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State of the Practice in Preconstruction Engineering Management A by student19

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									                          State of the Practice in
                 Preconstruction Engineering Management
                           A Summary of Survey Results
                                November 2003

Overview
In the spring of 2003, the AASHTO Task Force on Preconstruction Engineering
Management conducted a survey of the State Departments of Transportation to explore
the changes that have been made in preconstruction engineering management over the
past decade. The last time such a survey was conducted was prior to the publication of
the 1991 AASHTO Guide for Preconstruction Engineering Management. The
publication addressed the need for guidance on emerging project management systems
and the growing use of consultants.

In developing this survey, the Task Force decided that much of the information
contained in the 1991 Guide is still relevant today, but that much has changed in the
areas of project management software systems, the types of reports generated, and the
information needed for measuring program and project progress and accomplishments.
In addition, ways to streamline project development are becoming increasingly
important. Thus, instead of completely rewriting the 1991 document, the Task Force
decided to conduct a survey to provide updated information.

The survey focused on seven distinct areas, which are listed below along with general
observations on the current state of preconstruction management:

   1. Organizational Structure: What is the organizational structure and program size
      of each state? (See questions 4-8, page 5.)
      §   Most states are centralized with respect to planning, environmental, bridge
          design, geotechnical, and project letting activities. In contrast, most states
          are decentralized with respect to only one function: construction. The
          remaining functional areas yielded greater variability between being
          centralized and decentralized.
      §   Most states awarded between 100-200 projects during the past fiscal year,
          and the total value of projects awarded by most states was between $250 and
          $500 million.
      §   As expected, the vast majority of states are responsible for the Interstate,
          NHS, and State highway systems, while the ownership and responsibility for
          all other systems varies greatly.
      §   Most states employ some type of matrix organizational structure and seem to
          be moving away from a strictly functional organization.
                                                                            Introduction



2. Project Management Practices: How are states organized to do project
   management and form project teams? (See questions 9-16, page 12.)
   §   Almost half of the states utilize a project manager for each phase of a project,
       while about a quarter each use cradle-to-grave managers or managers for
       each project discipline.
   §   Most states require those who manage projects to have some specific level of
       experience and/or training and in addition, 20 states require a PE license.

3. Preconstruction Scheduling and Authority: How long does it take to develop
   projects and who has the authority for scheduling and other change decisions?
   (See questions 17-20, page 21.)
   §   While the length of time needed to complete different types of environmental
       documents varied greatly among the states, the overall trend, as would be
       expected, is that the time required increases with the complexity of the type of
       document.

4. Computer System Software: What kinds of project and program management
   software systems are being used? (See questions 21-32, page 28.)
   §   Most states reported tracking preconstruction activities with a computerized
       management system from design through the letting phase, but only about
       half tracked early activities such as programming and scoping.
   §   While some states are still using mainframe-based project management
       systems, most are client-server or stand-alone PC-based. Most of these
       utilize off-the-shelf software such as Primavera or Microsoft Project.

5. Streamlining: What are some delay areas and what are various states doing or
   planning to do to address timely delivery? (See questions 33-38, page 40.)
   §   Activities identified as causing the greatest delays in the preconstruction
       phase of project development include environmental, permitting and
       agreements, and land acquisition and utilities. The reasons for these delays
       include regulatory or statutory limitations, external coordination and
       cooperation, staffing levels, and stakeholder interest.
   §   While 50% of the states have a process for streamlining project delivery, only
       24% have a defined procedure for documenting and sharing lessons learned.
       Transportation agencies are making business process improvements
       throughout the organization, there appears to be a weakness in the
       understanding of and commitment to “streamlining” identified bottlenecks.

6. Use of Consultants: How are consultants being used to deliver the programs in
   a timely way? (See questions 39-49, page 46.)
   §   Half of the states responding reported using consultants on ¼ to ½ of their
       projects. However, based on the total construction funding, about one third
       reported consultant usage in the 50% to 75% range. The vast majority of



                                                                                      2
                                                                                Introduction


          states reported using consultant service predominantly for engineering types
          of services, such as geometric design, geotechnical, road design, bridge
          design hydraulics, and traffic engineering, as well as aerial surveys/
          photography and environmental studies. 44% reported using consultants for
          project management, and only 13% use consultants for program
          management.
      §   Two-thirds of states anticipate the use of consultants to remain about the
          same over the next three years. Only six states expect a decrease and nine
          expect increase in the use of consultants.
      §   Several states indicated problems or issues with consultants’ performance,
          such as accountability, quality of work, and evaluation. In that regard, very
          few states (5) appear to be using financial incentives or disincentives in their
          contracts for consultant engineering services. This perhaps reflects the
          difficulty of doing so on professional services contracts versus low bid
          construction contracts.
      §   All states responding to the survey reported that they do performance
          evaluations of their consultants. Most do so at the conclusion of the contract
          and no state reported evaluating consultant’s work at mid or post-construction
          time frames. A majority of the states (82%) use the evaluations in their
          selection process.

   7. Performance Measures: Are program and project management systems being
      utilized to transform data into useful performance measurement information?
      (See questions 50-59, page 55.)
      §   While most states identify detailed performance measures and generate
          specific reports that support these measures, few compensate their
          employees (or their consultants) on the basis of performance.
      §   Relatively few agencies track project related attributes, such as schedule and
          cost, at a detailed activity level. Most track human resources, as well as
          contract and equipment costs (and schedules), related to specific project
          phases or only at the total project level.
      §   Most agencies rely on subjective and informal means of evaluating quality.

As shown above, this report provides an overview of the global responses that were
received to each question. Detailed responses from each state are provided in an
accompanying spreadsheet, which is available in the “References” section of the
AASHTO Subcommittee on Design web site at http://design.transportation.org. An
agency may wish to use the spreadsheet to identify organizations with similar
characteristics by sorting the various responses. For example, this sorting process
could assist an agency in locating others who might be dealing with similar problems or
issues, or in comparing management practices with other states in their region. A
database version of this information will be available in early 2004. We believe these
data are a valuable source of information as states seek to manage their
preconstruction activities more wisely.



                                                                                             3
                                                                             Introduction


Response Rate
As illustrated in the graphic below, forty-six of the 52 AASHTO Member Departments
(which includes Puerto Rico and the District of Columbia) responded to the survey.


                               Respondents to the
                 Preconstruction Engineering Management Survey
                                 (Shown in green)




Responses
The rest of this report shows the responses received to the survey in graphical and
tabular formats. Please note that the first three questions in the original survey
requested contact information from the person filling out the survey and that these
questions have not been reproduced here. (This information is included in the
spreadsheet, however.) Thus, the survey results start with Question #4.




                                                                                       4
                                                                                        Section 1: Organizational Structure



                                             Section 1: Organizational Structure

                                              Centralized vs. Decentralized Functions
                         45

                         40

                         35
      Number of States




                         30

                         25

                         20

                         15

                         10

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                                                                       Function

                                                             Centralized    Decentralized



Q.4                      What functions are primarily centralized and what functions are primarily
                         decentralized within your agency?

                                                                    States                      States
                                                                  Responding                 Responding
                                                                 “Centralized”              “Decentralized”
                                    Planning                               37                      9
                                    Project Management                     26                      18
                                    Environmental                          36                      10
                                    Road Design                            28                      17
                                    Bridge Design                          38                      7
                                    Survey                                 20                      25
                                    Geotech                                33                      12
                                    Land Acquisition (ROW)                 25                      21
                                    Traffic Engineering                    25                      20
                                    Utility Coordination                   21                      25
                                    Project Letting                        41                      4
                                    Construction                            5                      40




                                                                                                                         5
                                                                                        Section 1: Organizational Structure



                                                     Capital Projects - Number Awarded

                                14



                                12
  Number of States Responding




                                10



                                8



                                6



                                4



                                2



                                0
                                     Less than 100     100 - 200        200 - 300          300 - 400         More than 400
                                                           Number of Capital Projects Awarded




Q.5a How many capital projects were awarded in the previous fiscal year?

  Number of Capital                                    < 100       100 - 200        200 - 300    300 - 400        > 400
  Projects Awarded
  States Responding                                       9           13               8               5             8




                                                                                                                             6
                                                                                                  Section 1: Organizational Structure



                                                        Capital Projects - Value Awarded

                                14



                                12
  Number of States Responding




                                10



                                8



                                6



                                4



                                2



                                0
                                     Less than $250   $250 - $500 Million   $500 - $750 Million   $750M - $1 Billion   More than $1 Billion
                                         Million
                                                                 Value of Capital Projects Awarded




Q.5b What is the value of the capital projects that were awarded in the previous
     fiscal year?

