Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Projects (2016) / Chapter Skim
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Implementation Guidelines P a r t 2
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27 After the agency has identified the PSP's activities for the project, the agency should refer to the implementation guidelines presented in Part 2 to understand and perform the project scoping process activities. The selected activities should be performed in the same order as they appear on the identified path.
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28 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Restrictions: Describes the controls or conditions required to produce the desired outcomes. Tools and resources: Describes the mechanisms or means to perform a Level 4 activity.
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29 The PSP starts with Develop Project (A1) (Figure A1)
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30 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • A13: Solicit inputs from public -- Every project has to consider some level of public involvement. The agency must inform the public of issues associated with the project and measure public opinions about the development process.
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A1 Develop Project 31 The project manager or other person responsible for overseeing the project's development through planning and design should develop the PSP team. The PSP team is the core team performing all the activities of the PSP.
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32 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • Project characteristics -- including: – A description of the type of project (e.g., preservation versus rehabilitation)
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A1 Develop Project 33 The three actions performed in this activity (Figure A112) are: • Identify key internal participants -- internal participant should include personnel from all key disciplines (design, environmental, ROW, utilities, construction, etc.)
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34 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Outcomes of This Action • Identified participants and external stakeholders -- key project team members including utilities, community interest groups, and municipal planning organizations. A113 Prepare Organizational Chart To align individual team members' goals with the project and the organizational goals, it is critical to finalize the roles and responsibilities of each team member.
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A1 Develop Project 35 Outcomes of This Action • Organizational chart with roles and responsibilities -- at the end of this activity, the PSP team members should have a clear idea about their roles and expectations. The same should also be reflected in the organizational chart.
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36 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets this activity is to identify the feasible investigations to obtain these critical inputs and to resolve any discrepancies between the available and observed parameters. • A124: Reconfirm context–sensitive issues -- The objective of this activity is to reconfirm project context–sensitive issues considered during the site visit and verify all site-related information.
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A1 Develop Project 37 • Project purpose and need statement -- factual and objective data and information on the statement of the current conditions and why the project is being pursued. • Project definition -- including typical project requirements, such as: – Project parameters (project boundaries such as length and width)
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38 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets investigations to address environmental issues, etc. to generate an adequate level of inputs for performing the PSP.
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A1 Develop Project 39 investigation may be necessary. The objective of this activity is to identify the feasible investigations to obtain these critical inputs and to resolve any discrepancies between the available and observed parameters.
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40 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets The two actions performed in this activity (Figure A124) are: • Review sensitive issues -- the PSP team should review all the sensitive issues covering design, environmental, ROW, utilities, public involvement, etc.
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A1 Develop Project 41 Every project has to consider some level of public involvement. The agency must inform the public of issues associated with the project and measure public opinions about the development process.
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42 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Tools and Resources • Public outreach, notification, and education -- meetings, mailings, education of the public and local officials, and identification of stakeholders using public involvement coordinators, planners, engineers, MPO and state department of transportation (DOT) staff, and public leaders.
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A1 Develop Project 43 Tools and Resources • Public outreach, notification, and education -- meetings, mailings, education of public and local officials, and identification of stakeholders using public involvement coordinators, planners, engineers, MPO and state DOT staff, and public leaders. • PSP team -- relevant team members as identified at the end of activity A113.
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44 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets further updating. The objective of this activity is to update the project characteristics based on knowledge/information acquired during the site visit and public input on the project.
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A1 Develop Project 45 Outcomes of This Action • Future expansion and alternatives consideration -- at the end of this activity, the PSP team should have a clear idea of what efforts need to be made to expand the alternatives for further assessment and what kind of information is needed from the stakeholders and the public. A142 Refine Project Purpose and Need Document The objective of this activity is to refine the project purpose and need document to a significant level and to serve as the basis for identifying, comparing, and selecting the best alternative.
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46 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Restrictions • Project development process manual -- procedure document that provides general information about the project development process for project teams, site visits, public inputs, conceptual definition, cost estimating, and reporting. • Budget and time for scoping -- cost and schedule restraints for developing scoping documents.
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A1 Develop Project 47 • Social, environmental, and economic factors -- including current and future economic development needs; geographic, political, and political restraints; environmental drivers; safety improvement needs; existing infrastructure conditions; and suggestions of needs from operations and maintenance, planners, local elected officials, and the public. • Physical parameters -- including verified and developed project parameters.
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48 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • A152: Prepare base conceptual cost estimate -- The objective of this activity is to prepare the most likely conceptual cost estimate based on what is known, without including contingency dollars to cover estimate uncertainty or risks. An estimate of contingency is covered in the next activity (A153)
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A1 Develop Project 49 a plan will be made for how the estimate will be prepared, what other input will be required, and what deadlines should be set. • Determine an alternative to the estimate -- identify which alternative solution developed for the project in previous steps should be estimated first.
