RISK MANAGEMENT AND PRACTICE ALIGNMENT FOR UTILITY COORDINATION ON TRANSPORTATION PROJECTS

Utility coordination is an exceedingly complex effort of managing, communicating, and facilitating the avoidance and relocation of utility facilities as needed for highway projects. Utility coordination occurs throughout the design and delivery of a project and best practices are used to make sure this occurs efficiently and in the best interest of the public, who are not only the taxpayers but also the ratepayers. Recent research has attempted to enhance utility location technology and procedures, instill frameworks and tools for utility coordination, and proceduralize risk management relative to utility coordination. However, research attempting to improve various aspects of utility coordination simultaneously has led to a lack of consensus on how to integrate these research efforts into an effective standard of practice. These is also not a standard of practice for quantifying utility related risks for transportation projects. This research will attempt to build consensus and contribute to the body of knowledge in this area of utility coordination by presenting an approach to assess the relative utility risks of a project and align current and new practices to minimize those risks. Through statistical analysis of historical project data regarding utility coordination schedules and costs for transportation projects in Kentucky, this study was able to produce a model that estimates utility related risk early in transportation project development. With input and evaluation by subject matter experts, utility coordination best practices were collected and aligned to utility risks on transportation projects. A decision support tool was developed to assist in the use of the mathematical utility risk model and the best practices associated with the varying risk levels. This research also finds that there are disparities among utility stakeholders on transportation projects in regard to the effectiveness or satisfaction with particular best practices. This finding presents the need for early involvement and collaborative utility coordination to select practices that ensure utility related issues on transportation projects are minimized. The research also presents that increased use of alternative contracting methods can pose significant challenges to utility coordination on transportation projects. This stems from the finding that utility coordination practices were not uniformly effective across these varying procurement methods. Furthermore, as Departments of Transportation continue to deal with resource issues, one of which being manpower within utility coordination, the use of consultants for utility coordination presents its own set of complexities. The research finds the best application of consult-led utility coordination is through third-part consultants specializing in utility coordination, those who have been state-specifically trained for utility coordination, and prequalified for utility coordination work

Bridge End Settlement Evaluation and Prediction

A bridge approach is usually built to provide a smooth and safe transition for vehicles from the roadway pavement to the bridge structure. However, differential settlement between the roadway pavement that rests on embankment fill and the bridge abutment built on more rigid foundation often creates a bump in the roadway. Previous work examined this issue at a microscopic level and presented new methods for eliminating or minimizing the effects at specific locations. This research studies the problem at a macroscopic level by determining methods to predict settlement severity; this assists designers in developing remediation plans during project development to minimize the lifecycle costs of bridge bump repairs. The study is based on historic bridge approach inspection data and maintenance history from a wide range of Kentucky roads and bridges. A macro method which considers a combination of maintenance times, maintenance measures, and observed settlement was used to classify the differential settlement scale as minimal, moderate, and severe. The scale corresponds to the approach performance status of good, fair, and poor. A series of project characteristics influencing differential settlement were identified and used as parameters to develop a model to accurately predict settlement severity during preliminary design. Eighty-seven bridges with different settlement severities were collected as the first sample by conducting a survey of local bridge engineers in 12 transportation districts. Sample 2 was created by randomly selecting 600 bridges in the inspection history of bridges in Kentucky. Ordinal and/or multinomial logistic regression analyses were implemented to identify the relationships between the levels of differential settlement and the input variables. Two predictive models were developed. Prediction of bridge approach settlement can play an important role in selecting proper design, construction, and maintenance techniques and measures. The models are contained within a Microsoft Excel tool that allows users to select one or two models to predict the approach settlement level for a new bridge or for an existing bridge with different purposes. The significance of this study lies in its identification of parameters that have the most influence on the settlement severity at bridge ends, and how those parameters interact in developing a prediction model. The important parameters include geographic regions, approach age, average daily traffic (ADT), the use of approach slabs, and the foundation soil depth. The regression results indicate that the use of approach slabs can improve the performance of approaches on mitigating the problem caused by differential settlement. In addition, current practices regarding differential settlement prediction and mitigation were summarized by surveying the bridge engineers in 5 transportation districts