Value of Capital                                         < $250             $250 -            $500 -          $750 M -            > $1
Projects Awarded                                         Million            $500 M            $750 M          $1 Billion         Billion
States Responding                                           9                 13                10                5                 5




                                                                                                                                              7
                                                                                                               Section 1: Organizational Structure



                                                        Preconstruction Activity Responsibilities
                                                                            (Note: Multiple choices allowed)
                                                                                                                                DOT
                               50
                                                                                                                                County
                                                                                                                                Municipality
                               45
                                                                                                                                Regional
 Number of States Responding




                               40                                                                                               Other

                               35

                               30

                               25

                               20

                               15

                               10

                                 5

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                                                                                  Type of Roadway


Q.6                                  Who is responsible for the Preconstruction activities associated with the
                                     following types of roadways in your surface transportation system?
                                     (Check all that apply)

                                                              DOT               County           Municipality            Regional              Other
Interstate                                                     46                  0                 0                      0                    0
NHS                                                            46                  1                 1                      0                    0
State Highways                                                 46                  0                 0                      1                    0
Toll Roads                                                      9                  0                 0                      1                   14
Public Transit                                                 22                  9                 25                     9                    7
Urban Arterials                                                38                  9                 24                     6                    0
Urban Collectors                                               32                 11                 29                     6                    0
Urban Locals                                                   17                 10                 35                     5                    1
Rural Arterials                                                36                 16                 6                      4                    0
Rural Collectors                                               33                 24                 10                     5                    1
Rural Locals                                                   17                 29                 17                     4                    2




                                                                                                                                                       8
                                                                                   Section 1: Organizational Structure



                                                   Agency Organizational Structure
                              25




                              20
           Number of States




                              15




                              10




                              5




                              0

                                   Strong matrix    Weak matrix   Projectized   Functional     Other
                                                       Type of Organizational Structure


Q.7     What is the basic organizational structure of your agency?

                                                                                                   States
                                                                                                 Responding
      Strong matrix (project manager coordinates production                                          22
      staff from different functional areas or divisions)
      Weak matrix (project coordination is performed by                                                12
      production staff from different functional areas or divisions)
      Projectized (project manager manages and supervises all                                          3
      functional staff necessary to complete project)
      Functional (project coordination is performed by multiple                                        9
      project managers in different functional areas or divisions)
      Other                                                                                            2




                                                                                                                    9
                                                          Section 1: Organizational Structure


Comments on Q.7 – Basic Organizational Structure
§   Our Road Design Leaders function as the project managers until plans are ready for
    letting. At that point, project management is moved to the district construction staff.
§   North Carolina is developing a Project Management Improvement Initiative (PMii).
    Scheduling System, SAP R3 System. We go live 2004. Project Manager positions
    will be created to manage EIS type projects.
§   Transportation Project Managers manage the project while Resource Managers
    actually supervise all functional staff necessary to complete projects. MoDOT uses
    Structural Project Managers to supervise Bridge Division staff involved in the
    preparation of bridge plans for a given project while the Transportation Project
    Manager is responsible for the project as a whole. MoDOT's Project Manager is not
    responsible for construction of the project.
§   Weak matrix would best describe the majority of our projects. However, on selected
    high profile, complex projects, ATHD has implemented a strong matrix
    organizational structure where assigned project management teams develop and
    monitor a project schedule and report progress to upper management.
§   Of the 800+ projects under development, 160 major projects are the responsibility of
    specifically assigned project managers; therefore, we have a combination of strong
    and functional structures
§   Virginia DOT is in transition from a functional organization to a strong matrix
    organization – best characterized at this time as a weak matrix organization.
§   Project Managers have a functional group home but coordinate efforts of production
    staff from different functional areas – so it is between a strong and weak matrix as
    described above.
§   Working towards a Stronger Matrix.
§   Project managers coordinate single projects with functional staff from different areas.
    Functional areas are responsible for coordinating their own function workload.
§   There is also a leader of the project management team who is charged with
    overseeing the entire development process.




                                                                                          10
                                                          Section 1: Organizational Structure


Q.8    Do you have any issues, concerns, and/or additional comments related to
       Organizational Structures?
§   We began a matrix structure in 2000. Prior to that we were a functional
    organization.
§   Our State has made a transition towards having less complex projects designed and
    developed at the District/Region level. Is this a trend towards decentralization?
§   Project Managers coordinate with other divisions but don't have authority to direct
    resources from those divisions
§   We recently re-structured from a functional organization. We are less than 1 year
    into it.
§   Our designated Project Manager is a Unit Head in our Roadway Design Division.
    He also supervises 10+/- lead designers.
§   Kentucky's structure is emerging as a strong matrix structure. We have a ways to go
    before we arrive at a strong matrix structure.
§   Although officially a strong matrix, we do utilize a weak matrix for singular scope
    projects such as traffic signals, bridge scour, or deck replacement
§   ODOT consults out most of the design work.
§   We do have some other "sensibly" centralized activities besides bridge design.
    They include photogrammetric mapping and DTM's, electrical signal cabinet
    production and maintenance, unique geotechnical drilling and analysis, some traffic
    control plans, and railroad crossing negotiations. We also provide historian and
    hazardous materials expertise centrally.
§   Poor communication leads to missed completion goals.




                                                                                          11
                                                                                 Section 2: Project Management Practices



                                    Section 2: Project Management Practices


                                         Management Style - Project Development
                                                        (Note: Multiple choices allowed)
                            30




                            25
         Number of States




                            20




                            15




                            10




                            5




                            0

                                 Single Point Project   Phased Project      Functional Discipline      Other
                                      Manager             Manager             Project Manager
                                                               Management Style


Q.9   What is your project development process management style?

                                                                                                      States
                                                                                                    Responding
           Single point project manager assigned cradle                                                 12
           to grave, total project
           Phased project manager, e.g. scoping                                                         25
           manager, design manager, construction manager
           Functional discipline project manager such as                                                12
           bridge, roadway design, geotech
           Other                                                                                         3




                                                                                                                     12
                                                    Section 2: Project Management Practices


Comments on Q.9 – Management Style
§   Our Road Design Leaders function as the project managers. They may utilize their
    own staff or consultants to confirm the scope, accomplish the initial engineering
    work, prepare environmental documentation and complete the final design. As the
    project leaders they are supported by functional units throughout the agency. They
    lead the project development until plans are ready for construction letting. At that
    point, project management is moved to the district construction staff.
§   Initial scoping takes place in our Planning Bureau. After that, a single Project
    Manager has responsibility through construction.
§   Though “cradle to grave" is the best description, during construction a resident
    engineer takes over the day to day activities. Any major changes or other substantial
    decisions are to be discussed with the project manager first. This does not always
    happen.
§   Cradle to grave team approach. Project manager from project development
    manages from cradle to construction. Construction manager manages through
    construction. Both managers are involved from cradle to grave.
§   MoDOT's Transportation Project Manager is responsible for all aspects of the
    project; however, MoDOT's Structural Project Manager supervises the preparation of
    bridge plans. MoDOT's Project Manager is not responsible for construction of the
    project.
§   The majority of projects use a functional discipline project manager. Selected
    projects are assigned a single point project manager who monitors the project until
    the project is let to contract.
§   Mega projects - single point project manager. Most projects - preconstruction PM
    and construction PM. Very small projects - Functional PM.
§   One for Preconstruction and a different person for construction although the Pre
    const PM carries some responsibility in certain construction issues which come up.
§   Single point project manager "cradle to project award."




