessment, and preliminary and final ful steps, reduce cost, or even add steps without an undue design. Pipeline 2 projects are those that qualify for a Cate- increase in time, as long as legal issues and regulations are gorical Exclusion, with less intensive purpose and need and met. (73) Inasmuch as the guide provides an organized flow feasibility assessment work. Pipeline 3 projects require min- of activities that move projects forward, it allows all partici- imal or no work on ROW issues and are relatively simple in pants working on a project to have the same understanding scope. Last, Pipeline 4 projects are the least complicated and and expectations of how the project will advance step by step. are usually delivered by in-house maintenance and opera- NJDOT broadly defines five critical phases of a project: tions staff. screening, purpose and need (PN), feasibility assessment (FA),

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64 design, and construction. Projects that are simple, that require Assessment of any additional needs that may have been little or no ROW acquisition, which have minimal potential uncovered and a determination of whether those needs for community concern, and those that are eligible for pro- should be addressed at the current time or suspended for grammatic approvals can bypass the PN and FA phases. These future action, or to spin them off as separate problem types of projects are typically limited in scope so they can pro- statements ceed directly into design and construction. Other projects are Identification of project limits screened and entered into an appropriate pipeline for devel- Field visit findings opment and execution. NJDOT staff coordination Results of environmental screenings--the Bureau of Envi- ronmental Project Support is requested to review the poten- Front End of Pipelines tial project scope. It determines whether its involvement is Before a project enters a pipeline, some front-end prelim- necessary based on issues regarding hazardous waste, air and inary work has to be performed to analyze the problem state- noise, and other environmental impacts. ment and assign the appropriate pipeline. The Capital Pro- Public involvement concerns gramming and Funds Management unit receives problem Context-sensitive solutions issues/opportunities statements and evaluates them using a two-tiered screening process. Overall, problem statements are evaluated based upon Recommendations resulting from the Tier 1 and Tier 2 the Capital Investment Strategy, funding constraints, and other screenings define the priority for advancement of the project, factors that may be influential to the problem statement. limits of the project scope, pipeline path, and anticipated NEPA classification. Pipeline 1 and 2 projects typically require Tier 1 Screening. The Tier 1 screening uses information purpose and need as well as feasibility assessment. Results and available and collected by the Management Systems Com- recommendations provided by the Bureau of Environmental mittees as well as information generated by other sources. Project Support and the Office of Community Relations play Taken together, the coordination and analysis conducted by a significant role in determining the pipeline assignment. (73) the Capital Investment Strategy process along with the man- Tier 2 screenings are more involved than Tier 1 screenings agement systems information serve to inform the selection and suggest the quickest, most streamlined path that a proj- of an appropriate pipeline for the problem statement. If a ect could follow to bring it to construction. This suggestion problem statement is targeted for Pipeline 1 or 2, it will also could result in additional sub-projects that may potentially undergo a Tier 2 screening. Problem statements that have follow different pipelines. After a Tier 2 screening is com- the potential to advance through Pipeline 3 or 4 are reviewed pleted, the project may follow either Pipeline 1, 2, 3, or 4 or it to ensure that a Tier 2 screening is not required. may be withdrawn completely from NJDOT responsibility Tier 2 Screening. A Tier 2 screening is conducted by the and reassigned to local, MPO, or toll road authority; recycled DPD. Such screening identifies and assesses any other needs into the project pool for reassignment in later years; or termi- within the project limits. Because Tier 2 screenings are more nated altogether. A Tier 2 screening does not ensure that a detailed and involved, a technical assessment in the field may project will be advanced. be required, additional in-house subject matter experts may be enlisted for their expertise and opinion, and community Management Systems Input officials may be contacted to obtain a better understanding of the problem statement. "A prioritized, hierarchical recom- Both Tier and 1 and Tier 2 reports look to internal data mendation is made that identifies the quickest, most stream- repositories to collect information on congestion, pavement lined path that a proposal could reasonably follow after com- condition, safety, drainage issues, maintenance, and rock fall pilation and assessment of the needs, and will sort the [problem hazards. Management systems that are continually maintained statement] into the appropriate project pipeline." (73) and updated for certain conditions on transportation facili- Tier 2 screening reports are short-term studies performed ties across New Jersey are listed below (73): on potential project locations that help the Capital Program Committee make decisions on a series of issues regarding Congestion Management System the potential project. Decisions regarding the selection of the Pavement Management System appropriate pipeline revolve around the following issues: Bridge Management System Safety Management System Identification of any other needs in the project vicinity, Drainage Management System which may not have been addressed in the original problem Maintenance Management System statement Rock Fall Hazard Rating System Underground Strata