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50 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Outcomes of This Action • Location characteristics -- comprehensive collection of all information about the project site and location including urban versus rural type, labor wage rates, potential environmental conditions that must be mitigated, ROW requirements, utility relocations requirements, and detour and haul route requirements. • Updated project definition -- comprehensive collection of all information and data including scoping worksheets, schematics or other preliminary drawings, design criteria, and other specific project requirements organized in a systematic manner for easy review.
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A1 Develop Project 51 • Historical data -- cost data from previous projects used as a basis for pricing different components of the total project cost. • Functional group input -- cost estimates provided by different functional groups (e.g., traffic operations)
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52 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • Determine the level of risk analysis -- categorize the project as minor, moderately complex, or major with respect to its complexity using estimate basis. If this is not the first estimate for the project, then the conceptual cost estimate must be reconciled against the previous estimate.
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A1 Develop Project 53 • Cost-estimating spreadsheet -- spreadsheet that includes scope items, quantities, unit costs, and cost extensions. • Risk analyst -- the member of the PSP team and/or an external consultant who creates a stochastic model of cost and schedule in complex projects.
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54 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Data Requirements and Information Needed to Initiate the Activity • Preliminary base estimate with contingencies -- including: – Total project cost expressed as a range. – Supporting documentation related to the estimate basis, assumptions, and backup calculations.
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A1 Develop Project 55 A155 Approve Conceptual Cost Estimate The objective of this activity is to approve the final conceptual estimate package before the estimate is released to both internal and external project stakeholders. The two actions performed in this activity (Figure A155)
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56 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets A16 Summarize Key Project Characteristics Develop Project A1 Select PSP Team A11 Solicit Input from Public A13 Refine Project Concept A14 Prepare Conceptual Cost Estimate A15 Conduct Site Visit A12 Summarize Key Project Characteristics A16 Figure A16. The sixth step in developing the project is summarizing key project characteristics.
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A1 Develop Project 57 Restrictions • Project development process manual -- procedure document that provides general information about the project development process for project teams, site visits, public inputs, conceptual definition, cost estimating, and reporting. • Budget and time for scoping -- cost and schedule restraints for developing scoping documents.
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58 The objective of the second activity (A2) (Figure A2)
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A2 Analyze Alternatives and Document Findings 59 activity schedules and conducts district-level and division-level coordination meetings with utility owners. • A23: Survey existing environmental conditions -- This activity includes identifying environmental issues and determining the appropriate environmental document/project classification based on the type of project (e.g., road widening, bridge, or shoulder improvements)
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60 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets The level of design effort, traffic management, and public involvement will vary as well depending on the project type and its characteristics including location. Adjustments to the PSP in these activity areas might require reduction in the estimated level of effort to complete these activities.
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A2 Analyze Alternatives and Document Findings 61 A211 Gather ROW Maps The objective of this activity is to gather and compile existing ROW maps as well as information about existing real property interests and restrictions that exist at the agency along the proposed project of interest. Subsequent activities involve searches at external entities (e.g., the city, county, or appraisal district office)
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62 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets A212 Gather Information about Real Property Interests and Restrictions The objective of this activity is to gather and compile available records about existing real property interests and restrictions that exist along the proposed project of interest from external entities such as the tax assessor's office, the county appraisal district, or a similar office. The five actions performed in this activity (Figure A212)
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A2 Analyze Alternatives and Document Findings 63 A213 Assemble Real Property Research Results The objective of this activity is to assemble and consolidate information about existing real property interests and restrictions along the proposed project. This includes information that already exists at the agency, along with information received from external entities such as the tax assessor's office, the county appraisal district, or a similar office.
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64 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets increased project costs. This activity schedules and conducts district-level and division-level coordination meetings with utility owners.
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A2 Analyze Alternatives and Document Findings 65 Conduct Preliminary Utility Conflict Analysis A22 Gather Information from Utility Owners A221 Gather Information through One Call A222 Conduct Initial Assessment of Utility Impacts A223 Figure A221. The first step in conducting the preliminary utility conflict analysis is gathering information from utility owners.
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66 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets or more overlays may be necessary depending on the number of alternative alignments under consideration. • Gather project information -- compile relevant project information that might have bearing on the identification of utility facilities that may be in conflict with the project.
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A2 Analyze Alternatives and Document Findings 67 impacts. The outcome of this activity is an early assessment of utility facilities that potentially need to be adjusted or a determination that additional information is needed.
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68 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets summary of the results of analysis and coordination with resource agencies, as well as information about the social, economic, and environmental impacts of a project. The three major activities performed to survey existing environmental conditions (Fig- ure A23)
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A2 Analyze Alternatives and Document Findings 69 assessment also identifies the anticipated type of NEPA document to be prepared (CE, EA, or EIS) , permitting requirements, and potential environmental commitments, and results in the equivalent of an environmental scoping document.
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70 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • List of critical (fatal flaw) environmental impacts and sensitive receptors -- project impacts that are likely to directly impact the natural, physical, biological, human, social, and community resources to a significant degree or that require avoidance or mitigation.