                                                                                          13
                                                                                         Section 2: Project Management Practices



                                                    Project Manager Minimum Qualifications
                                                                (Note: Multiple choices allowed)


                                40


                                35
  Number of States Responding




                                30


                                25


                                20


                                15


                                10


                                 5


                                 0
                                     P.E. license    Project management     Experience type        Agency training   Other
                                                         professional                                 program
                                                          certification
                                                                     Minimum Qualifications



Q.10 What are the minimum qualifications to be a project manager? (Check all
     that apply)

                                                                                                              States
                                                                                                            Responding
                                     P.E. license                                                               20
                                     Project management professional certification                               0
                                     Experience type                                                            35
                                     Agency training program                                                     4
                                     Other                                                                       6




                                                                                                                             14
                                                     Section 2: Project Management Practices


Comments on Q.10 – Project Manager Qualifications
§   We have two levels of project manager. The highest level requires a PE. The lower
    level doesn't. Both levels require a specific level of experience in project
    development.
§   Positions and responsibilities are not currently established for positions within
    NCDOT.
§   Graduation from an accredited four-year college or university with a bachelor's
    degree in civil engineering. Registration as a Professional Engineer. Six years
    experience in the department in engineering positions, including demonstrated ability
    to manage teams and multiple projects and focus on several functional areas of
    engineering, or eight years of experience outside the department in comparable
    positions.
§   Single point project managers are professional personnel that may or may not have
    their P.E. license.
§   5 years of professional work in a public transportation environment; 2 years of which
    should be in a supervisory capacity. For State employees, professional service will
    be as defined by State Personnel. For others, professional service will be
    determined by the screening committee.
§   Engineer 4, Roadway Design Unit Head, is considered Project Manager. Engineer 3
    is the level that is qualified for P.E. license.
§   Kentucky is developing a Project Manager Academy for our project managers.
§   Requires a Bachelor's of Science degree and 5 years civil engineering experience
    post Professional Engineering registration.
§   Requirements are demonstrated experience based on competencies. Desire formal
    training and certification in PM.
§   Professional Engineer strongly desired (all current project managers are PEs).
§   Normally PMs are licensed engineers, but we have a few planners and some
    landscape architects who function as project managers on landscaping projects.
§   Depends on what aspect of the project is being managed.
§   Experience and job title in production engineering area.
§   We really have no minimum qualifications other than experience and ability to lead.




                                                                                         15
                                           Section 2: Project Management Practices


Q.11 Has your agency adopted the Project Management Institute's Project
     Management Body Of Knowledge (PMBOK) training as your agency's guide
     for developing project workflow and management?

                                States      Percentage
                              Responding
                     Yes           7              16%
                     No           38              84%




Q.12 Do you use a preconstruction project team?

                                States       Percentage
                              Responding
                    Yes           34              74%
                    No            12              26%




                                                                               16
                                                                                             Section 2: Project Management Practices



                                                           Project Team Member Assembly
                                                                    (Note: Multiple choices allowed)
      Number of States Responding   25




                                    20




                                    15




                                    10




                                    5




                                    0
                                          Functional team Functional team     Functional team     Project teams          Other
                                             members           members           members        stay together and
                                            assigned by    assigned by work   assigned by skill are assigned new
                                         geographic region     load and           sets and         projects as
                                                              availability      competency          necessary
                                                                                   levels
                                                                              Assembly Type


Q.13 How do you assemble the project team resources from the different
     functional areas (Roadway, Bridge, Land Acquisition, etc.) as needed to
     address the requirements of a specific project? (Check all that apply)

                                                                                                            States
                                                                                                          Responding
                                            Functional team members assigned by                               16
                                            geographic region
                                            Functional team members assigned by                                     22
                                            work load and availability
                                            Functional team members assigned by                                     16
                                            skill sets and competency levels
                                            Project teams stay together and are                                     2
                                            assigned new projects as necessary
                                            Other                                                                   6




                                                                                                                                 17
                                                     Section 2: Project Management Practices


Comments on Q.13 – Project Team Assembly
§   On a project-by-project basis, team members may be added based upon skill sets.
§   We have fixed multidisciplinary teams that are responsible for all projects in their
    assigned geographic region.
§   Resource Managers assign their staff to serve on project teams.
§   Only selected projects are assigned preconstruction project teams.
§   Project managers work with functional area supervisors to identify project team
    members
§   Not usually formally assembled.
§   Team members assigned by functional areas.
§   New team assembled for each project. Primary criteria are skills/competencies.
    Some tasks necessitate geographic assignment.
§   We use a combination of functional members by region with supplemental staff for
    specific functions – bridges, lighting, and environmental issues.
§   I would call them loosely knit teams with functional experts called in as needed for
    specific phases or issues. We don't have enough staff to dedicate people to teams
    exclusively.
§   We use workload and availability to balance work between teams.
§   It's a pretty loose "team” since they are really located in various offices and
    communicate only when necessary.




Q.14 Do project teams stay together for the life of the project?

                                       States          Percentage
                                     Responding
                          Yes             27               60%
                          No              18               40%




                                                                                           18
                                                                                                                                        Section 2: Project Management Practices




                                                       Assignment of Project Managers

                      20

                      18

                      16
   Number of States




                      14

                      12

                      10

                       8

                       6

                       4

                       2

                       0




                                                                                                                                                            PS&E Submittal
                                                                   Programming




                                                                                                                                                                                   Construction
                             Identification of Needs




                                                                                 Environmental Process




                                                                                                                                             Final Design
                                                        Scoping




                                                                                                           Right of Way and Utilities
                                                                                 Initial Engineering and




                                                                  Project Development Phase


Q.15 At the beginning of which phase of project development are project
     managers assigned? (Choose one)

                                                                                                                                  States                    Percentage
                           Identification of Needs                                                                                      8                                    17%
                           Scoping                                                                                                      19                                   41%
                           Programming                                                                                                  1                                     2%
                           Initial Engineering and                                                                                      18                                   39%
                           Environmental Process
                           Right of Way and Utilities                                                                                    0                                   0%
                           Final Design                                                                                                  0                                   0%
                           PS&E Submittal                                                                                                0                                   0%
                           Construction                                                                                                  0                                   0%

                                              Note: If there are multiple managers during the life of a project,
                                              this is the point at which the first project manager is assigned..




                                                                                                                                                                                                  19
                                                    Section 2: Project Management Practices


Q.16 Do you have any issues, concerns and/or additional comments related to
     the topic of Project Management Practices?
§   With our phase project manager style, different project managers are assigned for
    the construction phase.
§   We will be increasing the involvement of the project manager and the fixed teams in
    the identification of needs and scoping over the next year.
§   We are in the process of separating scoping teams from project development. We
    are in trial phase currently.
§   Project Management Practices have not been initiated at this time. Tentatively
    scheduled for Fall 2003.
§   Project management teams are active until the project is let to contract.
§   Project Managers are not well defined, trained, or supported.
§   Kentucky is now asking project managers to manage all project aspects, not just the
    design.
§   PM authority commensurate with responsibility is a constant issue. Roles and
    responsibilities of PM's and functional managers are not consistent throughout.
§   We don't use the same project manager for all phases of project development like in
    question 15.
§   Relative to question 11, we don't have a specific methodology other than CPM
    scheduling and definitions and rules for activities. We do extensive training in
    Project Management and support a common set of tools.
§   WYDOT doesn't use formal project management but the same people from
    functional areas work together during the preconstruction phase on a project.
§   Teams stay together for Pre-construction engineering. Not true for cradle to grave
    (completed construction).
§   We are hoping to improve our practices in the next year with new scheduling
    software and organization tweaking.




                                                                                         20
                                                                           Section 3: Preconstruction Scheduling and Authority



                                      Section 3: Preconstruction Scheduling and Authority


                                Average Preconstruction Life Span (Concept to Contract) for
                                         Categorical Exclusions, by Project Cost

                                      25

                                                                                                   Less than $1 million
                                                                                                   $1 - $5 million
        Number of States Responding




                                      20
                                                                                                   $5 - $20 million
                                                                                                   $20 - $50 million
                                      15                                                           More than $50 million




                                      10




                                       5




                                       0
                                           9-12 months   12-24 months 24-36 months 36-60 months 60-72 months More than 72
                                                                                                               months
                                                                                  Time



 Q.17a What is the average Preconstruction life span (concept to contract, in
       months) of your multi-component projects (scoping, NEPA, survey,
       roadway, bridge, safety, lighting, signalization, construction, traffic
       control, land acquisition, etc.) based on construction value, for
       Categorical Exclusions (CEs)?


                                                                                                                                 More
Project                                                      9-12          12-24          24-36       36-60             60-72
                                                                                                                                than 72
Construction Value                                          months        months         months      months            months
                                                                                                                                months

Less than $1 million                                           22            13            4             2                 1      0
$1 - $5 million                                                9             13            12            7                 2      0
$5 - $20 million                                               6             7             11           10                 6      0
$20 - $50 million                                              3             6             6            10                 8      1
More than $50 million                                          1             4             3            10                 8      5




                                                                                                                                  21
                                                                          Section 3: Preconstruction Scheduling and Authority



                                    Average Preconstruction Life Span (Concept to Contract) for
                                          Environmental Assessments, by Project Cost
                                    18
                                                Less than $1 million

                                    16          $1 - $5 million
                                                $5 - $20 million
      Number of States Responding




                                    14          $20 - $50 million
                                                More than $50 million
                                    12


                                    10


                                    8


                                    6


                                    4


                                    2


                                    0
                                         9-12 months   12-24 months 24-36 months 36-60 months 60-72 months More than 72
                                                                                                             months
                                                                                Time



Q.17b What is the average Preconstruction life span (concept to contract, in
      months) of your multi-component projects (scoping, NEPA, survey,
      roadway, bridge, safety, lighting, signalization, construction, traffic
      control, land acquisition, etc.) based on construction value, for
      Environmental Assessments (EAs)?