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65 These databases provide relevant information on which tal concerns must account for those activities that address some preliminary decisions can be based. For instance, a the environmental documentation and permitting aspects of problem statement regarding the improvement of an inter- the project. The pipeline it is assigned to must address those section is evaluated for the level of congestion, safety issues, activities in a logical, sequential manner so that all key tasks pavement conditions, drainage concerns, and other factors are identified and performed. A simpler resurfacing project that the intersection has. These factors are weighed against would not require the multitude of activities inherent in a and among the factors of other problem statements. This bridge construction project, and thus could be simplified to comparison allows the severity of the problem statement to include only those tasks required for a less complex project. be ranked. An intersection may rank high for level of conges- For this reason, multiple pipelines were established to allow tion but have little or no adverse pavement conditions. Other the simpler projects to bypass the elaborate, complex process problem statements may concern potential projects with seri- required by larger projects. Figure 16 shows the process flow ous safety threats as well as poor drainage conditions. Ranking diagram of the project delivery process. the problem statements on a system-wide basis using a con- The pipelines offer a template of activities that can be further sistent set of parameters identifies which problem statements customized to fit the needs of each project. No two projects are most in need of attention. are the same, so they are not handled with a "cookie cutter" approach. The pipelines provide a dual advantage: they offer Capital Program Committee--"A Good Layer project managers the flexibility to be selective in the tasks that of Bureaucracy" are performed for each project, while providing a controlled guideline of activities to follow for project delivery. While the The Capital Program Committee (CPC) stands as an inter- key elements of a pipeline remain the same, minor tasks can mediary or a last step for projects selected for advancement be modified to allow a project to move at a quicker pace. For to a pipeline. This committee provides a "check and balance" example, a Pipeline 2 template may outline up to three brief- to ensure that the projects selected for advancement by the ings of community officials as a general rule, but a project Capital Program Screening Committee include the right proj- manager may feel that only two are required to resolve the is- ect scope and enter the right pipeline. Without CPC approval, sues concerning the community. Simply removing the third a project cannot proceed to any of the four pipelines. Even community officials briefing from the schedule could accel- "anticipated NEPA classifications" are contingent upon CPC's erate the project by up to three months. Such small adjust- approval. (73) ments to and fine tuning of the pipeline tasks by the project The DPD seeks approval from the Capital Program Screen- managers and consultants allow for more expedient project ing Committee. Management approval is important regard- delivery. Conversely, FHWA review and other agency-related less of the pipeline or path that is selected for a project. This tasks may be less easy to adjust and project managers must approval aids the DPD and project manager in securing the work within the framework of their standard time frames. support units that help to expedite project delivery. The four pipelines that NJDOT has established are discussed Beyond the task of approving projects to enter pipelines, in the following paragraphs. the CPC is also responsible for decisions related to ongoing projects. Existing projects that require formal changes in Pipeline 1: Full Purpose and Need/Feasibility Assessment/ scope (increase or decrease) and allocation of additional funds Preliminary Design/Final Design Pipeline Process. This is are reviewed by the CPC. As such, according to one manager the most complex pipeline. Projects in this pipeline require at NJDOT, the CPC provides "a good layer of bureaucracy" to extensive purpose and need definition followed by a feasi- ensure that funds are spent wisely, using "the right treatment, bility assessment. Additionally, Pipeline 1 projects are likely at the right time, at the right place, and at the right cost." This to involve the preparation of an Environmental Impact State- approach allows the NJDOT to appropriately use available ment or at the very least an Environmental Assessment as funds, taking into consideration timing, treatment selection, opposed to a Categorical Exclusion Document. At the con- and priority locations. clusion of the feasibility assessment and environmental documentation, the project advances to the DPM where it Propelling through the Pipelines continues through the pipeline with activities related to preliminary and final design. (73) Pipelines are customized to differentiate one pipeline from another. Projects are accelerated through pipelines because Pipeline 2. This pipeline includes projects that are classi- they offer a direct, precise set of tasks and activities based on fied as Categorical Exclusions under NEPA. Through a screen- the complexity and characteristics of a project. For instance, ing process, these projects do not require extensive PN or FA a complex bridge construction project that has environmen- work. PN efforts include only a fatal flaw analysis and sufficient