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A2 Analyze Alternatives and Document Findings 71 • Planners -- the staff responsible for funding and plan consistency. • Engineers -- the design staff responsible for project limits, ROW, footprint, and potential construction impacts.
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72 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Order 12898; Section 4(f) of USDOT; the Clean Air Act; the Clean Water Act; the Farmland Protection Policy Act; the National Historic Preservation Act; economic, social, and environmental effects; public hearing requirements; the Archaeological and Historic Preservation Act; Executive Order 11990; Executive Order 11988; the Endangered Species Act; and various state requirements related to environmental protection.
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A2 Analyze Alternatives and Document Findings 73 A241 Determine Schematic Layout The objective of this activity is to determine the format and layout of the schematic designs in order to best tailor them to the intended audience. The three actions performed in this activity (Figure A241)
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74 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • Preliminary assessment of impacts -- early assessment of utility facilities that potentially need to be adjusted or a determination that additional information is needed. • Environmental Requirements -- a record of environmental permits, commitments, and actions that were identified during the assessment process such as resource agency concurrence and approvals.
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A2 Analyze Alternatives and Document Findings 75 Develop Preliminary Schematics A24 Determine Schematic Layout A241 Align Horizontal & Vertical Elements A242 Develop CrossSectional Elements A243 Determine Access Limits during Construction and Operation A244 Figure A242. The second step in developing the preliminary schematics is aligning horizontal and vertical elements.
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76 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets A243 Develop Cross-Sectional Elements The objective of this activity is to develop the cross-sectional elements, which will affect the width of the proposed ROW and utility relocation requirements. There are two actions in this activity (Figure A243)
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A2 Analyze Alternatives and Document Findings 77 • Design engineer -- the design expert within the agency or a consultant. • Project manager -- the staff member who manages the project, assigned during activity A15.
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78 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • 2D/CD CAD/civil integrated model -- existing design and as-built files of previous projects either within or adjacent to the project boundaries. • Design engineer -- the design expert within the agency or a consultant.
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A2 Analyze Alternatives and Document Findings 79 • A252: Notify affected populations, properties, and communities and receive input -- The objective of this activity is to notify stakeholders, populations, affected owners, and communities that may be directly affected by the proposed project. • A253: Prepare draft mitigation plan -- If needed and impacts from the proposed project are anticipated, the objective of this activity is to finalize a mitigation plan to address impacts to stakeholders, populations, affected owners, and communities that are directly affected by the proposed project.
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80 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • FHWA public involvement techniques for transportation decision making -- http://www. fhwa.dot.gov/planning/public_involvement/publications/techniques/.
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A2 Analyze Alternatives and Document Findings 81 A253 Prepare Draft Mitigation Plan If needed and impacts from the proposed project are anticipated, the objective of this activity is to finalize a mitigation plan to address impacts to stakeholders, populations, affected owners, and communities that are directly affected by the proposed project. Mitigation should follow the following sequence: avoid, minimize, repair/rehabilitate/restore, reduce, and compensate.
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82 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets A26 Develop Conceptual TMP Conduct Real Property Research A21 Survey Existing Environmental Conditions A23 Develop Preliminary Schematics A24 Solicit Input from Public Stakeholders A25 Conduct Preliminary Utility Conflict Analysis A22 Develop Conceptual TMP A26 Prepare Preliminary Scoping Estimate A27 Select Recommended Project Alternative A28 Determine TMP Components to Be Analyzed A261 Develop TMP Datasheet A262 Conduct TMP Studies for the Alternatives A263 Perform TMP Cost Estimate A264 Select Recommended TMP for Each Alternative A265 Analyze Alternatives and Document Findings A2 Figure A26. The sixth step in analyzing alternatives and documenting findings is developing the conceptual TMP.
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A2 Analyze Alternatives and Document Findings 83 • A265: Select recommended TMP for each alternative -- The objective of this activity is to further evaluate the analyzed TMP alternatives, geared to selecting the most appropriate alternative. Cooperation among all involved in the conceptual TMP development process becomes crucial at this stage to develop the most economical and realistic TMP strategies that blend design, construction, and work zone management.
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84 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Tools and Resources • TMP team -- cross-functional TMP team members based on the project's proposed TMP type and anticipated traffic impacts. In general, the divisions of design, project management, construction, and TO are involved.
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A2 Analyze Alternatives and Document Findings 85 • Integrated TMP analysis tool -- like the FHWA-endorsed CA4PRS, decision support tools can help STAs develop sounder, more feasible TMP strategies by balancing schedule and cost while minimizing traffic inconvenience incurred by lane closures. Use of macro- and microscopic simulations can enable STAs to conduct a more sophisticated traffic analysis.
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86 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • Integrated TMP analysis tool -- like the FHWA-endorsed CA4PRS, decision support tools can help STAs develop sounder, more feasible TMP strategies by balancing schedule and cost while minimizing traffic inconvenience incurred by lane closures. Use of macro- and microscopic simulations can enable STAs to conduct a more sophisticated traffic analysis.