                                                                                                                           More
Project                                                     9-12         12-24          24-36       36-60         60-72
                                                                                                                          than 72
Construction Value                                         months       months         months      months        months
                                                                                                                          months
Less than $1 million                                              7        9             11            4             1      0
$1 - $5 million                                                   3        10            10           12             2      0
$5 - $20 million                                                  2        4             11           16             6      0
$20 - $50 million                                                 0        4             4            17             8      3
More than $50 million                                             0        1             5            12            12      4




                                                                                                                            22
                                                                     Section 3: Preconstruction Scheduling and Authority




                                Average Preconstruction Life Span (Concept to Contract) for
                                    Environmental Impact Statements, by Project Cost

                                16
                                           Less than $1 million
                                14         $1 - $5 million
  Number of States Responding




                                           $5 - $20 million
                                12
                                           $20 - $50 million

                                10         More than $50 million


                                8


                                6


                                4


                                2


                                0
                                     9-12 months 12-24 months 24-36 months 36-60 months 60-72 months More than 72
                                                                                                       months
                                                                          Time



Q.17c What is the average Preconstruction life span (concept to contract, in
      months) of your multi-component projects (scoping, NEPA, survey,
      roadway, bridge, safety, lighting, signalization, construction, traffic
      control, land acquisition, etc.) based on construction value, for
      Environmental Impact Statements (EISs)?


                                                                                                                     More
 Project                                                  9-12      12-24         24-36      36-60        60-72
                                                                                                                    than 72
 Construction Value                                      months    months        months     months       months
                                                                                                                    months

 Less than $1 million                                          5      2            8            7            3        0
 $1 - $5 million                                               2      2            9            8            7        0
 $5 - $20 million                                              1      1            5           15            8        2
 $20 - $50 million                                             0      2            1           11           13        8
 More than $50 million                                         0      0            2            6           12        14




                                                                                                                       23
                                                                                    Section 3: Preconstruction Scheduling and Authority



                                                          Project Schedule Approval Authority
                                                                       (Note: Multiple choices allowed)

                              30
Number of States Responding




                              25



                              20



                              15



                              10



                              5



                              0
                                   Commission or Agency Head           Senior       Preconstruction    Project         Multi-      Other
                                   other Oversight   (Director,     Management Management             Manager(s)    disciplinary
                                       Board       Commissioner, Individual or       Individual or                 Project Team
                                                   Secretary, etc.) Team (Chief         Team
                                                                    Engineer, etc.)
                                                                                Level of Approval


Q.18 Who establishes and/or approves the project schedule? (Check all that
     apply)

                                                                                                                   States
                                                 Commission or other Oversight Board                                  5
                                                 Agency Head (Director, Commissioner,                                11
                                                 Secretary, etc.)
                                                 Senior Management Individual or Team                                 26
                                                 (Chief Engineer, Chief Financial Officer,
                                                 etc.)
                                                 Preconstruction Management Individual                                19
                                                 or Team
                                                 Project Manager(s)                                                   23
                                                 Multi-disciplinary Project Team                                      10
                                                 Other                                                                 8




                                                                                                                                           24
                                          Section 3: Preconstruction Scheduling and Authority


Comments on Q.18 – Project Schedule Approval Authority
§   Milestone Review Committee.
§   District Engineer.
§   The Project Manager and the Project Team establish the project schedule in most
    cases. The Commission ultimately approves the Right-of-Way and Construction
    Program.
§   Our Project Scheduling System and staff build the project schedule based upon
    project scope. Schedule is delivered for review to the Unit Head (PM) in Roadway
    Design.
§   State Legislators.
§   Schedules are developed by the team and PM with approval by senior management
    to meet the program commitments established by Transportation Board.
§   The funding program and project selection is completed by the Commonwealth
    Transportation Board for Interstate, Primary, and Urban projects, as well as specially
    funded projects. Secondary Road projects are selected by the County Boards of
    Supervisors in consultation with Virginia DOT. The project tasks are scheduled by
    the PM and project team and approved by senior management.
§   District Engineer.
§   The Commission approves the five-year Statewide Transportation Improvement
    Program (STIP), which details fiscal years (FY) for PE, RW, and Construction.
    Management has the ability to make adjustments to schedule within the FY.
    Movement of projects from one FY to another FY, deletion/addition of projects, and
    financial revisions/adjustments during a particular FY are sent to the FHWA by the
    State Highway Engineer for approval.
§   District staff managers, typically with input of project manager and other functional
    units who have to do work.
§   Program managers.




                                                                                            25
                                                                                    Section 3: Preconstruction Scheduling and Authority



                                              Authority to Approve Changes in Project Schedule,
                                                              Budget, or Scope
                                                                       (Note: Multiple choices allowed)
                              40
Number of States Responding




                              35


                              30


                              25


                              20


                              15


                              10


                               5


                               0
                                   Commission or Agency Head           Senior       Preconstruction    Project         Multi-      Other
                                   other Oversight   (Director,      Management      Management       Manager(s)    disciplinary
                                       Board       Commissioner, Individual or       Individual or                 Project Team
                                                   Secretary, etc.) Team (Chief         Team
                                                                    Engineer, etc.)
                                                                                Level of Approval


Q.19 Who has the authority to approve an adjustment to a project’s schedule/
     budget/scope during the Preconstruction project development process?
     (Check all that apply)

                                                                                                                     States
                                              Commission or other Oversight Board                                       8
                                              Agency Head (Director, Commissioner,                                     20
                                              Secretary, etc.)
                                              Senior Management Individual or Team                                      35
                                              (Chief Engineer, Chief Financial Officer, etc.)
                                              Preconstruction Management Individual or                                  13
                                              Team
                                              Project Manager(s)                                                        15
                                              Multi-disciplinary Project Team                                            2
                                              Other                                                                      5




                                                                                                                                           26
                                          Section 3: Preconstruction Scheduling and Authority


Comments on Q.19 – Approval of Changes in Schedule, Budget, or Scope
§   Milestone Review Committee.
§   Depends on the dollar amount of change. Project Manager can make changes up to
    $50K within their portfolio of projects, $50K-150K is Program Manager, >150K is
    Senior Management.
§   Committee comprised of senior management from throughout the Department
    including planning, finance, project development, construction, traffic, and operations
    and maintenance.
§   The Project Manager has the ability to adjust intermediate milestones while Senior
    Management must approve major schedule changes involving
§   Size of adjustment is delegated accordingly.
§   State Legislators.
§   Changes in project schedule to advertise for bids in another Fiscal Year require
    approval of the Transportation Board
§   Changes in project scope, budget, and schedule are recommended by senior District
    level management and then approved by Chief Engineer for Project Development
    and Chief Financial Officer.
§   District management for moving letting dates; project manager and functional unit
    supervisors for interim dates.




Q.20 Do you have any issues, concerns, and/or additional comments related to
     the topic of Project Development Process?
§   Streamlining the overall process must be a strategic focus.
§   We struggle with a good review of our project schedules to determine their
    adequacy.
§   Assigning and assessing accountability for project development is a significant need.
§   We are wrapping up a consultant study of Best Project Management Practices,
    comparing our process to Benchmark Practices.
§   We are in transition from a sequential project development process to a concurrent
    project development process.
§   It requires lots of communication and coordination as the project evolves. We have
    regular monthly program review meetings in districts and meetings 3 times per year
    in central office where CO functional groups attend.




                                                                                          27
                                                                                                                                          Section 4: Computer System Software



                                                                       Section 4: Computer System Software

   Q.21 Is your preconstruction project development process integrated into
        your project management system?