Synthesis of Public-Private Partnerships: Potential Issues and Best Practices for Program and Project Implementation and Administration

Public-private partnerships (P3s or PPPs) offer an innovative procurement method for the public sector. P3s involve collaborations between the public and private sectors to finance, develop or maintain transportation infrastructure. In an era of shrinking budgets and increased demand for transportation infrastructure, the Kentucky Transportation Cabinet (KYTC) can analyze experiences in other states to determine a best path forward on the issue of P3s. The objective of this study is to examine benefits and drawbacks of using P3s, current trends and past performance of P3s in the procurement of state transportation infrastructure projects, and common legislative statutes relating to P3s. The team reviewed literature that broadly related to privatization. Then they defined P3s according to the parameters laid out by the Federal Highways Administration (FHWA). This report contains: 1) guidance and best practices that can be used to help ensure successful P3 implementation, 2) case studies that describe P3 experiences and lessons learned, 3) a list of factors that policymakers should consider as they deliberate on whether a P3 is the best procurement option for specific projects. The research conclusively demonstrated that P3s have become more widely used for transportation infrastructure projects in the United States in recent years. Policymakers must thoughtfully weigh risks and benefits before approving P3 agreements. If Kentucky moves ahead with a transportation P3 program, future research would be geared toward studying the performance of projects and toward gathering lessons learned

Safety Concepts for Workers from an OSHA Perspective

Highway construction and maintenance workers face numerous hazards on job sites, many of which are unique by industry standards. Despite the exposure of state transportation agency employees and contractors to these hazards, there are few safety standards, regulations, programs that directly target the sector aimed at prevention and mitigation. To help the Kentucky Transportation Cabinet (KYTC) improve employee safety, researchers at the Kentucky Transportation Center (KTC) analyzed the frequency and causes of workplace injuries for 10 essential Cabinet maintenance operations. Most incidents were attributable to human factors or ergonomics. Based on this analysis, the leading causes of incidents, and a review of best practices related to workplace safety, KTC designed and built a pre-task safety tool applicable to the 10 KYTC maintenance operations. Developed in Microsoft Excel, the tool is straightforward and intuitive, addresses the most frequent hazards encountered on jobs sites, and can potentially be expanded to encompass all maintenance operations (once sufficient data are available). The tool contains three sections: 1) an introductory sheet with user instructions; 2) statistical summaries of previous injuries suffered by KYTC maintenance workers for each operation; and 3) examples of incidents that have resulted from each of the most frequent causes of injury and recommended safety practices to minimize or eliminate potential hazards. Site foremen or supervisors can use the tool to develop a pre-task safety talk on scheduled workday activities, their associated hazards, and specific measures to prevent or mitigate those hazards. KTC researchers delivered the pre-task safety tool to KYTC separately

Redefining Construction As-Built Plans to Meet Current Kentucky Transportation Cabinet Needs

As-built plans have traditionally been used by construction industry practitioners to record changes made during construction. As-builts provide valuable information for new design projects as well as rehabilitation and remediation projects. The completeness and accuracy of these plans are essential for transportation industries and their success. While the importance of as-builts is widely recognized, preparing them can be difficult and time-consuming; many entities — especially public agencies — lack the resources necessary to produce accurate and detailed as-builts. After investigating the current as-built operations of state transportation agencies, Kentucky Transportation Center (KTC) researchers devised recommendations to improve the Kentucky Transportation Cabinet’s (KYTC) as-built process. To develop their proposed process, researchers conducted in-depth interviews with as-built end users and developers. Along with describing the proposed as-built process, this report outlines a number of suggestions for improving current practices. First, it is imperative to preserve all as-builts in a central storage location that can be accessed by all stakeholders. The Cabinet will also benefit from guidance which standardizes the production of as-built plans/information and specifies what should be included in them. To ensure they are completed on time and accurately, as-built plans should be developed continually throughout the project using simple editing software on iPads. A PDF editor is ideal for as-built development as most end users prefer as-builts in a PDF format. Finally, to ensure this process is being followed, assigning a liaison to serve as a go-between to coordinate the activities of as-built developers and users is recommended

