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

Benefits from Constructability Reviews

Constructability review is a process used during project design to infuse construction knowledge into the design process. There is industry impetus encouraging early construction involvement in project development. State transportation agencies often have to abide by legislation restricting these procurement methods leaving construability review as the only opportunity for early construction involvement. Staffing and budgetary constraints lead to state transportation agencies being very cautious in the practices and processes they implement that seemingly lie outside the main missions of project development and delivery. Without straightforward and documented savings of constructability review processes, these methods may also be eliminated. After streamlining the constructability review process for the Kentucky Transportation Cabinet, an effort was undertaken to estimate monetary benefits from such reviews. Constructability reviews were evaluated at the project level by comparing change order percentages on projects reviewed versus those not being reviewed. This approach showed a clear indication that there are monetary savings associated with constructability reviews resulting in a conservative estimate of 1.25 percent of the project budget. This estimate did not include the additional inherent savings in time, lessons learned or other aspects not readily quantifiable. The second method of evaluating constructability reviews was to quantify and qualify each constructability review comment. A model was developed to estimate the potential monetary gains from the comments indicating the presence of such gains but additional analysis is needed to improve model accuracy

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

Methods to Expedite and Streamline Utility Relocations for Road Projects

Executive Summary This report describes best practices and tools to streamline and expedite utility relocations when they are required as part of road construction projects. As part of this effort, a research team from the Kentucky Transportation Center (KTC) conducted extensive qualitative research that involved mapping current practices at the Kentucky Transportation Cabinet (KYTC) and reviewing utility manuals from KYTC and other state transportation agencies. The KTC research team also conducted in-depth interviews with KYTC engineers and staff as well as representatives from utility companies (UCs). Based on the data from these investigations, KTC developed a number of recommendations to improve interactions between KYTC and UCs. A number of the proposed improvements relate to training and coordination. For instance, fostering better coordination between KYTC and UCs early in the design process can prevent unexpected delays from hampering the construction process, cut down on the impacts to utilities, and allow for the exploration of alternative design options to identify those that will minimize expense while optimizing efficiencies and shortening project duration. Preconstruction meetings facilitate improved communication between KYTC and UCs, and set the stage for holding follow-up meetings throughout the construction process. All of these suggestions will forge better communication and therefore lead to stronger coordination between the Cabinet and UCs. The research team organized the suggested practices according to use and benefit while also itemizing some of the drawbacks associated with using those respective practices. The guidance provided in this report will provide KYTC utility staff with the knowledge of best practices, while also informing them on the circumstances under which each should be implemented. To accompany the summary of best practices, KTC researchers developed a method of risk assessment to determine the level of difficulty a project may expect when utility relocations are necessary. This model, which uses multiple linear regression, has robust predictive utility (R2 = 0.84), and will offer KYTC staff insights into what best practices are most compatible with the level of risk faced. This study presents several valuable tools along with organized best practices and guidance for STAs’ utility coordinators. When used pragmatically, these methods will assist in STAs and UCs in identifying problematic projects early in their life to resolve any issues

Tools for Applying Constructability Concepts to Project Development (Design)

The purpose of this report is to document the activities of Phases I and II of the research effort and present the findings of the work accomplished. Phase I developed the Constructability Review Database for the Kentucky Transportation Cabinet and Phase II conducted a benefit analysis of the constructability review process. The database provides the basis for entry and collection of constructability reviews and allows for the identification of trends leading to potential improvements of the process. The database can be used to summarize activities, generate reports for a project, and be capable of quantifying the benefits from the process. The analysis documents the benefits of the reviews and recommends continuation and expansion to all projects

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

Integration of Utility Engineering, Coordination, and Highway Design

State transportation agencies (STAs) strive to deliver highway projects on time and on budget. Utility relocations are frequently cited as a primary reason for delays. This report describes a new approach for enhancing the alignment of utility coordination and design. Researchers crafted this new approach based on the findings of a literature review, an evaluation of how utility coordination milestones and project development milestones are currently aligned at the Kentucky Transportation Cabinet (KYTC), and the experiences of other STAs. KYTC should use this guidance to facilitate implementation of the new approach and an associated Utility Coordination Training and Certification Program. All personnel engaged in project design and delivery can benefit from the proposed guidance (e.g., district utility coordinators, consultant utility coordinators, project designers, project managers, surveyors, right-of-way staff, construction staff, central office utility coordinators, etc.). This guidance document also includes suggestions for identifying, managing, and mitigating, utility-related risks using Utility Conflict Management (UCM), provides information on the use of Subsurface Utility Engineering (SUE), and offers recommendations for managing consultant-led utility coordination

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