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A2 Analyze Alternatives and Document Findings 87 • Integrated TMP analysis tool -- like the FHWA-endorsed CA4PRS, decision support tools can help STAs develop sounder, more feasible TMP strategies by balancing schedule and cost while minimizing traffic inconvenience incurred by lane closures. Use of macro- and microscopic simulations can enable STAs to conduct a more sophisticated traffic analysis.
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88 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Tools and Resources • TMP team -- cross-functional TMP team members based on the project's proposed TMP type and anticipated traffic impacts. In general, the divisions of design, project management, construction, and TO are involved.
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A2 Analyze Alternatives and Document Findings 89 • A272: Prepare base estimate for alternatives -- The objective of this activity is to prepare the most likely base cost estimate for each alternative based on what is known without including contingency dollars to cover estimate uncertainty or risks. An estimate of contingency for each alternative is covered in the next activity (A273)
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90 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Management for Highway Projects during Planning, Programming, and Preconstruction [http:// onlinepubs.trb.org/onlinepubs/nchrp/nchrp_rpt_574.pdf] , and NCHRP Report 625: Procedures Guide for Right-of-Way Cost Estimation and Cost Management [http://onlinepubs.trb.
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A2 Analyze Alternatives and Document Findings 91 Prepare Preliminary Scoping Estimate A27 Determine Estimate Basis for Alternatives A271 Prepare Base Estimate for Alternatives A272 Determine Risks and Set Contingency for Alternatives A273 Review Estimate for Alternatives A274 Approve Estimate for Alternatives A275 Figure A272. The second step in preparing the preliminary scoping estimate is preparing the base estimate for alternatives.
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92 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets The six actions performed in this activity (Figure A273) are: • Review risk information -- for each alternative the estimating assumptions made by the estimator and the project definition assumptions made by other PSP team members.
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A2 Analyze Alternatives and Document Findings 93 Tools and Resources • Cost estimators -- the PSP team members responsible for compiling all components of the cost estimate and preparing portions of the cost estimate. • Cost-estimating program -- PC-based or web-based cost estimation system that automates estimation data gathering, provides the ability to manage large datasets, and supports estimation via cost-based and historical techniques, while permitting ad hoc data entry if historical data are not present.
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94 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Restrictions • Cost-estimating procedures -- guidance on the approach to preparing the cost estimate including activities to be performed and tools available for estimating (AASHTO Practical Guide to Cost Estimating and NCHRP Report 574: Guidance for Cost Estimation and Management for Highway Projects during Planning, Programming, and Preconstruction [http://online pubs.trb.org/onlinepubs/nchrp/nchrp_rpt_574.pdf] , and NCHRP Report 625: Procedures Guide for Right-of-Way Cost Estimation and Cost Management [http://onlinepubs.trb.org/ onlinepubs/nchrp/nchrp_rpt_625-2.pdf]
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A2 Analyze Alternatives and Document Findings 95 Prepare Preliminary Scoping Estimate A27 Determine Estimate Basis for Alternatives A271 Prepare Base Estimate for Alternatives A272 Determine Risks and Set Contingency for Alternatives A273 Review Estimate for Alternatives A274 Approve Estimate for Alternatives A275 Figure A275. The fifth step in preparing the preliminary scoping estimate is approving the estimate for alternatives.
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96 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets A281 Summarize Alternative Analyses The objective of this activity is to gather all information from the analysis performed for the identified alternatives so that a feasible preferred alternative can be identified. The two actions performed in this activity (Figure A281)
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A2 Analyze Alternatives and Document Findings 97 Restrictions • Project development process manual -- procedure document that provides general information about the project development process for ROW, utility relocation, public inputs, environmental requirements, preliminary design, transportation management plan, preliminary cost estimating, and alternative analysis. • Budget and time for scoping -- cost and schedule restraints for developing scoping documents.
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98 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • Budget and time for scoping -- cost and schedule restraints for developing scoping documents. • Federal and state regulations.
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A2 Analyze Alternatives and Document Findings 99 A284 Evaluate Project Definition Completeness The objective of this activity is to evaluate project definition completeness by using the appropriate tool to identify areas needing further scoping. The three actions performed in this activity (Figure A284)
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100 The objective of the last activity (A3) (Figure A3)
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A3 Develop Recommended Alternative 101 TMPs and detour availability, environmental conservation programs, and selection of materials for design and construction)
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102 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets what the objectives and purposes of the project are, and what alternatives were considered. Environmental, ROW, and utility impact reviews are an important part of the project scoping report.
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A3 Develop Recommended Alternative 103 Preliminary drawings should include basic information necessary for the proper review and evaluation of the proposed improvement. Developing preliminary drawings should take into account design considerations (e.g., design life, safety, aesthetics, compatibility with long-range transportation goals, environmental sustainability, access management, and community image)
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104 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Tools and Resources • Project manager and the PSP team -- responsible for collecting information on agency approval requirements. • Agency -- involved in this activity.