                                                                                                          States                       Percentage
                                                                                                        Responding
                                                                            Yes                                 29                                     64%
                                                                            No                                  16                                     36%



                                                               Project Phases Tracked in Management System
                                         40
   Number of States Tracking the Phase




                                         35


                                         30


                                         25


                                         20


                                         15


                                         10


                                         5


                                         0
                                                                                                                                        Right-of-way




                                                                                                                                                                                                 Other
                                                                                                                                                                     PS&E
                                                                                                           Location



                                                                                                                           Design
                                              Planning



                                                         Programming




                                                                                        Environmental
                                                                            Scoping




                                                                                                                                                         Utilities




                                                                                                                                                                              Construction




                                                                                                                      Project Phase

Q.22 Are the following project phases tracked in your management system?
     (Check all that apply)

                                                                States                Percentage                                                                     States                  Percentage
Planning                                                               20                   44%                                     Design                              38                      83%
Programming                                                            26                   57%                                     Right-of-way                        38                      83%
Scoping                                                                28                   61%                                     Utilities                           36                      78%
Environmental                                                          38                   83%                                     PS&E                                38                      83%
Location                                                               30                   65%                                     Construction                        21                      46%
                                                                                                                                    Other                                3                       7%




                                                                                                                                                                                                         28
                                                       Section 4: Computer System Software


Comments on Q.22 – Project Phases Tracked in Management System
§   Construction projects are tracked individually with the Construction Automated
    Records System (CARS).
§   Start-up 2004 to track items above. Scheduling System, SAP R3 System. Project
    Management Improvement Initiative
§   N/A – Do not use a Project Management System.
§   We are in implementation mode now to track programming through PS&E.
§   Several systems cover the various issues. There is not a single system that covers
    everything.
§   Planning studies are tracked as projects if they are corridor studies which could lead
    to projects.




                                                                                         29
                                                                                        Section 4: Computer System Software



                                                   Current Project Management System

                                   25
     Number of States Responding




                                   20




                                   15




                                   10




                                   5




                                   0

                                        Artemis   Primavera   Application    Welcom     Microsoft    Mainframe   Other
                                                               System       Open Plan    Project
                                                                     Management System



Q.23 What is your current project management system? (Check all that apply)

                                                                              States                Percentage
                                                                            Responding
                                        Artemis                                  3                     7%
                                        Primavera                               11                     24%
                                        Application System                       2                     4%
                                        Welcom Open Plan                         1                     2%
                                        Microsoft Project                       10                     22%
                                        Mainframe                               13                     28%
                                        Other                                   21                     46%




                                                                                                                         30
                                                     Section 4: Computer System Software


Comments on Q.23 – Current Project Management System
§   Microsoft Project on a case by case basis.
§   Currently working on implementing a scheduling system (OPX-2).
§   We continue to use an older system, PPMS, which was locally developed, chiefly for
    the financial portion.
§   We use project Scheduler 8 for project scheduling and have an in-house designed
    system for project tracking.
§   ePM, developed by UDOT. It is geared towards program management and less
    toward project management.
§   Department/consultant developed proprietary software.
§   We are working toward implementing Primavera.
§   Bar chart Programs – Project Activity & Workdays Scheduler (PAWS), Engineering
    Technology Systems, NCDOT (1999) Visual Basic 6.0 and Oracle 8.04, this tool
    tracks the man days required and schedule events for projects.
§   Other systems include the Engineering & Construction Management System
    (ECMS) and the Multi-modal Project Management System (MPMS).
§   MoDOT uses a web-based program that was written in house to track project
    milestones. The Project Managers have Microsoft Project as a tool to develop their
    individual project schedules.
§   All projects are tracked through an internal word document that is updated on a
    weekly basis. On selected high profile projects, a project manager develops a
    schedule with Microsoft Project.
§   Customized web-based system that uses Primavera (P3E) as the scheduling tool.
§   Oracle data base system – developed in-house.
§   Primavera's activity scheduling software is supplemented by several database
    applications.
§   Our system is made up of a number of databases to track and report on individual
    projects.
§   Sciforma(sp) PS8.
§   The official system is Program/Project Management System – an old mainframe
    system. In addition, many PM's use Microsoft Project to actually manage projects.
§   We use Primavera and Microsoft Project for some project construction schedules
    and several mainframe and PC based systems to track various other portions of the
    project development phases.
§   SCDOT implemented the Preconstruction Project Management System (PPMS) in
    1985. SCDOT is currently in the process of moving towards utilization of Primavera
    while retaining various aspects of PPMS.
§   Custom system with ARTEMIS Project View and Centura Developer.



                                                                                        31
                                                       Section 4: Computer System Software


§   Schedules are built in Project and a Custom Database is utilized for what-ifs,
    Program Management and Project Status updating and tracking.
§   Software designed in house (ELLIS).
§   Stored on mainframe and combined with programming, financial, and other legacy
    systems for reporting.
§   We've developed Project Scheduling Software in-house using an Oracle database.
    Microsoft Project is part of the system.




Q.24 Does your project management system perform project development
     process what-ifs and multiple scheduling/budgeting scenarios?

                                    States            Percentage
                                  Responding
                        Yes             14                33%
                        No              28                67%




Q.25 How long has your project management system been in place?

                                               States           Percentage
                                             Responding
               Less than 2 years                 9                 21%
               2 - 5 years                       8                 19%
               More than 5 years                 25                60%




                                                                                       32
                                                                                  Section 4: Computer System Software


Q.26 If you are planning to select another project management system, what
     system would it be?

        System                                                           Why?
        Primavera                                                        To consolidate project
                                                                         management and tracking.
        Primavera                                                        As a component of an ERP.
        Custom (Xybernaut)                                               Previously running on old/limited
                                                                         system and desire to integrate.
        SAP R3 (PMii)                                                    For full program cradle to grave
                                                                         management.
        Enhanced with in-house                                           To meet user specific needs.
        We intend to put out an RFP                                      We need a better system.
        RFI to 5 firms in May 2003                                       Need more flexibility at desktop
                                                                         and better user interaction.
        Under review                                                     Problems with current system,
                                                                         not user friendly.
        Unknown at this time                                             PPMS is inadequate.




                                                                           Project Management System Architecture
                                                                    30
Q.27 What is your current
     project management
     system architecture?                                           25
                                      Number of States Responding




                                                                    20


                      States
                    Responding                                      15


Mainframe               17
Client-server           24                                          10


PC Stand alone           6
                                                                    5




                                                                    0

                                                                            Mainframe         Client-server     PC Stand alone
                                                                                         Type of Architecture




                                                                                                                          33
                                                                                    Section 4: Computer System Software



                                             Technical Support Responsibility for
                                                Project Management System
                          40




                          35




                          30
       Number of States




                          25




                          20




                          15




                          10




                          5




                          0

                               Transportation Agency Other State Agency     Private Sector       Other
                                                              Responsible Entity




Q.28 Who is responsible for the project management system (technical support,
     software, updates, etc.)?

                                                                            States           Percentage
                                                                          Responding
                                  Transportation Agency                       38                83%
                                  Other State Agency                          0                  0%
                                  Private Sector                              6                 13%
                                  Other                                       2                  4%




Comments on Q.28 – Responsibility for Project Management System
§   Updates and technical support as provided by software licenses
§   Ongoing support contract with Primavera's reseller/vendor.




                                                                                                                    34
                                                                                 Section 4: Computer System Software



                             Reporting Capabilities of the Project Management System
                                                    (Note: Multiple choices allowed)
                        40



                        35



                        30
     Number of States




                        25



                        20



                        15



                        10



                        5



                        0

                              Standard reports   Customized reports   On-line Intranet (within   On-line Internet
                                                   (user defined)     Transportation Agency)
                                                              Capabilities



Q.29 What reporting capabilities exist in your project management system?
     (Check all that apply)

                                                                              States             Percentage
                                                                            Responding
                         Standard reports                                       36                    78%
                         Customized reports (user defined)                      31                    67%
                         On-line Intranet (within                               21                    46%
                         Transportation Agency)
                         On-line Internet                                              4               9%




                                                                                                                    35
                                                                                             Section 4: Computer System Software



                                  Intergrated Features of the Project Management System
                                                          (Note: Multiple choices allowed)

                   25




                   20
Number of States




                   15




                   10




                   5




                   0
                         Time      Personnel Estimated   Actual      Project Personal         Choice   GIS     CADD   Other
                        Keeping               Project    Project     History Calendars
                                               Costs     Costs     (changes)
                                                                         Feature



   Q.30 Is your project management system integrated with (check all that apply):

                                                                                 States                Percentage
                                                                               Responding
                                  Time Keeping                                     9                         20%
                                  Personnel                                        5                         11%
                                  Estimated Project Costs                          23                        50%
                                  Actual Project Costs                             20                        44%
                                  Project History (changes)                        22                        48%
                                  Personal Calendars                               1                          2%
                                  Choice                                           1                          2%
                                  GIS                                              1                          2%
                                  CADD                                             1                          2%
                                  Other                                            6                         13%




                                                                                                                              36
                                                       Section 4: Computer System Software


Comments on Q.30 – Integrated Features
§   Our system is a stand alone scheduling mainframe system, which is not integrated
    with other elements.
§   It is integrated with "Projex," our name for a reporting/database software originally
    developed at NYDOT.
§   Internal system written in Microsoft Access
§   New system will integrate most aspects.
§   Our future plans will integrate GIS & CADD and many other applications.
§   SCDOT is currently in a transition period. Eventually, we will be able to check all of
    the above.
§   Planning for a cultural resource system, state aid system, and TIS interface. Also,
    Pavement Management System.
§   The system is primarily utilized to establish and track individual project schedules.
§   We are just implementing automated time sheets in the next two years. Time
    keeping has been manual entry up until now. So far linked to time keeping in
    reporting only.
§   Time keeping and GIS will be added soon.