Reducing Construction Costs Through Effective Field Communication and Administration

Falling Road Fund receipts have placed added strain on the Kentucky Transportation Cabinet’s (KYTC) already-underfunded highway program. Revenue declines have increased the urgency of improving the efficiency and cost-effectiveness of the Cabinet’s operations. One method KYTC can use to realize greater cost savings is improving the administration of construction projects. Effective field communication and administration helps control construction costs, enhances quality, and minimizes delays and claims. One challenge the Cabinet will need to confront to more effectively administer projects, however, is the loss of institutional knowledge associated with staff attrition. The report documents KYTC current methods for project staffing, communication, and partnering. It summarizes best practices for field communication and administration used throughout the private and public sector construction industries and discusses findings obtained through interviews with Cabinet staff and industry representatives on the issues in-house staff and external contractors routinely negotiate during projects. Based on analysis of these interviews and the literature reviewed, the report identifies five issues that are commonly encountered on KYTC construction projects and puts forward recommendations for ameliorating them. Additionally, it proposes a new initiative — Putting the Project First — which has as its goal the development of tools, practices, guidance, and training to meet stakeholder needs across all project types. Several recommendations, which can be enacted over the short-, intermediate-, and long-term are advanced to build a sound and practical foundation for all Putting the Project First activities. This initiative will strengthen relationships between the Cabinet and its contractors. It will also help build an institutional framework for conducting field communications and administration, one resilient in the face of staff turnover

Streamlined Project Closeout for Construction at KYTC

Project closeout is the period between the end of construction and when a contract is finalized. During closeout, resources are held in encumbered funds intended for the project and in the contractor’s bonding capacity. Although the Kentucky Transportation Cabinet’s (KYTC) stated goal is to close out projects within 240 days of their ending, in 2016 the average duration of project closeout was 366 days. This report analyzes the Cabinet’s project closeout procedures, summarizes project closeout best practices adopted by other state transportation agencies, and recommends ways to improve KYTC’s practices. Streamlining project closeouts would free up sufficient funds to resurface approximately 2,000 to 7,000 total lane miles that would otherwise not be rehabilitated. To begin reforming project closeout, the Cabinet may benefit from 1) investigating ways to improve the preparation of final documentation and 2) reducing the amount of time allocated for development and completion of the materials check. Other recommendations for revamping project closeout include establishing a KYTC task force to conduct high-level analysis of the project closeout process; thoroughly implementing e-Construction methodologies, which can reduce paperwork and centralize record-keeping within tightly controlled and monitored databases; revising project closeout checklists to standardize the process and eliminate all steps that are unneeded or outdated; and optimizing project closeout processes at the district level to help personnel adopt best practices. More efficient project closeouts will benefit the public because of their potential to increase the amount of funding that can be dedicated to critical transportation projects that would otherwise remain unaddressed. As the Cabinet investigates ways to begin this process, it is important to keep in mind that strategies or methods for streamlining project closeout should be implemented by KYTC personnel, as this increases the likelihood that staff buy-in across the agency

