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36 This section describes the general issues regarding the use of the proposed guidelines for estimating and quantifying bene- fits from CSS applications. The guidelines are presented in a separate document accompanying this report. The guidelines contain a brief introduction, followed by the application of the benefit analysis with a brief discussion on various issues asso- ciated with principles and benefits and their application, the suggested matrix, and the guidelines for both benefits and principles. An element included and emphasized in the dis- cussion is that all principles apply in all projects but their intensity changes relative to scope, scale, and context. In addi- tion, the agency needs to determine which benefits it will mon- itor and outline a process of documenting metrics to determine their associated benefits from the early stages of the project. The guidelines document is envisioned to be a comprehensive source of information that provides agencies with the required approach and methodology for measuring benefits from CSS projects. Introduction The primary outcome of this research effort is a practical set of recommended practices for transportation professionals to use for assessing benefits of a completed CSS project. To achieve this goal, a set of guidelines was developed that would clearly demonstrate the metrics to be used with each principle. As discussed previously (Table 5), there are certain benefits that could be achieved with the implementation of each CSS action principle. It is also reasonable to assume that there may be some relative importance among these benefits for a variety of reasons including ease of data collection, data availability, resources required, and level of commitment. The guidelines developed consider these issues and iden- tify the benefits and their associated metrics in a manner that allows for prioritization. This approach provides an agency with the ability to do a basic or targeted evaluation, where it could be possible to collect fewer selected metrics and thus evaluate associated CSS principles, or perform a more thor- ough analysis, where several metrics could be used requiring additional data collection and analysis effort. Based on this concept, the benefits and their metrics are categorized into three groups: primary, secondary, and tertiary as shown in Table 5. Metric indicators for each benefit have been identified in Table 6. Among these benefits, a fundamental benefit was identified that is capable of capturing the essence of the princi- ple and in most cases requires minimal data collection and analysis. The remaining primary benefits capture the most basic performance measures for estimating the CSS application and require additional data collection and analysis. The sec- ondary benefits allow for a more thorough analysis and per- formance evaluation, and they require additional monitoring and data collection than those used for the determination of the primary benefits. For these benefits, the metric indicators developed for the primary benefits could be employed and adjusted appropriately to become able to capture the essence of the CSS principle. Finally, the tertiary benefits could provide an agency the opportunity to use them if their usefulness could be viewed as contributing to estimation of CSS benefits. The notion of flexibility in applying these combinations for identifying benefits relative to principles applied is also empha- sized in the guidelines. An agency should view the principle- benefit matrix in Table 5 as a recommended starting point and adjust accordingly based on its view and perspectives. It is therefore possible that an agency can develop a completely new matrix identifying different fundamental, primary, and secondary benefits for each principle than those presented in Table 5. The metrics developed for each benefit are generic and thus could be used to measure the magnitude of the same benefit for each principle. The guidelines provide several benefits and associated met- rics that can be used to measure project outcomes. Both the benefits and metrics vary in terms of data collection efforts and C H A P T E R 5 Guidelines
37 address various aspects of the project and project development process. It is anticipated that the benefit analysis may be used for the following four distinct applications (Figure 2): 1. Justification of CSS Project/Project Elements. Benefits are measured to allow for the project team to justify spe- cific project elements (design or activities) throughout the project development process. Direct measuring and quan- tification of project benefits is used to address concerns about the project outcomes. These measured outcomes allow for greater acceptance of the project and can be used as an example in future projects. 2. Justification of Agency CSS Program. Benefits are mea- sured to allow for an agency to justify and evaluate the effec- tiveness of an agencywide CSS program or process. The use of agencywide measured outcomes allows for determining the appropriateness of CSS in project development and for demonstrating the benefits to the agency, to the legislature, and to interested public parties. 