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A3 Develop Recommended Alternative 105 Outcomes of This Action • List of required deliverables. A313 Identify Computing CAD/Model Requirements The objective of this activity is to find out what available computerized design platform (2D CAD, 3D CAD, etc.)
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106 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Outcomes of This Action • Determination of which computer platform(s) should be used for producing preliminary drawings.
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A3 Develop Recommended Alternative 107 • Modeling technicians -- CAD technicians or BIM technicians to support computerized drawing. • Design platforms -- 2D CAD, 3D CAD, BIM, etc.
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108 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • A322: Survey existing ROW and real property lines -- This activity conducts a survey of existing ROW and real property lines following appropriate survey standards, laws, and regulations. This survey is necessary for developing the ROW map and real property descriptions.
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A3 Develop Recommended Alternative 109 Restrictions • ROW manual -- document that provides guidance on general procedures for the acquisition of real property interests. It might contain information about preliminary engineering-level activities, although not necessarily (typically, ROW manuals describe activities beginning with the development of the ROW map, once the approved alignment has been selected)
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110 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Restrictions • Surveying standards, laws, and regulations -- guidance and requirements on applicable surveying standards and protocols. Tools and Resources • Licensed surveyor -- the person in charge of conducting, overseeing, and certifying all survey work and results.
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A3 Develop Recommended Alternative 111 Tools and Resources • ROW coordinator/agent -- the staff member responsible for the acquisition of real property interests. • Licensed surveyor -- the person in charge of conducting, overseeing, and certifying all survey work and results.
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112 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Outcomes of This Action • Preliminary relocation assistance needs. A33 Engage Public Develop Preliminary Drawings A31 Engage Public A33 Develop Final Environmental Documentation A34 Develop Final TMP A35 Determine Real Property Requirements A32 Identify Stakeholders, Populations, Affected Owners, and Communities A331 Notify Affected Populations, Properties, and Communities and Receive Input A332 Finalize Mitigation Plan A333 Prepare Baseline Cost and Schedule A36 Prepare Scoping Report A37 Develop Recommended Alternative A3 Figure A33.
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A3 Develop Recommended Alternative 113 A331 Identify Stakeholders, Populations, Affected Owners, and Communities The objective of this activity is to identify and document project-specific transportation stakeholders, and communities and populations directly affected by project activities. It refines and provides details started in activity A131.
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114 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Outcomes of This Action • List of identified affected populations and description of types of potential impacts. • Record of key stakeholders, partners, agencies, affected populations, and their inputs.
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A3 Develop Recommended Alternative 115 Outcomes of This Action • Draft mitigation plans. • Record of key stakeholders, partners, agencies, affected populations, and their inputs.
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116 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • FHWA public involvement techniques for transportation decision making -- http://www. fhwa.dot.gov/planning/public_involvement/publications/techniques/.
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A3 Develop Recommended Alternative 117 • A342: Perform administrative completeness review -- The objective of this activity is to review the final draft of the environmental document for completeness and compliance (CE, EA, or EIS)
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118 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Order 12898; Section 4(f) of USDOT; the Clean Air Act; the Clean Water Act; the Farmland Protection Policy Act; the National Historic Preservation Act; economic, social, and environmental effects; public hearing requirements; the Archaeological and Historic Preservation Act; Executive Order 11990; Executive Order 11988; the Endangered Species Act; and various state requirements related to environmental protection.
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A3 Develop Recommended Alternative 119 Tools and Resources • Environmental coordinator -- the staff member responsible for providing coordination between the agency, environmental resource agencies, consultants, and other related stakeholders. • Constructability reviews -- NCHRP Report 391: Constructability Review Process for Transportation Facilities: Workbook.
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120 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Tools and Resources • Environmental coordinator -- the staff member responsible for providing coordination between the agency, environmental resource agencies, consultants, and other related stakeholders. • FHWA environment topics -- http://www.fhwa.dot.gov/environment/.
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A3 Develop Recommended Alternative 121 Outcomes of This Action • Finalized mitigation plan. A345 Draft Final Document and Gather Public Review Input The objective of this activity is to finalize the environmental document, permits, and commitments as required by state and federal laws.
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122 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Outcomes of This Action • Approved environmental document and complete administrative record -- complete and final draft of the environmental document, environmental permits, and commitments for the proposed project. • CE clearance, FONSI, or ROD.
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A3 Develop Recommended Alternative 123 • A352: Determine types of TMP -- The objective of this activity is to determine the types of the TMP that will be pursued for the project among three choices (basic, intermediate, and major)
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124 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • TMP datasheet -- project programming generates a request for a TMP datasheet that includes information about a work description, and lists the work areas and traffic patterns and levels. • Applicable policies -- including lane closure policies in determining daily permitted lane closure times and maximum work zone queue lengths allowed.
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A3 Develop Recommended Alternative 125 • TMP datasheet -- project programming generates a request for a TMP datasheet that includes information about a work description, and lists the work areas and traffic patterns and levels. • Applicable policies -- include lane closure policies in determining daily permitted lane closure times and maximum work zone queue lengths allowed.