                                                                                            37
                                               Section 4: Computer System Software



                     Requirements for Consultants to use Agency's
                   Project Management Software or Reporting System


       Agency software is
        web enabled or
         utilizes a web                                   Same software as
            interface                                         agency
                0%                                             15%




              Not required
                  73%
                                                            Compatible with
                                                            agency software
                                                                 12%




Q.31 Are your consultants required to use your agency's project management
     software or system for status reporting?

                                            Number of        Percentage
                                             States
     Same software as agency                   6                 15%
     Compatible with agency software           5                 12%
     Agency software is web enabled or         0                 0%
     utilizes a web interface
     Not required                              30                73%




                                                                               38
                                                      Section 4: Computer System Software


Q.32 Are there any other issues, areas of concerns, or information you have for
     Transportation Agency computer systems?
§   We are looking to review these issues in the near future.
§   We are concerned that all computer systems have Central State control by another
    agency.
§   Primavera system has not been user friendly to the State.
§   We know that the system does not do everything we need and are in the process of
    upgrading.
§   We are investigating using a scheduling component such as Xybernaut or Primavera
    to integrate with the Oracle preconstruction system. We also need to integrate the
    Construction system with the Preconstruction system.
§   We require consultants to complete activities on schedule but we control the
    schedule.
§   Our consultants are furnished hard copies of the project schedules and report
    progress to the consultant monitoring squad which enters it.




                                                                                      39
                                                                                                                                                                                     Section 5: Streamlining



                                                                                    Section 5: Streamlining

                                                  Typical Delays in Preconstruction, by Activity
                                  30
                                                                                                                                                                                                   Major Delays
                                                                                                                                                                                                   Some Delays
                                  25
    Number of States Responding




                                                                                                                                                                                                   No Delays

                                  20



                                  15



                                  10



                                   5



                                   0




                                                                                                                                                                                               Other
                                                                                                              Permits and


                                                                                                                            Survey
                                                                                              Bridge Design
                                       Planning




                                                                                Road Design




                                                                                                                                                                                  Utilities
                                                                                                              Agreements




                                                                                                                                     Geotech
                                                   Management

                                                                Environmental




                                                                                                                                                                    Compilation
                                                                                                                                                 Land Acquisition
                                                     Project




                                                                                                                                                                      PS&E


                                                                                                                 Activity


Q.33 What are the preconstruction areas or activities that typically cause the
     most delays in the project schedule?

                                                                                                        Major Delays                           Some Delays                                    No Delays
           Planning                                                                                           5                                    22                                            17
           Project Management                                                                                 0                                    22                                            21
           Environmental                                                                                     26                                    16                                             2
           Road Design                                                                                        2                                    24                                            18
           Bridge Design                                                                                      2                                    21                                            21
           Permits and Agreements                                                                            26                                    17                                             2
           Survey                                                                                             2                                    18                                            23
           Geotech                                                                                            2                                    25                                            18
           Land Acquisition                                                                                  22                                    23                                             0
           PS&E Compilation                                                                                   1                                    19                                            23
           Utilities                                                                                         20                                    24                                             1
           Other                                                                                              3                                     5                                             2




                                                                                                                                                                                                                  40
                                                                                                                                                                          Section 5: Streamlining




                                                        Bottlenecks or Delays in Preconstruction
                                 30
                                                                                                                                                                                       Strongly Agree
   Number of States Responding




                                                                                                                                                                                       Agree
                                 25
                                                                                                                                                                                       No Effect

                                 20



                                 15



                                 10



                                  5



                                  0
                                                                                                                                    Regulatory /




                                                                                                                                                   Coordination /
                                                                                                                    Procurement




                                                                                                                                                                     Stakeholder



                                                                                                                                                                                   Other
                                                                           Lack of Training or
                                      Staffing Levels



                                                           Technological




                                                                                                 High Personnel


                                                                                                                    Contractual /
                                                                                                 Turnover Rate




                                                                                                                                    Limitations



                                                                                                                                                    Cooperation
                                                                                                                     Difficulties


                                                                                                                                     Statutory




                                                                                                                                                                       Interest
                                                                                                                                                     External
                                                                               Expertise




                                                                                                 Reason for Delays


Q.34 The following factors are considered bottlenecks or delays in our state’s
     preconstruction engineering program:

                                                                                                                  Strongly Agree                              Agree                        No Effect
Staffing Levels                                                                                                         19                                     22                              4
Technological                                                                                                            1                                     15                             28
Lack of Training or Expertise                                                                                            5                                     29                             10
High Personnel Turnover Rate                                                                                             7                                     21                             16
Contractual / Procurement                                                                                                2                                     24                             18
Difficulties
Regulatory / Statutory Limitations                                                                                          21                                      14                        9
External Coordination /                                                                                                     22                                      23                        0
Cooperation
Stakeholder Interest                                                                                                        11                                      29                        4
Other                                                                                                                        1                                       6                        2




                                                                                                                                                                                                       41
                                                            Section 5: Streamlining


Q.35 Do you have a streamlining or fast tracking process?

                                 States       Percentage
                               Responding
                     Yes            22            50%
                     No             22            50%




                                                                                42
                                                                                                                                                                  Section 5: Streamlining




                           Business Process Improvements Being Implemented

                      35


                      30
  States Responding




                      25


                      20


                      15


                      10


                      5


                      0
                                                   Assets Management




                                                                       Management




                                                                                                                               Management




                                                                                                                                                                    Other
                              Strategic Planning




                                                                                                         Planning/Enterprise
                                                                                       Financial/Funds




                                                                                                         Resource Planning




                                                                                                                                            Project Management
                                                                                        Management
                                                                        Document




                                                                                                                                Schedule
                                                                                                            Agency-wide
                                                                                                             Resource




                                                                                    Business Process


Q.36 What ongoing or continuing business process improvements are you
     implementing? (Check all that apply)

                                                                                                                            States                               Percentage
                                                                                                                          Responding
                            Strategic Planning                                                                                29                                    63%
                            Assets Management                                                                                 26                                    57%
                            Document Management                                                                               27                                    59%
                            Financial/Funds Management                                                                        22                                    48%
                            Agency-wide Resource                                                                              15                                    33%
                            Planning/ Enterprise Resource
                            Planning
                            Schedule Management                                                                                      31                             67%
                            Project Management                                                                                       32                             70%
                            Other                                                                                                    2                              4%




                                                                                                                                                                                      43
                                                                     Section 5: Streamlining


Comments on Q.36 – Business Process Improvements
§   Project Management is being improved (hopefully) with the recent implementation of
    Artemis.
§   Estimating.
§   Ecosystem Enhancement Program (EEP) New Vision for Permits and Mitigation.
    Comprehensive Ecosystem Approach, Watershed Basis, Functional Replacement of
    Impacts.
§   Kentucky is currently working to combine the plan development process and
    environmental process into a single procedure. This will help us manage our
    projects more effectively.
§   Just starting on resource loading of pre-construction activities. Construction
    administration activities are resource loaded.
§   ODOT has initiatives for each, most in early development and all suffering from
    budgetary constraints.
§   We are in the middle of all of these and will implement over the next 1 to 2 years.




Q.37 Do you have a defined procedure or process for documenting and sharing
     lessons learned?