3. Continuous Improvement of Agency Process. Benefits are measured to be used in conjunction with the principle- benefit matrix as a tool for a continuous improvement of the agencyâs project development process. The benefit analysis can identify where improvements in project devel- opment have been made as well as identify opportunities for improvement. The measured outcomes are used to deter- mine the benefits not accrued based on the agencyâs desires and to then initiate a review of the process to determine actions that directly beget those benefits. 4. Continuous Improvement of the Project. Benefits are measured in conjunction with the principles-benefit matrix as a tool for a continuous improvement of the project itself. Measured outcomes for benefits accruing throughout the project development process are monitored to identify problems in the project approach and/or outcome prior to completion of the project allowing for corrective actions before the completion of the project. Another key element presented in the introduction is the relative âimportanceâ between CSS principles and their interaction. For example, involving all stakeholders (and the public) will have a significant influence in achieving informed consent on purpose and need as well as shaping the (full) range of communication methods to be used. The relationships and influences among principles are identi- fied and assessed, since their presence could alter the result- ing benefits and affect their magnitude. Not including all stakeholders will result in revisiting the purpose and need once all stakeholders are identified and invited. A delayed identification of stakeholders could affect the level of the disruption (a benefit for involving all stakeholders) or the stakeholder feedback (a benefit from utilizing a full range of communication tools). To further examine these relationships, each principle was reviewed as it could impact other principles. The 15 CSS principles could then be examined based on the affected or involved groups and thus create distinct categories of influ- ence. There are two major categories that these principles apply to, and are defined as follows: ⢠Project Team. The principles affecting the project team com- position, coordination and project development include use of interdisciplinary teams (principle 1); addressing alterna- tives and all modes (principle 6); considering a safe facility for all users and community (principle 7); maintaining envi- ronmental harmony (principle 8); addressing community Figure 2. Benefit analysis.
38 and social issues (principle 9); addressing aesthetic treat- ments and enhancements (principle 10); utilization of full range of design choices (principle 11); documentation of project decisions (principle 12); tracking and meeting all commitments (principle 13); and use of agency resources effectively (principle 14). ⢠Stakeholders/Public. The remaining principles relate to involvement and input solicitation from stakeholders and the public. These principles include: involving stakehold- ers (principle 2); seeking broad-based public involvement (principle 3); using full range of communication strate- gies (principle 4); achieving consensus on purpose and need (principle 5); and creating a lasting value for com- munity (principle 15). Some principles build on each other and have what appear to be hierarchal, cause-effect relationships. For example, prin- ciples 2 (involve stakeholders) and 3 (seek broad-based public involvement) will have a significant influence on principle 5 (achieve consensus on purpose and need) as well as shap- ing principle 4 (use full range of communication methods). Understanding the principles and their interaction promotes knowledge of CSS fundamentals and process relations and comprehension of how CSS projects are developed. A good representation of these relationships is provided in Figure 3 showing the dependencies among principles as a building. The foundation of the building consists of the three Fundamental Principles of CSS: ⢠Use interdisciplinary teams, ⢠Involve stakeholders, and ⢠Seek broad-based public involvement. The floor is comprised of the four Basic Transportation Agency Principles that exist for every project: ⢠Use a full range of communication strategies, ⢠Achieve consensus on purpose and need, ⢠Address alternatives and all modes, and ⢠Consider a safe facility for users and community. The six pillars of the CSS building are the six Agency- Enabling Principles and Context-Sensitivity Enablers that provide for and ensure context sensitivity: Context-Sensitivity Enablers ⢠Maintain environmental harmony, ⢠Address community and social issues, and ⢠Address aesthetic treatments and enhancements. Agency Action Enablers ⢠Utilize full range of design choices, ⢠Document project decisions, and ⢠Track and meet all commitments. The lintel and roof of the building of CSS have the follow- ing Long-Range Project Principles (Goals): ⢠Use agency resources effectively and ⢠Create a lasting value for the community. Projects vary, and the intensity with which CSS principles are used will vary as well. The three Fundamental Principles must be applied to have a CSS project development process. The four Basic Transportation Agency Principles are present regardless of whether or not a project employs CSS. The six enabling principles are the tools that enable a project team to Figure 3. The building of CSS principles.