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126 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Restrictions • Project requirement -- FHWA's requirements concerning work zone safety and mobility as well as states' requirements for work zone activities, depending on the complexity of the work or magnitude of anticipated traffic impacts. • TMP datasheet -- project programming generates a request for a TMP datasheet that includes information about a work description, and lists the work areas and traffic patterns and levels.
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A3 Develop Recommended Alternative 127 Restrictions • Project requirement -- FHWA's requirements concerning work zone safety and mobility as well as states' requirements for work zone activities, depending on the complexity of the work or magnitude of anticipated traffic impacts. • TMP datasheet -- project programming generates a request for a TMP datasheet that includes information about a work description, and lists the work areas and traffic patterns and levels.
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From page 129... ...
128 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Restrictions • Project requirement -- FHWA's requirements concerning work zone safety and mobility as well as states' requirements for work zone activities, depending on the complexity of the work or magnitude of anticipated traffic impacts. • TMP datasheet -- project programming generates a request for a TMP datasheet that includes information about a work description, and lists the work areas and traffic patterns and levels.
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From page 130... ...
A3 Develop Recommended Alternative 129 the baseline for managing cost during design and before the estimate is released to both internal and external project stakeholders. • A366: Prepare design schedule for recommended alternative -- The objective of this activity is to prepare a baseline schedule, including high-level milestones, for the recommended alternative.
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From page 131... ...
130 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Data Requirements and Information Needed to Initiate the Activity • Preliminary drawings -- project requirements including EA, topographic surveys, metes and bounds survey, geotechnical investigations, hydrologic analysis, hydraulic analysis, utility engineering, traffic studies, and hazardous materials assessment (further provided in FHWA Order 6640.1A -- FHWA Policy on Permissible Project Related Activities during the NEPA Process)
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From page 132... ...
A3 Develop Recommended Alternative 131 • Project scope for recommended alternative -- comprehensive collection of all information and data including scoping worksheets, schematics or other preliminary drawings, design criteria, and other specific project requirements organized in a systematic manner for easy review. A362 Prepare Base Estimate for Recommended Alternative The objective of this activity is to prepare the most likely cost estimate without contingency.
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From page 133... ...
132 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Tools and Resources • Cost estimators -- the PSP team members responsible for compiling all components of the cost estimate and preparing portions of the cost estimate. • Cost-estimating program -- PC-based or web-based cost estimation system that automates estimation data gathering, provides the ability to manage large datasets, and supports estimation via cost-based, bid-based, and historical percentage, while permitting ad hoc data entry if historical data are not present.
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From page 134... ...
A3 Develop Recommended Alternative 133 Prepare Baseline Cost and Schedule A36 Determine Estimate Basis for Recommended Alternative A361 Prepare Base Estimate for Recommended Alternative A362 Determine Risk and Set Contingency for Recommended Alternative A363 Review Estimate for Recommended Alternative A364 Approve Estimate for Recommended Alternative A365 Prepare Design Schedule for Recommended Alternative A366 Figure A363. The third step in preparing the baseline cost and schedule is determining the risk and setting the contingency for the recommended alternative.
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From page 135... ...
134 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets and Management Practices to Control Transportation Project Costs [http://onlinepubs.trb.org/ onlinepubs/nchrp/nchrp_rpt_658.pdf]
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From page 136... ...
A3 Develop Recommended Alternative 135 Prepare Baseline Cost and Schedule A36 Determine Estimate Basis for Recommended Alternative A361 Prepare Base Estimate for Recommended Alternative A362 Determine Risk and Set Contingency for Recommended Alternative A363 Review Estimate for Recommended Alternative A364 Approve Estimate for Recommended Alternative A365 Prepare Design Schedule for Recommended Alternative A366 Figure A364. The fourth step in preparing the baseline cost and schedule is reviewing the estimate for the recommended alternative.
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From page 137... ...
136 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets • Other disciplines PSP team members -- representing other disciplines like design, ROW, TO, environmental, construction, etc. Outcomes of This Action • Final cost estimate package for recommended alternative -- containing the summary of scope, including key scope items, major cost elements, risk items, base cost (summary and details)
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From page 138... ...
A3 Develop Recommended Alternative 137 Tools and Resources • Cost Estimators -- the staff responsible for compiling all components of the cost estimate and preparing portions of the cost estimate. • Management -- district engineer and project development/delivery manager.
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From page 139... ...
138 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Outcomes of This Action • Baseline scope, cost estimate, and schedule for recommended alternative along with supporting documents and information organized and documented -- including basis, assumptions, exclusions, methodology, references, etc. A37 Prepare Scoping Report Develop Preliminary Drawings A31 Engage Public A33 Develop Final Environmental Documentation A34 Develop Final TMP A35 Determine Real Property Requirements A32 Prepare Baseline Cost and Schedule A36 Prepare Scoping Report A37 Identify Required Documentation/ Deliverables A371 Draft Project Scoping Report A372 Evaluate Project Definition Completeness for Recommended Alternative A373 Approve/Modify Scoping Report A374 Finalize Scoping Report A375 Develop Recommended Alternative A3 Figure A37.