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New Jersey Department of Transportation Capital Project Delivery Process Project Sources Project Screening Purpose And Feasibility Preliminary Final Need Assessment Design Design Construction Tasks NJDOT Capital Then, the Division of Development Program Tier 1 Options Project Development Design Approved Produce final utility, Advertise for Bids Planning Studies (DPD) conducts a Tier 2 Collect data Complete and evaluate a Project Plan construction plans and Screening to propose the range of alternatives specifications NJDOT Management Assign to pipeline quickest path to project Assess Impacts and Develop Right-of-Way systems Perform Tier 2 delivery and the costs Plans Award Project Problem Statements Screening appropriate pipleline Evaluate Deficiencies Complete environmental Acquire right-of-way MPO Assign to outside documentation Obtain access permits Coordinate with Agency Coordinate with stakeholders and NJDOT Conclude access Obtain environmental Build Project Terminate stakeholders and Core Group process permits NJDOT Core Group Initiate Utility Process Public Identify fatal flaws Continue Utility Complete Utility Process Process Obtain Public input Keep public involved Keep public involved Keep public informed Obtain public input Gain community Projects are first Gain Community Maintain community Maintain communtiy Maintain community consensus evaluated by the consensus support support support Division of Capital Final construction Purpose and Need Approved Project Plan Programs and Initial plans and specs plans, specifications Statement and Approved environmental Project Completed Funds Tier 2 Conceptual Solutions document and final scope Environmental Permits and estimates Product Environmental Permits Management to Options determine the appropriate CPM project delivery Complete Tier 2 DPD DPD CPM CPM Operations process Screening assignment Place in future study and development program Assign to: Preliminary Final Construction Pipeline Design Design 1 Purpose and Feasibility Pipeline Need Assessment May include some 2 Preliminary Final Purpose and Need and Feasibility Assessment Design Construction Design Pipeline 3 Purpose and Feasibility Final May include some Preliminary Need Assessment Construction Design to support Design environmental document Pipeline Process Pipeline 4 May include Final Design Maintenance As a project develops, NJDOT will Terminate Contract look for opportunities to advance or accelerate it to the next stage of the Project Delivery Process Source: New Jersey Department of Transportation, http://www.state.nj.us/transportation/capital/pd/pdf/CPDProcess.pdf Figure 16. Flow diagram of the NJDOT project delivery process.

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67 engineering work to establish a scope for preliminary design. is required for Pipeline 4 projects and usually is performed The PN statement also includes an analysis of ROW and util- by in-house forces. Projects in Pipeline 4 may include the ity involvement. Examples of projects that enter Pipeline 2 following (73): typically include, but are not limited to, the following: Resurfacing projects In-kind bridge replacements Traffic signal projects (timing and rehabilitation) Bridge rehabilitations Traffic striping Simple intersection improvements Drainage projects Preliminary and Final Design Roadway resurfacings Safety upgrades At the tail end of PN and FA, a milestone is reached from Operational improvements the perspective of project delivery. The PN and FA phases of the project are considered complete when environmental Pipeline 2 projects typically require ROW acquisitions in documents have been approved and reasonable assurance for fee or easement. They may also include projects that require design exception documents has been obtained. Only then do a Section 106/Section 4(f) Alternatives Analysis (AA). For projects enter the final design phase and are officially trans- example, projects that involve replacing historic bridges and ferred to the DPM. Although this transition introduces a new other projects that have Programmatic 4(f) impacts usually team experienced in design and other technical details, the enter this pipeline. The AA work on these projects may continuity of the project is provided by the pipeline. In other be detailed but normally follows a very predictable scope of words, the pipeline also includes all activities related to final alternatives. (73) design. The physical transfer of the project from one unit to another does not hinder the project's delivery because the Pipeline 3. This pipeline includes projects that have min- predetermined pipeline remains the same. imal or no ROW concerns. They often meet the criteria for a Another measure of continuity is provided though the Certified Categorical Exclusion. Pipeline 3 projects must also project manager. As soon as a project is initiated (while it is have a finding of "No Effect" on any Section 106 resources. in the DPD), a project manager from the DPM is assigned Examples of Pipeline 3 projects include, but are not limited to the project. This project manager assists with issues in to, the following (73): the project that may become design and constructability concerns when the project advances to the preliminary design In-kind bridge superstructure replacements (non-historic phase. Because the project manager is aware of the details of bridges only), the project through its preliminary stages and has assisted Bridge deck replacements with certain decisions, he or she is able to mitigate risks more Bridge deck patching and minor rehabilitation effectively when the project hits "speed bumps." This project Roadway rehabilitation within existing right-of-way manager is the one individual who guides the project from Intersection improvements without right-of-way or major concept to completion. utilities Drainage projects without right-of-way or major utilities Construction Roadway rehabilitation projects without right-of-way or major utilities The pipeline process carries a project into construction Roadway resurfacing projects once the project's contract documents, including plans, speci- Safety upgrade projects fications, and estimates for construction, are completed. Again, Guiderail projects continuity is provided through the pipeline even though a con- Noise barrier projects without right-of-way or major utilities struction team takes the lead for the construction of the trans- Operational improvements without right-of-way or major portation facility. The project manager remains on the project utilities. and works closely with the resident engineer in the field until the project is constructed. Most projects in Pipeline 3 can be designed by NJDOT in-house staff. Tools Pipeline 4. This is the simplest pipeline of the four. Proj- To track a program and the numerous projects that com- ects entering this pipeline are assigned directly to the Opera- pose its surface transportation aspects, a sophisticated soft- tions area for implementation. Minimal plan development ware is used that can monitor the minute details of every

