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168 After you have determined whether and how you will use each of the fi ve 5DPM methods, check the appropriate tools (see below) to use with each method. 1. Defi ne critical project success factors by each dimension as required. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The project team spent time before the start of design and construction identifying the critical success factors for the project. 2. Assemble the project team. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The team is the driver of the project. The project team has been given the author- ity needed to execute their responsibilities effectively to achieve the critical success factors. 3. Select project arrangements based on project outcomes. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED Once the project success factors were identifi ed, the contracting method was selected to maximize the likelihood of achieving those critical success factors. 4. Prepare early cost model and fi nance plan. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED All members of the project team understood the fi nancial model, including where the funding is coming from, limitations on funding availability, and project cash fl ows. E PROJECT MANAGEMENT TOOL SELECTION
169 Appendix E: PROJECT MANAGEMENT TOOL SELECTION 5. Develop project action plans. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED Legislators, community stakeholders, utilities, railroads, and many other indi- viduals and groups may play a significant and influential role in a complex project, more so than on traditional projects. The project team discussed the political influ- ence of various external groups and defined an action plan for positively directing this influence. PROJECT MANAGEMENT TOOLS 1. Incentivize critical project outcomes. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED Members of the project team (including designers, builders, consultants, public relations, and so on) were incentivized to meet critical project goals. The incen- tives may range from traditional schedule, cost, and safety incentives to the per- formance areas from various external factors such as social, environmental, public involvement, and traffic mobility. 2. Develop dispute resolution plans. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The project team spent time developing a dispute resolution plan, including iden- tification of high-impact dispute points such as those potentially arising from neighborhood groups, U.S. DOT Section 4(f) signatories, and other indirect stake- holders. The dispute resolution plan stipulates or addresses scope agreement issues and incorporates all local jurisdictions and signatory agencies. 3. Perform comprehensive risk analysis. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The project team implemented a formal risk analysis and mitigation process at early stages of the project. The risk analysis included clear and concise assign- ment of responsibilities and assignment of designated resources. The risk analysis included not only traditional cost and schedule issues but also context and financ- ing issues, concerning the railroad, utilities, U.S. DOT Section 4(f), the National Environ mental Policy Act, appropriations/capital bill allocation (use it or lose it funding), effect of delays, and related items. The result of the risk analysis was an aggressive mitigation plan, which was integrated with critical project success factors.
170 GUIDE TO PROJECT MANAGEMENT STRATEGIES FOR COMPLEX PROJECTS 4. Identify critical permit issues. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The project team developed timelines for environmental, U.S. DOT Section 4(f), and other critical regulatory reviews, including flexible response mechanisms for permit issues and flexible planning and design for minimal impact where uncer- tainty is high (e.g., geotechnical and subsurface conditions, State Historic Preser- vation Office sites). 5. Evaluate applications of off-site fabrication. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The project team considered off-site fabrication for schedule control, quality con- trol, minimal public disruption, noise control, loss of access, and minimization of environmental impact. 6. Determine involvement in ROW and utilities. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The project team determined the required involvement in ROW and utilities based on the projectâs critical success factors. 7. Determine work packages and sequencing. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The project team carefully designed work packages and construction sequencing to increase project success possibilities. Work packages and sequencing were deter- mined based on consideration of available funding, available design resources, available contractor capabilities, and stakeholder concerns for project impact, includ ing road-user costs. 8. Design to budget. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The project team designed the project within an established budget while consider- ing stakeholder expectations to the extent possible. 9. Colocate team. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The project team was or is colocated, with each critical partner placing a dedi- cated, empowered representative to the project team in a common location.
171 Appendix E: PROJECT MANAGEMENT TOOL SELECTION 10. Establish flexible design criteria. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The project team established flexible design criteria to meet the project cost, sched- ule, and quality performance requirements and critical permit issues. Flexible design criteria may be used to minimize potential ROW takes, utility conflicts, or U.S. DOT Section 4(f) issues. Flexible designs can be achieved by using the criteria of design exceptions, need-based reviews, performance specifications, mechanistic designs, innovative procurement mechanisms, or other similar methods. 11. Evaluate flexible financing. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The project team evaluated alternative funding sources including grant anticipa- tion revenue vehicle (GARVEE) bonds, hybrid forms of contracting such as pub- licâprivate partnerships, and project phasing to leverage financing. 12. Develop finance expenditure model. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The project team developed project cash flow projections and integrated them into project phasing plans for planned expenditures, including the use of resource- loaded project plans and network schedules to track expenditures and project cash needs. 13. Establish public involvement plans. _______YES _______CONSIDERED BUT NOT USED _____ NOT CONSIDERED The project team used extensive project outreach to address stakeholdersâ needs and concerns, including choice of design options and project delivery methods. Public involvement was solicited early in the planning phase, and a public com- munication plan was developed before the start of design and construction.