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From page 140... ...
A3 Develop Recommended Alternative 139 • A374: Approve/modify scoping report -- The objective of this activity is for the project development director to approve the scoping report or make suggestions on how to modify the scoping report for final scoping approval. • A375: Finalize scoping report -- The objective of this activity is to update the scoping report according to comments from the project development director and finalize the report to be used as a basis for detailed design.
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From page 141... ...
140 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets – Schedule. – Environmental documentation.
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From page 142... ...
A3 Develop Recommended Alternative 141 • Scoping worksheet -- scoping worksheets or checklists to ensure all issues that need to be addressed during project scoping are addressed. • Appendix A -- T15: Scoping Worksheets/Scoping Checklists and T16: Scoping Report Templates.
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From page 143... ...
142 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Outcomes of This Action • A project definition completeness index score (by the end of the scoping process)
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From page 144... ...
A3 Develop Recommended Alternative 143 Outcomes of This Action • Decision or comments on scoping report -- the scoping report may be final or need modification. A375 Finalize Scoping Report The objective of this activity is to update the scoping report according to comments from the project development director and finalize the report to be used as a basis for detailed design.
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From page 145... ...
144 Effective Project Scoping Practices to Improve On-Time and On-Budget Delivery of Highway Budgets Outcomes of This Action • Approved final project scoping report -- including the following in finalized form: – Preferred alternative including preliminary drawings and other design criteria. – Budget.
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From page 146... ...
A-1 A p p e n d i x A Introduction This research identified a number of tools that can be used while performing different activities in the PSP. Many of these tools are different techniques that have been developed in other related research.
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From page 147... ...
A-2 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets Why Use It? The purpose of this tool is to rapidly assess the approximate costs for addressing a transportation need based on limited design information.
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From page 148... ...
pSp Tools and Techniques A-3 Sometimes data from more than one previous project are used to estimate the new project. For example, one highway project may be built in a similar location, such as an urban area, but not have any bridges, whereas another project may have similar bridges but be built in a rural area.
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From page 149... ...
A-4 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets bridges. For example, types of typical pavement sections are used as the basis for estimating pavement construction cost for a given or standard pavement length and thickness and for a typical shoulder width.
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From page 150... ...
pSp Tools and Techniques A-5 6. Calculate the parameter quantity for the current project.
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A-6 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets given construction operation. From these quantities, direct labor, materials, and equipment are derived.
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From page 152... ...
pSp Tools and Techniques A-7 of resources. Similar projects with similar line items, quantities, and locations can generally be estimated quickly using historical bid data from previous projects and engineering judgment.
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From page 153... ...
A-8 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets is attached to a price database is used, the estimator should still review each line item price to determine if it is applicable to the project being estimated. Blindly applying database prices can lead to inaccurate estimates.
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From page 154... ...
pSp Tools and Techniques A-9 How to Use It? Historical percentages can be developed using projects that are relatively similar in scope and complexity.
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From page 155... ...
A-10 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets number of different risks, and the expert may provide information beyond the identification of the risk, such as probability and impact. The WSDOT has important guidelines (A Policy for Risk Assessment, published in 2008)
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From page 156... ...
pSp Tools and Techniques A-11 T07: Risk Checklists What Is It? Risk checklists are a historic list of risks identified or realized on past projects.
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From page 157... ...
A-12 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets and Opportunities (2nd ed., May 2007, Caltrans, Sacramento, CA)
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From page 158... ...
pSp Tools and Techniques A-13 This tool should be used while performing these activities -- A273: Determine Risk and Set Contingency for Alternatives and A363: Determine Risk and Set Contingency for Recommended Alternative.
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From page 159... ...
A-14 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets What Does It Do? The P×I matrix helps a project team rank the myriad risks faced by a project so that the project manager can direct the majority of the available resources to the high- and medium-impact items.
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From page 160... ...
pSp Tools and Techniques A-15 Why Use It? At any stage in the development of a project, cost estimates will be composed of three components for which there are differing amounts of information: • Known and quantifiable costs.
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From page 161... ...
A-16 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets Example The following resources can be referred to for preparing the contingency percentage: • Caltrans (2015)
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From page 162... ...
pSp Tools and Techniques A-17 estimated direct cost of the project. It also provides for a sound contingency resolution process to manage the total project cost.
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From page 163... ...
A-18 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets such as market conditions, business environment, global construction activities/demand, macroeconomic environment, and weather. Namely, any major uncertainties that might influence the primary project outcomes of cost, schedule, or quality should be included.
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pSp Tools and Techniques A-19 How to Use It? Monte Carlo analysis can be used to generate a number of different decision-making tools for the project team.