Green Infrastructure

The transportation industry has increasingly recognized the vital role sustainability serves in promoting and protecting the transportation infrastructure of the nation. Many state Departments of Transportation have correspondingly increased efforts to incorporate concepts of sustainability into the planning, design, and construction phases of projects and congruently adopted sustainability measures into their internal standard policies and procedures. Sustainably constructed highways foster economic development, promote stewardship of the environment, and solicit citizen involvement for an integrated, comprehensive approach to project planning. As part of an effort to understand the extent to which sustainable design and construction principles are being used, this report selects and analyzes three case studies involving previously completed KYTC projects and assesses their commitment to sustainable concepts. Specifically, this report examines the extent to which KYTC utilized sustainable concepts for each case study as described in FHWA’s INVEST rating system. This research effort comprised three components. First, KTC researchers analyzed KYTC’s policies and manuals for project planning, design, and construction and determined the extent to which INVEST criteria and related principles were incorporated into their standard processes. Second, KTC analyzed the individual case studies themselves, to include project plans and other relevant documentation. Finally, KTC conducted interviews with each of the KYTC district offices responsible for managing those previously completed projects and obtained feedback on the INVEST criteria used for each particular project. Following this approach, KTC validated and finalized the assigned scoring ratings for each case study in accordance with the INVEST scoring guidance. In summary, this report describes the sustainable concepts and corresponding INVEST scores for each project, presents a summary of the main findings, and provides recommendations for the way ahead

Inland Waterway Operational Model & Simulation Along the Ohio River

The inland waterway system of the U.S. is a vital network for transporting key goods and commodities from the point of production to manufacturers and consumers. Shipping materials via the inland waterways is arguably the most economical and environmentally friendly option (compared to hauling freight by trains or railways). Despite the advantages the inland waterways enjoys over competing modes, key infrastructure – such as locks and dams, which help to control water levels on a number of rivers and make navigation possible – is declining. Limited funds have been allocated to make the necessary repairs to lock and dam facilities. Over the past 10 years Inland Waterways Trust Fund resources (which historically funded maintenance and improvement projects) has steadily declined. Locks and dams are of particular importance, because they assist in the maintenance of navigable depths on many of the major inland waterways (Ohio River, Upper Mississippi River, Tennessee River). To better understand the operation of the inland waterway system, this report examines a portion of the Ohio River (extending from Markland Locks and Dam to Lock 53). The specific focus is to determine what delays barge tows as they attempt to lock through these critical facilities. The Ohio River is a particularly important study area. In many ways it is representative of the conditions present throughout the inland waterways system. The average age of the lock and dam facilities exceed 50 years along our study segment. Most of these facilities are operating beyond their intended design life. As locks age, they increasingly demand more scheduled and unscheduled maintenance activities. Maintenance activities often require temporarily shuttering a lock chamber and diverting traffic through another onsite chamber (often of smaller capacity). All of the facilities included in the research area have two lock chambers ‐ thus, if one goes down for maintenance all vessels are diverted through the second chamber. In many cases this situation can produce extensive delays, which precludes cargo from reaching the destination in a timely manner. Recently, the aggregate number of hours that shippers and carriers lose due to delays has escalated. Although the U.S. Army Corps of Engineers – the agency responsible for the management and oversight of locks and dams – has worked to keep traffic flowing on the river, tightening budgets hamper efforts. For shippers and carriers to make informed decisions about when and where to deploy freight on the river, they require knowledge that illuminates factors that are most significant in affecting transit times. In particular this applies to certain conditions that are likely to create delays at lock and dam facilities. The purpose of this report is to 1) develop a comprehensive profile of the Ohio River that provides an overview of how it is integral to U.S. economic security 2) identify salient river characteristics or externally‐driven variables that influence the amount of water flowing through the main channel which consequently impacts vessels’ capacity to navigate 3) use this information (along with a 10‐year data set encompassing over 600,000 observations) to develop an Inland Waterways Operational Model (IWOM). The IWOM objective is to provide the U.S. Army Corps of Engineers, shippers, carriers, and other interested parties with access to8 a robust method that aids in the prediction of where and when conditions will arise on the river that have the potential to significantly impact lockage times and queue times (i.e. how long a vessel has to wait after it arrives at a facility to lock through). After qualitatively reviewing different features of the river system that affect vessel traffic, this report outlines two approaches to modeling inland waterway system behavior – a discrete event simulation (DES) model which uses proprietary software, and the IWOM. Although the DES produced robust findings that aligned with the historical data (because it relies upon proprietary software), it does not offer an ideal platform to distribute knowledge to stakeholders. Indeed, this is the major drawback of the DES given a critical objective of this project is to generate usable information for key stakeholders who are involved with inland waterway operations. Conversely, the IWOM is a preferable option given it relies on statistical analysis – in this sense, it is more of an open‐source solution. The IWOM uses linear regression to determine key variables affecting variation in lockage time. The final model accounts for over two‐thirds of the observed variation in lockage times from 2002‐2012, which is our study period. Practically, this means that the difference between predicted values and observed delay times is significantly less than how the delays vary around the composite average seen in the river system (R2 = 0.69). The IWOM confirms that variations in river conditions significantly affect vessel travel times. For example, river discharge ‐ the direction a vessel moves up or down a river ‐ meaningfully influences lockage times. The freight amount a vessel carries, which is represented by the amount of draft and newness of a vessel, influences lockage times. Larger vessels with more draft tend to wait longer and take longer to complete their lockage. The IWOM is less successful at predicting delay times. Because there is greater instability in this data only a modest amount of variation is explained by the model (R2 = 0.23). This, in turn, partly reflects in spillover from one vessel to the next that is difficult for the simulation to impose and account for therefore requiring additional logic. Once completed, the IWOM was used to parameterize a simulation model. This provided a graphical representation of vessels moving along the river. Users have the capability of adjusting the effects of different variables to anticipate how the system may react, and what changes in vessel traffic patterns emerge. This information will be of great use for stakeholders wanting to gain a better understanding of what conditions lockage times will increase or decrease, why delays emerge, and consequently how these impact traffic flows on the river. In programming a simulation model, users are able to visualize and intuit what causes vessel travel times to vary. Although the regression model accomplishes this, for many users this would prove unwieldy and difficult to grasp beyond a conceptual, abstract level. Matching up regression results with a visual counterpart lets users gain immediate and intimate knowledge of river and vessel behavior – this in turn can positively affect shipper and carrier modal choices. The report concludes with some recommendations for IWOM implementation and thoughts on future research needs. Also discussed are the implications results from the present study have for improving our ability to safely, securely, and swiftly move freight on the inland waterways network