                                      States          Percentage
                                    Responding
                        Yes               11             24%
                        No                34             76%




                                                                                          44
                                                                       Section 5: Streamlining


Q.38 Are there any other issues, areas of concerns, or information you have for
     the Transportation Agency Streamlining?
§   We are trying to really understand what streamlining is. Every stakeholder has a
    varying opinion or understanding of streamlining.
§   Streamlining will only happen in Transportation program delivery when Federal and
    State regulations are substantially reduced or eliminated.
§   We are working to develop an internal electronic bulletin board where we would post
    lessons learned.
§   Programming process limitations cause some delays.
§   Delays are also caused by the difficulty in shifting programs and resources to
    different projects, as needed. Many issues exist in the preconstruction process that
    warrant consideration including Threatened & Endangered Species coordination,
    404 permit coordination, Asset Management in general, Cultural Resource
    coordination (specifically related to Section 4(f) requirements), and effective use of
    Public Involvement Techniques.
§   Streamlined or fast track projects in our state are typically accomplished through
    significant staff and consultant use at the expense of other projects. We have done
    a limited number of Design/Build projects as well.
§   Project quality is often lost as streamlining usually results in less time for production
    and review.
§   Our website for streamlining is http://www.dot.state.mn.us/tecsup/pds/index.html




                                                                                            45
                                                                                       Section 6: Use of Consultants



                                               Section 6: Use of Consultants

                                      Outsourcing of Preconstruction Engineering

                                 25
                                                                                 Percentage of Total
                                                                                 Number of Projects
                                                                                 Percentage of Total
                                                                                 Construction Funding
                                 20
             States Responding




                                 15




                                 10




                                 5




                                 0
                                      Less than 25%   25% to 50%   50% to 75%   More than 75%
                                                       Range of Percentage



Q.39 What percentage of your Preconstruction Engineering is currently
     outsourced to consultants?

    Percentage of Total                               Less than       25% to            50% to          More than
    Number of Projects                                  25%            50%               75%              75%
    States                                                8             23                7                7



    Percentage of Total                               Less than        25% to           50% to          More than
    Construction Funding                                25%             50%              75%              75%
    States                                                 9             11                16               9


Example: If a state lets 200 projects and 40 of them were designed by consultants, then the
         “Percentage of Total Number of Projects” is 20%. If the total value of the construction
         program is $500 million, and consultants designed projects worth $200 million, then the
         “Percentage of Total Construction Funding” is 40%.




                                                                                                                    46
                                                                                                                                                                                                                                  Section 6: Use of Consultants



                                                                                                                               Consultant Use
                    50

                    45

                    40
States Responding




                    35

                    30

                    25

                    20

                    15

                    10

                     5

                     0
                                                                               Geometric Design


                                                                                                  Geotechnical




                                                                                                                                                 Hydraulics




                                                                                                                                                                                                         Environmental Services


                                                                                                                                                                                                                                   Bridge Inspection


                                                                                                                                                                                                                                                        Utilities Coordination
                                                Land/Ground Survey




                                                                                                                                                                                    Project Management
                                                                                                                                                              Traffic Engineering
                                                                     Scoping




                                                                                                                 Road Design




                                                                                                                                                                                                                                                                                                Program Management


                                                                                                                                                                                                                                                                                                                     Other
                                                                                                                                 Bridge Design
                         Aerial Survey and/or




                                                                                                                                                                                                                                                                                 Right-of-Way
                          Photogrammetry




                                                                                                                                                 Activity


Q.40 In which of the following activities does your department use consultant
     services? (Check all that apply)

                                                                                                                                                                                        States                                                         Percentage
                                                Aerial Survey and/or Photogrammetry                                                                                                       43                                                              94%
                                                Land/Ground Survey                                                                                                                        45                                                              98%
                                                Scoping                                                                                                                                   22                                                              48%
                                                Geometric Design                                                                                                                          43                                                              94%
                                                Geotechnical                                                                                                                              42                                                              91%
                                                Road Design                                                                                                                               45                                                              98%
                                                Bridge Design                                                                                                                             44                                                              96%
                                                Hydraulics                                                                                                                                43                                                              94%
                                                Traffic Engineering                                                                                                                       44                                                              96%
                                                Project Management                                                                                                                        20                                                              44%
                                                Environmental Services                                                                                                                    44                                                              95%
                                                Bridge Inspection                                                                                                                         29                                                              63%
                                                Utilities Coordination                                                                                                                    20                                                              44%
                                                Right-of-Way                                                                                                                              35                                                              76%
                                                Program Management                                                                                                                         6                                                              13%
                                                Other                                                                                                                                      4                                                               9%




                                                                                                                                                                                                                                                                                                                             47
                                                                          Section 6: Use of Consultants


Comments on Q.40 – Other Consultant Use
§   To prepare NEPA Documents.
§   Design Review.
§   Kentucky has utilized consultants for project management on a very limited basis.
§   Construction administration.
§   Unique areas of expertise such as tunneling.




                         Intention to Change Use of Consultants in Next 3 Years


                                30




                                25
            States Responding




                                20




                                15




                                10




                                5




                                0

                                     Increase       Decrease      No change
                                                 Type of Change



Q.41 Does your department intend to change its use of consultants over the next
     three years?

                                                      States      Percentage
                                                    Responding
                                     Increase            9            20%
                                     Decrease            6            13%
                                     No change          30            67%




                                                                                                    48
                                                                      Section 6: Use of Consultants




        Annual Expenditure for Preconstruction Consulting Services
                              12



                              10
          States Responding



                              8



                              6



                              4



                              2



                              0
                                   n
                                  n




                                  n
                                  n


                                  n




                                 n


                                 n
                             illio
                             illio




                             illio
                                 n




                                 n
                            il io


                            il io




                           illio


                          illio
                         il io




                         illio
                         M
                         M




                         M
                       0M


                       5M




                      0M


                      0M
                      1M




                     0M
                     25
                     10




                       0
                    10
                    $5


                    $7




                    15


                   20
                   n$




                   20
                   -$


                   -$




                 -$


                 -$
                 5-


                 0-




                 -$


                n$
               tha


               $1



                 0
              $1


              $2


              $5



               5


             00


             50


            ha
            $7
            ss




           $1


           $1


          et
         Le




        or
       M
                                                 Amount Expended



Q.42 Typically, what is your annual expenditure for consultant engineering
     services related to the preconstruction engineering process (design, plan
     preparation, etc.)?

                                                           States     Percentage
                                                         Responding
                              Less than $1 Million            0           0%
                              $1 - $10 Million               10           24%
                              $10 - $25 Million               5           12%
                              $25 - $50 Million              12           29%
                              $50 - $75 Million               7           17%
                              $75 - $100 Million              3           7%
                              $100 - $150 Million             0           0%
                              $150 - $200 Million             1           2%
                              More than $200 Million          4           9%




                                                                                                49
                                                                                    Section 6: Use of Consultants


   Q.43 Do you utilize on-call, indefinite delivery, or open-ended contracts to
        procure preconstruction engineering consultant services?

                                                        States             Percentage
                                                      Responding
                                          Yes                  37             82%
                                          No                    8             18%




       Use of Incentives and Disincentives for Engineering Services

                             40



                             35



                             30
         States Responding




                             25



                             20




                             15



                             10



                             5



                             0

                                  Incentive     Disincentive        Both        Neither
                                                        Type Used

Q.44 Do you utilize a financial incentive/disincentive program for engineering
services?

                                                                 States        Percentage
                                                               Responding
                                   Incentives                      0                0%
                                   Disincentives                   1                2%
                                   Both                            4                9%
                                   Neither                         39               89%




                                                                                                              50
                                                                                                  Section 6: Use of Consultants




                                       Project Managers for Consultant Contracts


                                20


                                18


                                16
            States Responding




                                14


                                12


                                10


                                8


                                6


                                4


                                2


                                0
                                     Dedicated to consultant   Manage consultant           Both
                                           contracts         contracts and in-house
                                                                    projects
                                                   How Project Managers are Utilized



Q.45 Does your department utilize on-staff project managers who are dedicated
     solely to managing consultant contracts?

                                                                                        States         Percentage
                                                                                      Responding
          Dedicated to consultant contracts                                               15               33%
          Manage consultant contracts and                                                 11               24%
          in-house projects
          Both                                                                           19                42%

Note: The term “Both” includes agencies with some project managers dedicated solely to consultant
      contracts AND some project managers who have a mix of consultant and in-house contracts.




