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Capital Project Delivery

Concept Development

Executive Summary

The Concept Development (CD) Phase may begin with a Problem Statement (Form TP-1) approved by the Capital Program Committee (CPC) and provided to the Division of Project Management (DPM). The Problem Statement may be validated, redefined, or in some cases invalidated, and in which case, the project may not advance further.

The CD Phase involves drafting a well-defined and well-justified Purpose and Need Statement focusing on the primary transportation need to be addressed. CD Phase elements include, but are not limited to, data collection, coordination with New Jersey Department of Transportation (NJDOT) Subject Matter Experts/local stakeholders, development of a reasonable number of sensible and practical conceptual alternatives and investigation of all aspects of a project. These aspects may include environmental, right of way, access, utilities, design, community involvement, and constructability.

Note: Studies meeting the requirements of Limited Scope will include a subset of the CD Phase elements listed above.

Data collection may include, but is not limited to NJDOT management systems data (e.g., Safety Management System, Bridge Management System, etc.), traffic/crash data, “as-built” plans, environmental screening, review of any concurrent/adjacent projects and other relevant data that would or would not substantiate the project need. Collected data is analyzed and compared to established criteria and standards. Deviations from or deficiencies with criteria are documented and serve as a base for alternatives development.

During the CD Phase, DPM initiates or continues the coordination with internal/external stakeholders, who through their technical expertise or local knowledge of the project area/problem, help analyze and interpret the collected data that can help to clarify the project needs.

A primary task of stakeholders, is to develop “conceptual alternatives” in line with their requirements/guidelines and ranking criteria. Stakeholders are also responsible for identifying possible fatal flaws and selecting the Preliminary Preferred Alternative (PPA) based on the Purpose and Need Statement. These alternatives and the PPA are analyzed based on the impacts to right of way, the environment, utilities, and the community. Generally, survey/mapping will not be performed during CD, but will be included under the Preliminary Engineering (PE) Phase.

Objective(s)

The major objectives of the CD Phase are to identify and compare reasonable alternatives and strategies that address the Purpose and Need Statement and select a PPA.

The CD Phase will provide the information to determine whether or not the study can be advanced to the next phase of the Project Delivery Process and to procure a designer to take the potential project through PE, Final Design (FD) and Construction (CON). The CD Phase provides the framework for advancing the project into the PE phase.

Funding

Funding for the CD Phase is generally provided through State Task Order Term Agreements and may involve a federal funding source.

Key Stakeholders

Coordination with Key Stakeholders is as critical in the CD Phase as it is in all other phases. Key internal stakeholders include NJDOT Subject Matter Experts (SME). Key external stakeholders include the affected municipalities, counties and others impacted by the project.

DPM conducts meetings with the external stakeholders to solicit input and brief the officials on the project status. It is essential to start the discussion with the local officials as early as possible in the CD Phase. As the study advances, more meetings should regularly take place to update all the stakeholders and keep them involved in the development of conceptual alternatives.

Meetings with the internal stakeholders or SMEs are called Scope Team/Core Group Meetings. These meetings will introduce the project to the SMEs, obtain information from the various SME groups and start to address concerns from all disciplines. Once the affected disciplines are identified, a Core Group will be formed and members will hear concerns from other disciplines and may recognize that solving one problem may adversely affect another. The goal of the Core Group members is to consider all input and reach a consensus on the project scope and the PPA.

Conducting scope team/core group meetings is a team effort. It is critical that all members thoroughly evaluate a project and participate in the CD process.

The following list includes, but is not limited to, possible stakeholders:

Internal Stakeholders (SME)

Division of Project Management
Division of Community and Constituent Relations
Bureau of Structural Engineering
Bureau of Traffic and Signal Safety Engineering
Bureau of Traffic Engineering and Investigations
Bureau of Safety Programs
Value Solutions Unit
Value Engineering Unit
Bureau of Quality Management Services
Office of Schedule and Budget Management
Bureau of Landscape Architecture and Environmental Solutions
Office of Stormwater/Stream Encroachment
Division of Bridge Engineering and Infrastructure Management
Division of Highway and Traffic Design
Bureau of Access Design and Right of Way (ROW) Engineering
Office of Geotechnical Engineering
Drainage and Pavement Management
Regional Maintenance Operations
Utility Management Unit
Bureau of Regional Design and Surveying Services
Bureau of Traffic Operations
Intelligent Transportation Systems (ITS)
Office of Constructability Review
Bureau of Commuter and Mobility Strategies (Bicycle and Pedestrian Unit)