E-Tickets and Advanced Technologies for Efficient Construction Inspections

The Kentucky Transportation Cabinet (KYTC), like many state transportation agencies, has seen demand for high-quality infrastructure skyrocket even as it endures reductions in staff numbers. To mitigate the effects of declining staff and bolster construction efficiency, the Cabinet has experimented with a variety of e-construction technologies, the goal of which are to abolish paper-based workflows and improve project-site monitoring activities. This research investigated the performance of three e-construction technologies on KYTC pilot projects — e-ticketing, paver mounted thermal profilers, and intelligent compaction. E-ticketing reduced the amount of time needed to retrieve material tickets and facilitated comparisons of theoretical tonnages to actual tonnages. Inspectors also reduced their exposure to hazardous jobsite conditions through the use of e-ticketing, while contractors strengthened their operational efficiencies. Paver mounted thermal profilers collected temperature data whose accuracy was not significantly different from temperature data gathered using conventional infrared guns. The spatially continuous data generated by profilers can aid in later monitoring of pavement performance and can be used to perform forensic investigations of pavement distress. Although other state transportation agencies have adopted intelligent compaction with considerable success, it produced inaccurate data on asphalt temperature and roller passes. Several factors may have contributed to this unexpected result, such as poor communication between project stakeholders and incorrectly executed equipment setup. The three technologies could potentially be adopted on a more widespread basis; however, it is critical to offer adequate training to equipment and software users, ensure that project stakeholders coordinate and communicate with one another, and be conscientious in the deployment and management of equipment