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68 project in the pipeline as well as provide summary overviews asset management plan will provide "a foundation for strate- of an entire system of projects. NJDOT uses scheduling soft- gic, tactical, and operational decision making relative to ware called Primavera to track, monitor, schedule, and deliver [NJDOT's] financial and human resources" so that NJDOT its projects both in the DPD and in the Capital Program Man- can use a more systematic approach to managing its assets. To agement area. Regardless of pipeline, all projects--from their move from a "worst-first" crisis response funding approach inception with purpose and need definition--actually follow to a system-wide assessment and system conditiondriven a Primavera schedule all the way through to final design. But approach to investment will be a big step for New Jersey. (74) when a project moves into construction, a new schedule is cre- ated. The construction schedule is distinct from the previous Approach schedule that depicted all the activities of purpose and need, feasibility assessment, preliminary design, and final design. The project prioritization and selection process is a four- Consultants working on NJDOT projects provide monthly step approach starting with asset management, moving to updates for projects. Updates are entered into a master sched- capital investment strategy, then project prioritization, and ule that then provides an outlook for a group of projects or finally the capital program. Asset Management involves poli- all projects that are in the system. As a whole, projects can be cies, programming, program delivery, and information and compared and forecasts can be developed for future activities, analysis. The use of performance measures and good data delays, constraints, and the potential for acceleration. will help to drive and support the decision making. As such, Different Primavera schedules exist for the four pipelines so performance measures and performance analysis will help in that unnecessary activities do not lengthen or delay a realistic determining how well various alternative investment scenar- deliverable schedule. ios perform over time. Program trade-offs can be identified and the right mix of projects can be advanced to the pipelines for delivery. Back End of Pipelines The capital investment strategy allocates average annual The end of the Pipeline 1, 2, and 3 processes is when the funding targets for general categories of investments (struc- FHWA Agreement Closing and Suspense Analysis occur. A tural assets, road assets, safety, congestion, multimodal invest- final audit is performed by an NJDOT auditor to ensure that ments and support facilities) over the next 10 years. the facilities built are acceptable. For Pipeline 4 projects, The third step, project prioritization, is where all the detail which are typically constructed in the field with minimal or work begins once the capital investment targets are set. Exist- no construction documents, the back end of the pipeline con- ing project delivery schedules and cost estimates are evalu- sists of a final product constructed in the field, whether it be ated. Existing conditions are assessed and projections are an operational improvement or basic roadway striping. made in terms of where New Jersey wants to be in 10 years from an infrastructure perspective. New Jersey is currently in the process of setting these goals. For certain systems, such as Lessons Learned pavement and bridge management, benchmarks exist and NJDOT maintains a list of lessons learned. There is a for- potential goals are set for the future. In other categories, such mal process in place for NJDOT staff to gather, review, and as safety and congestion, benchmarks are difficult to assess; maintain the existing database of lessons learned. The Pro- ergo, the future goals and system-level outcomes are also dif- gram Management Office maintains this database and solic- ficult to define. An important part of this step is the involve- its lessons learned in order to populate and constantly update ment of the New Jersey's three MPOs. NJDOT and each MPO the database. These approaches often lead to process improve- office negotiate project priorities and other constraints. ments, revised standards, and policy revisions. The last step is the formalization of a capital program and a 10-year capital plan. The capital program is a one-year pro- gram and part of the overall state budget process. It requires Asset Management legislative approval for the state to use the funds on the out- Transportation funding has rarely kept up with transporta- lined projects and programs. The 10-year capital plan requires tion needs. New Jersey's annual capital budget is about $1.8 bil- MPO and FHWA approval, which include requirements for lion, but it is estimated that approximately $3.5 billion is a four-year constrained capital. needed for the state highway system. To prioritize the right projects and spend the federal and state funds more wisely, Asset Management Steering Committee New Jersey is moving toward an asset management approach. This approach will take into consideration the entire trans- Because asset management uses a performance-based pro- portation system and evaluate it on a system-wide basis. An gramming approach, the Asset Management Steering Com-