External Stakeholders:

Federal Highway Administration (FHWA)
NJ Department of Environmental Protection
State Historic Preservation Office (SHPO)
Metropolitan Planning Organization (MPO)
NJ TRANSIT
Meadowlands Commission
Pinelands Commission
Highlands Council
D&R Canal Commission
Delaware River Joint Toll Bridge Commission
Other Authorities (NJ Turnpike Authority, South Jersey Transportation Authority, etc.)
Delaware River Port Authority
NJ Water Supply Authority
US Coast Guard
US Army Corps of Engineers
National Weather Service, National Oceanic and Atmospheric Administration
Business groups
Utility companies
Local Officials
Elected Officials
Affected residents

Phase Initiation

To initiate the CD Phase, the following activities should be completed:

Problem Statement identification in the Study and Development Program (description, location, initial problem statement)
Tier 2 Screening Report completion
CPC approval to advance to CD

Major Tasks

The major tasks associated with the CD Phase are summarized below:

Secure task order consultant
Develop CD schedule and budget
Identify potential funding source for Preliminary Engineering/Final Design/Construction
Coordinate with the Environmental Team Leader to develop the CD Scope Statement
Perform data collection: traffic/crash data, management systems, utility identification (letter #1), etc.
Determine project type
Develop a Project Management Plan
Complete Environmental Screening. Initiate early coordination with SHPO, if appropriate
Prepare Community Profile
Prepare CD Public Involvement Action Plan (PIAP)
Hold Core Group/FHWA meeting: Identify NJDOT SMEs (internal stakeholders or scope team members), coordinate and meet with them to address the Purpose and Need with respect to safety, capacity, operational improvements, environment and community.
Hold Local Officials Meeting: Identify and meet with local officials (external stakeholders) to address the Purpose and Need with respect to safety, capacity, operational improvements, environment and community.
Perform analysis of collected data, review data, prepare collision diagram, and other needed engineering analysis.
Identify Substandard Design Elements
Verify existing problem statement
Complete CD Checklist for Pavement Resurfacing or Bridge Deck/Superstructure Replacement (Limited Scope Studies only)
Perform Alternatives Development/Identify alternatives
Evaluate conceptual alternatives
Assess impacts to ROW, access, utilities and environment (Use Alternative Comparison Matrix)
Identify fatal flaws and deficiencies
Meet again with core group and local public officials to develop alternatives
Identify environmental constraints
Identify other project constraints
Develop Conceptual Plans for Preliminary Preferred Alternative (PPA)
Conduct constructability review of PPA (effort will vary depending on project)
Confirm the environmental document that will be obtained in PE
Develop Construction Cost Estimates of various alternatives
Determine if design exception(s) may be needed and obtain reasonable assurance of approval
Develop PE Scope Statement
Prepare CD Report
Obtain Resolution of Support document

Efforts to monitor and control the project’s development during the CD Phase include:

Establishing and updating the project’s Design Communications Report
Providing project background information, progress reports, and important issues and items in NJDOT’s Project Reporting System (PRS)
Establishing, tracking and updating the project’s baseline schedule and budget
Contract Management efforts, such as reviewing and approving project invoices and accompanying progress reports
On-site Monitoring of Design Consultant to review project progress, status of budget, and quality of products
Presenting project status at Department meetings, such as 60- to 90-Day Look Ahead Meetings and Pre-Advertisement Meetings

Products

The major products for the CD Phase include:

Clearly defined Purpose and Need Statement
CD Report
PE Project Management Plan
Preliminary Preferred Alternative (PPA)
Environmental Document Classification
Reasonable Assurance of Design Exception Approval
Preliminary Engineering Scope Statement to post for Consultant Selection to perform Preliminary Engineering/Final Design/Construction
Design Communications Report (DCR)
Systems Engineering Review Form (SERF) (If ITS devices are proposed)

Phase Closing

The following items must be completed to leave the CD Phase:

Internal NJDOT Task Order Closeout activities
Well-defined PE Scope Statement
Resolution of Support
Purpose and Need Statement
FHWA Approval of Concept Development Report
Approval of PE Scope Statement
Approval of Preliminary Preferred Alternative (PPA)
Establishment of appropriate Environmental Document Classification
Placement on Capital Program Screening Committee Agenda and recommendation to the CPC
CPC Approval to initiate Preliminary Engineering
Posting of Expression of Interest Solicitation for Technical Proposal (when FHWA accepts CD report and PPA)
If needed, distribution of final CD report to identified internal/external groups