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A-20 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets Carlo analyses. For example, WSDOT has developed its own Monte Carlo analysis package in Microsoft Excel using macros.
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pSp Tools and Techniques A-21 CA4PRS was developed under FHWA pooled fund research with a multistate consortium (California, Minnesota, Texas, and Washington)
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From page 167... ...
A-22 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets • Define a new pavement cross section: slab and base thickness (PCC) or layer profile (AC)
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From page 168... ...
pSp Tools and Techniques A-23 processes, such as granting a 404 permit, also require the generation of a purpose and need statement in order to apply for the permit. Clarity of purpose and confirmation of need are in themselves sound practices when developing large scale proposals requiring public expenditure.
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From page 169... ...
A-24 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets Need: • Should establish the evidence that the problem exists, or will exist if projected population and planned land use growth are realized • Should be factually and numerically based, i.e., performance measures, latest planning assumptions, crash data, VMT, etc. • Should support the assertion made in the purpose statement.
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From page 170... ...
pSp Tools and Techniques A-25 What Does It Do? The APRA tool developed under TxDOT Research Project 0-5478 offers a method to measure project scope definition for completeness and identify potential risks early in the project.
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From page 171... ...
A-26 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets The APRA computer tool is available for download at http://onlinemanuals.txdot.gov/txdot manuals/pdp/preliminary_design.htm. Tips How to assess the completeness of project scope should be included in the curriculum of the agency's training programs.
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From page 172... ...
pSp Tools and Techniques A-27 Using scoping worksheets/checklists reduces the chance of errors and omissions since the worksheets/checklists should be developed using previous project experience within the organization and should already include the commonly occurring work items. Requiring PSP teams to complete a set of scoping worksheets/checklists helps ensure the consistency of the project scoping process throughout the organization.
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From page 173... ...
A-28 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets ‘Yes' -- There is a known issue that needs to be addressed ‘No' -- As the project currently stands, the item is not an issue ‘Not Needed' -- The task is not needed ‘Maybe' -- The potential for an issue exists, but more information is needed to determine specifics ‘Need' -- The item is required because it currently does not meet standards, is required by law, must be included to accomplish purpose of the project, etc. ‘Want' -- The item is not required, but it would be ideal to address as part of the project ‘Not' -- The item is not applicable to this project The list of items in the worksheets is not an exhaustive list, but merely guidance to help functional groups scope individual projects.
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From page 174... ...
pSp Tools and Techniques A-29 When to Use It? Depending on the scoping process, different STAs may require the project team to complete scoping reports at different stages.
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From page 175... ...
A-30 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets The Kentucky Transportation Cabinet requires two documents that contain comprehensive project information to be completed during the PSP, the project identification form (PIF) and the data need analysis (DNA)
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From page 176... ...
B-1 A p p e n d i x B Online Links to Various Resources and Tools to Support the PSP as Referenced in This Guidebook Level 3 Activity No. Link Reference Description A14, A25, A33, and A34 http://environment.fhwa.dot .gov/projdev/index.asp FWHA Environmental Review Toolkit The FHWA Environmental Review Toolkit website provides guidance and examples for the various compliance areas relating to preparing and reviewing NEPA documents.
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From page 177... ...
B-2 effective project Scoping practices to improve On-Time and On-Budget delivery of Highway Budgets Level 3 Activity No. Link Reference Description A25, A33, and A34 http://www.fhwa.dot.gov/en vironment/ FHWA Environment Three offices within FHWA focus on environmental protection and enhancement.
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From page 178... ...
Abbreviations and acronyms used without definitions in TRB publications: A4A Airlines for America AAAE American Association of Airport Executives AASHO American Association of State Highway Officials AASHTO American Association of State Highway and Transportation Officials ACI–NA Airports Council International–North America ACRP Airport Cooperative Research Program ADA Americans with Disabilities Act APTA American Public Transportation Association ASCE American Society of Civil Engineers ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Trucking Associations CTAA Community Transportation Association of America CTBSSP Commercial Truck and Bus Safety Synthesis Program DHS Department of Homeland Security DOE Department of Energy EPA Environmental Protection Agency FAA Federal Aviation Administration FAST Fixing America's Surface Transportation Act (2015) FHWA Federal Highway Administration FMCSA Federal Motor Carrier Safety Administration FRA Federal Railroad Administration FTA Federal Transit Administration HMCRP Hazardous Materials Cooperative Research Program IEEE Institute of Electrical and Electronics Engineers ISTEA Intermodal Surface Transportation Efficiency Act of 1991 ITE Institute of Transportation Engineers MAP-21 Moving Ahead for Progress in the 21st Century Act (2012)
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TRA N SPO RTATIO N RESEA RCH BO A RD 500 Fifth Street, N W W ashington, D C 20001 A D D RESS SERV ICE REQ U ESTED ISBN 978-0-309-37510-8 9 7 8 0 3 0 9 3 7 5 1 0 8 9 0 0 0 0 N O N -PR O FIT O R G .
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Key Terms
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