create a lasting value for the community and use agency resources effectively, which should be the aim of all projects. While all principles will be present on any project, their rela- tive intensity (as applied) will vary between projects. Similarly all benefits will be present; however, resulting benefits will vary accordingly. The relative intensity of each principle should be exam- ined, since the magnitude of benefits to be realized will be affected. This relative intensity is to be determined by the scope, scale, and context of the project. For example, for a small project, there may be a limited number of stakeholders involved, which will affect the extent and type of communi- cation methods employed and the level of public involvement required. Extensive public involvement efforts may not be necessary to provide measurable benefits. On large, complex projects affecting many parties, greater stakeholder and pub- lic involvement may be required to achieve an equivalent level of benefits. Layout The guidelines first provide a brief overview and discussion of the application process that an agency should undertake while attempting to estimate benefits from CSS applications, followed by the principles to be used and their associated ben- efits along with metrics for measuring their magnitude. An example project is also presented to demonstrate the approach and provide insight in the application process. The application process describes the use of the benefit analysis and defines the implementation process to be fol- lowed. Benefit analysis may be used by the project team to justify project elements or to improve processes for the project. Transportation agencies can use the same benefit analysis to justify the agency program or use it as part of a continuous improvement process. For successful benefit analysis, the evaluation approach should be established from the outset of the project so that principles are properly applied, data is timely collected, and benefits are measured. This process is as follows: 1. Determine the appropriate intensity of each principle based on the scope, scale, and context of the project. 2. Determine the benefits to be measured and their metrics based on the desired benefit analysis. 3. Establish benchmarks for comparing measured outcomes for benefits. 4. Collect, maintain and make accessible pertinent data for benefit evaluation. 5. Conduct a benefit analysis and evaluation. The guidelines continue with information for each princi- ple and document the associated benefits and their metrics. For each principle, a series of short tables is included that pro- vide a brief snapshot of the principle with its definition and benchmark elements for its application. This is followed by a discussion on the concepts of the principle as well as the appli- cable phases and elements that will contribute to the proper application of the principle. The associated benefits are pre- sented in a short table referring the reader to the detailed dis- cussion of each benefit and its metrics in the next section of the guidelines. Finally, cases where the application of the principle was properly demonstrated are identified. The use of the table from points presented in the beginning of the guideline is viewed as a quick summary of the major points of the principle (definition and basic issues for appli- cation) that could provide an overview of what is needed. This could be viewed as the 1-min summary of the principle focusing on transmitting the basic requirements for its appli- cation. The remaining discussion and examples provide a more detailed approach and explanation on how to implement the principle. The benefits associated with the principle are presented only in a summary form for two reasons. First, several bene- fits are used in various principles and it was determined that the guidelines will become repetitive and lengthy without offering any additional insight. Even though this approach requires the reader to use two separate sections of the guide- lines, it is believed that this format will be more beneficial to the user. Second, the relationship between principles and benefits, and especially the identification of fundamental, pri- mary and secondary levels, is fluid. The use of the principles- benefits matrix is a suggested one, and each agency can restruc- ture it to their satisfaction. The two section format in the guidelines allows for this flexibility. Guidelines for benefits were also developed where each benefit is introduced with a brief statement indicating the objectives and rationale for the benefit. The set of associated primary principles are presented with a short justification for their use followed by a list of the secondary principles associ- ated with the benefit. Finally, both quantitative and semi- quantitative metrics required for measuring the benefit are presented. The semi-quantitative measures present the pro- posed questions that could be used in a survey identifying the appropriate audience, i.e., team members or the stakeholders/ public. Tables are also provided that could be used in iden- tifying the appropriate data to be collected, collecting the quantitative data, and summarizing the data. An example is provided that demonstrates the application of the various principles and the benefits achieved for the project. The example is a hypothetical study developed as a composite project from the various case studies reviewed. The example describes how each principle was applied in the project, the actions taken by the project team to complete the project, and the results of the benefit measurement. Lessons learned from the application of the recommended approach are also discussed. 39