                                                                                                                            51
                                                                              Section 6: Use of Consultants




                                 Professional Engineers for Consultant Management

                            25




                            20
        States Responding




                            15




                            10




                            5




                            0

                                     Always      Mostly        Seldom         Never
                                                    PE Requirement



Q.46 Are your department's personnel who manage consultants required to be
     professional engineers?

                                                       States           Percentage
                                                     Responding
                                        Always           10                22%
                                        Mostly           23                51%
                                        Seldom           3                  7%
                                        Never            9                 20%




                                                                                                        52
                                                                                              Section 6: Use of Consultants




                                        Performance Evaluation of Consultants
                                                    (Note: Multiple choices allowed)

                       30




                       25
   States Responding




                       20




                       15




                       10




                        5




                        0

                            At least yearly   At the completion of the     When there is a           After the mid-
                                                      contract         significant change in the   construction review
                                                                       consultant performance
                                                           Time of Evaluation


Q.47 When do you evaluate the performance of consultants? (Choose all that
     apply)

                                                                                              States
                                                                                            Responding
                               At least yearly                                                  19
                               At the completion of the contract                                28
                               When there is a significant change in                            10
                               the consultant performance
                               After the mid-construction review                                    0




                                                                                                                         53
                                                                Section 6: Use of Consultants


Q.48 Are consultant performance evaluations used in the selection process?

                                        States        Percentage
                                      Responding
                        Yes                37             82%
                        No                 8              18%




Q.49 Are there any other issues, areas of concerns, or information you have for
     transportation agency use of consultants?
§   It’s a key element that the consultants used are trained in the particular agency's
    standards, guidelines and processes.
§   We are striving to further integrate consultants’ processes with our own.
§   Our Construction personnel indicate that the quality of consultant prepared PS&Es is
    not as good as those done in-house. Cost appears to be more also although it is
    difficult to get a good overhead rate for a state agency. The amount of oversight
    required for consultants is also an issue.
§   Visit our website at www.dot2.state.pa.us.
§   Consultant performance is not measured numerically but overall past performance is
    considered in the selection process.
§   Consultants are needed for projects that exceed our capacity and functional
    expertise.
§   Accountability for consultant performance is an issue for our state.
§   Quality of consultant work and expertise is decreasing.
§   Consultants are reviewed semiannually and the scores from these evaluations are
    used in the consultant selection process.
§   Projects are sometimes handed off entirely to consultants after scoping and at other
    times accomplished with a mix of DOT and consultant resources. Recent areas of
    partnering with our consultant industry association have included: negotiation of
    Price and Profit; adequate project scoping prior to negotiations; assignment/
    recognition of consultant risk; department oversight of consultant work.




                                                                                          54
                                                                    Section 7: Performance Measures



                                       Section 7: Performance Measures

Q.50 Within your strategic management plan, are detailed performance
     measures and associated reporting responsibilities outlined?

                                                    States       Percentage
                                                  Responding
                                      Yes             29            64%
                                      No              16            36%




          Reports Generated from the Project Management System that
                         Support Performance Goals


                            25




                            20
        States Responding




                            15




                            10




                             5




                             0
                                       Yes             No           Not applicable


Q.51 Does your project management system generate specific reports to
     support known performance measures?

                                                      States         Percentage
                                                    Responding
                                 Yes                       21             47%
                                 No                        17             38%
                                 Not applicable            7              15%




                                                                                                55
                                                                                      Section 7: Performance Measures


Q.52 Does your agency compensate employees and/or consultants based on
     their measured level of performance?

                                                               States           Percentage
                                                             Responding
                                       Yes                          3                 7%
                                       No                          42                 93%




                                  Tracking of Project Related Attributes of Schedule


                             25




                             20
         States Responding




                             15




                             10




                              5




                              0
                                   Letting date only           Project phases   Detailed project activities
                                                                                      and functions
                                                       Amount of Detail in Tracking



Q.53 During the preconstruction process, in what detail does your agency track
     project related attributes of schedule?

                                                                                    States                    Percentage
                                                                                  Responding
    Total Project - Letting date only                                                  3                         7%
    Project phases (e.g., Preliminary Design,                                         23                         52%
    Final Design, PS&E Activities, Letting Date)
    Detailed project activities and functions                                             18                     41%




                                                                                                                           56
                                                                                              Section 7: Performance Measures



                                Tracking of Project Related Attributes of Budget


                           18


                           16


                           14
       States Responding




                           12


                           10


                           8


                           6


                           4


                           2


                           0
                                Total project estimated   Costs of various project   Detailed costs of individual
                                construction cost only            phases               project activities and
                                                                                              functions
                                                     Amount of Detail in Tracking




Q.54 During the preconstruction process, in what detail does your agency track
     project related attributes of budget?

                                                                                              States                Percentage
                                                                                            Responding
   Total project estimated construction cost only                                               18                     41%
   Costs of various project phases (e.g.,                                                       18                     41%
   Preliminary Design, Final Design, PS&E
   Activities)
   Detailed costs of individual project activities                                                   8                 18%
   and functions including human resource,
   contract and equipment costs




                                                                                                                                 57
                                                                                     Section 7: Performance Measures




                                Tracking of Project Related Attributes of Quality



                           35




                           30




                           25
       States Responding




                           20




                           15




                           10



                           5




                           0

                                  Subjective and informal           Formal process
                                              Amount of Detail in Tracking




Q.55 During the preconstruction process in what detail does your agency track
     project related attributes of quality?

                                                                               States             Percentage
                                                                             Responding
    Our processes for tracking other elements of                                 34                  79%
    quality are mostly subjective and informal
    We have a formal process of review in                                              9             21%
    which various elements of a quality
    preconstruction process are evaluated and
    recorded




                                                                                                                 58
                                                                         Section 7: Performance Measures




                              Attributes Used to Determine Performance Measures
                                              Regarding Schedule


                         25




                         20
     States Responding




                         15




                         10




                         5




                         0
                               Letting date only   Project phases   Detailed project activities
                                                                          and functions
                                                    Attribute



Q.56 Which of these attributes are used to determine performance measures
     regarding schedule? (Check one)

                                                                      States                  Percentage
                                                                    Responding
    Total Project - Letting date only                                       18                    41%
    Project phases (e.g., Preliminary Design,                               22                    50%
    Final Design, PS&E Activities, Letting Date)
    Detailed project activities and functions                               4                     9%




                                                                                                           59
                                                                                             Section 7: Performance Measures



                                Attributes Used to Determine Performance Measures
                                                 Regarding Budget


                           25




                           20
       States Responding




                           15




                           10




                           5




                           0
                                 Total project estimated   Costs of various project   Detailed costs of individual
                                 construction cost only            phases               project activities and
                                                                                               functions
                                                                 Attribute



Q.57 Which of these attributes are used to determine performance measures
     regarding budget? (Check one)

                                                                                              States                 Percentage
                                                                                            Responding
  Total project estimated construction cost only                                                24                      57%
  Costs of various project phases (e.g.,                                                        17                      39%
  Preliminary Design, Final Design, PS&E
  Activities)
  Detailed costs of individual project activities and                                                2                  5%
  functions including human resource, contract and
  equipment costs




                                                                                                                                  60
                                                                                   Section 7: Performance Measures




                                Attributes Used to Determine Performance Measures
                                                 Regarding Quality



                           35



                           30
       States Responding




                           25



                           20



                           15



                           10



                            5



                            0
                                   Subjective and informal               Formal process
                                                             Attribute



Q.58 Which of these attributes are used to determine performance measures
     regarding quality? (Check one)

                                                                                  States        Percentage
                                                                                Responding
    Our processes for tracking other elements of                                    33             83%
    quality are mostly subjective and informal
    We have a formal process of review in                                                 7        17%
    which various elements of a quality
    preconstruction process are evaluated and
    recorded




                                                                                                               61
                                                        Section 7: Performance Measures


Q.59 Are there any other issues, areas of concerns, or information you have for
     Transportation Agency performance measures?
§   We measure on a Program basis now, but performance measures are needed
    closer to where work is actually performed, on a project basis.
§   We are moving toward measuring intermediate phases of development and more
    specific quality measurements
§   Virginia DOT has recently implemented a project "Dashboard" which is available to
    anyone with internet access. This dashboard gives details on projects under
    development or under construction relative to budgets, deadlines and scope. The
    dashboard makes all activities transparent and available to the public. Short and
    long term goals have been established around the dashboard system.
§   MnDOT has an extensive set of Pre-construction performance measures which are
    regularly updated and revised. Many of them use information from the Project and
    Program Management System.




                                                                                        62

								
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