us 68/ky 80 reconstruction from aurora, ky to … 68/ky 80 reconstruction – aurora, ky to cadiz,...

September 2012

Kentucky Transportation Cabinet

US 68/KY 80

Reconstruction from Aurora, KY to Cadiz, KY Project Management Plan

US 68/KY 80 Reconstruction – Aurora, KY to Cadiz, KY

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TABLE OF CONTENTS

2.1. Background and History ................................................................ 1

2.2. Purpose and Need ........................................................................ 4

2.3. FONSI ......................................................................................... 12

2.4. Scope .......................................................................................... 13

4.1. Project Team ............................................................................... 14

4.2. District 1 – Project Management Team ....................................... 14

4.3. Cooperating Agencies ................................................................. 15

4.4. Federal, State, and Local Officials Involved in the Environmental Assessment Process ................................................................... 15

4.5. Citizen Advisory Committee for Selection of the Bridge Type for the Kentucky Lake and Lake Barkley Bridges ............................. 16

5.1. Design ......................................................................................... 17

5.2. Right of Way ................................................................................ 18

5.3. Utilities ......................................................................................... 18

5.4. Construction ................................................................................ 18

6.1. General ........................................................................................ 19

6.2. KYTC’s Procurement Process ..................................................... 19

6.3. Special Materials and Equipment Procedures ............................ 20

6.4. Right of Way Services Procurement ........................................... 20

6.5. Utility and Public Agency Agreements ........................................ 20

6.6. Federal Procurement Requirements ........................................... 20

6.7. Contract Award Protest Procedures ............................................ 21

6.8. Contract Management ................................................................. 21

6.9. Warranty Management ................................................................ 21

7.1. General ........................................................................................ 22

7.2. Initial Financial Plan .................................................................... 25

CHAPTER 1. OVERVIEW ................................................................................... 1

CHAPTER 2. PROJECT DESCRIPTION & SCOPE OF WORK ......................... 1

CHAPTER 3. GOALS AND OBJECTIVES ........................................................ 13

CHAPTER 4. ORGANIZATION AND RESPONSIBILITIES .............................. 14

CHAPTER 5. PROJECT PHASES .................................................................... 17

CHAPTER 6. PROCUREMENT & CONTRACT MANAGEMENT ..................... 19

CHAPTER 7. COST, BUDGET & SCHEDULE ................................................. 22


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9.1. Internal Communications ............................................................. 28

9.2. Primary Stakeholder Communications ........................................ 28

9.3. Media and Public Information ...................................................... 29

10.1. General ........................................................................................ 31

10.2. Risk Management (Threats and Opportunities) .......................... 31

10.3. Scope of Work Management ....................................................... 36

10.4. Schedule Management ............................................................... 36

10.5. Cost Tracking .............................................................................. 37

10.6. Partnering .................................................................................... 39

10.7. Change Order and Extra Work Order Procedures ...................... 40

10.8. Claims Management ................................................................... 40

10.9. Design Management ................................................................... 40

10.10. Geotechnical Investigation ..................................................... 42

10.11. Design Reviews ...................................................................... 42

10.12. Constructability Reviews ........................................................ 43

10.13. Regulatory Compliance Reviews ............................................ 43

10.14. Security/Emergency Preparedness ........................................ 43

10.15. Survey Control ........................................................................ 44

10.16. Hazardous Materials Management ......................................... 44

10.17. Permitting ............................................................................... 44

10.18. Historic Preservation .............................................................. 44

10.19. Utilities/Public Agencies/Special Authorities ........................... 45

10.20. Construction Management (CM) ............................................ 45

10.21. Final Acceptance, Maintenance, and Operations ................... 47

13.1. Environmental Compliance Management ................................... 50

13.2. Environmental Compliance Monitor ............................................ 51

CHAPTER 8. PROJECT REPORTING AND TRACKING ................................. 27

CHAPTER 9. INTERNAL AND STAKEHOLDER COMMUNICATIONS ............ 28

CHAPTER 10. MANAGEMENT CONTROLS ...................................................... 31

CHAPTER 11. DESIGN - QUALITY ASSURANCE/ QUALITY CONTROL (QA/QC) ...................................................................................... 48

CHAPTER 12. CONSTRUCTION - QUALITY ASSURANCE/QUALITY CONTROL (QA/QC) .................................................................... 50

CHAPTER 13. ENVIRONMENTAL MONITORING ............................................. 50

CHAPTER 14. RIGHT OF WAY .......................................................................... 52

CHAPTER 15. SAFETY AND SECURITY ........................................................... 53


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15.1. General ........................................................................................ 53

15.2. Construction Phase ..................................................................... 54

16.1. Road Traffic Management ........................................................... 55

16.2. River Traffic Management ........................................................... 55

17.1. KYTC’s DBE Program ................................................................. 56

17.2. Federal and State EEO Requirements ........................................ 56

18.1. Final Cleaning Up ........................................................................ 57

18.2. Final Inspection and Acceptance of Work ................................... 57

18.3. Claims Resolution Process ......................................................... 58

18.4. Acceptance and Final Payment ................................................... 58

20.1 Appendix A – Organizational Chart ............................................. 60

20.2 Appendix B – Publications and Documents cited in the PMP incorporated by reference ........................................................... 61

CHAPTER 16. TRAFFIC MANAGEMENT .......................................................... 55

CHAPTER 17. CIVIL RIGHTS PROGRAM ......................................................... 56

CHAPTER 18. CONSTRUCTION CLOSEOUT PLAN ........................................ 57

CHAPTER 19. DOCUMENT CONTROL ............................................................. 59

CHAPTER 20. APPENDICES ............................................................................. 60

CHAPTER 21. EXECUTIVE LEADERSHIP ENDORSEMENT ........................... 62


Project Management Plan 1

CHAPTER 1. OVERVIEW

The Project Management Plan (PMP) documents the mechanisms to provide timely information to effectively manage the project including control of the scope, budget, schedule, and quality of the project to ensure the public’s trust and confidence.

The PMP is a comprehensive, living document including the latest information available to assist the Federal Highway Administration (FHWA), and Kentucky Transportation Cabinet (KYTC). The PMP will be updated as required with formal updates, prior to the start of a new project phase or if a significant change has occurred and a table of revisions will be included as changes are made. The responsibility to maintain the PMP lies with the KYTC.

CHAPTER 2. PROJECT DESCRIPTION & SCOPE OF WORK

2.1. Background and History

The KYTC proposes to continue and complete the widening and improvements to the existing two‐lane US 68/KY 80, from KY 94 at Aurora in Marshall County for approximately 17 miles to the western terminus of the Cadiz Bypass in Trigg County, shown on next page as Figure 1. US Highway 68 (US 68), also designated as Kentucky State Route 80 (KY 80), is the only east‐west arterial in the region of southwestern Kentucky, and serves local, recreational, and through traffic. The remaining project will pass easterly though Kenlake State Resort Park, cross Kentucky Lake (Tennessee River), traverse the Land Between the Lakes (LBL) National Recreation Area, over Lake Barkley (Cumberland River), and extend to the Cadiz Bypass. Portions of the roadway are proposed to be built on new location while other portions will follow the existing roadway.

It should be noted that the Land Between the Lakes (LBL) National Recreation Area was designated as a National Recreation Area by President John F. Kennedy in 1963. This area was originally managed by the Tennessee Valley Authority (TVA). In 1998 the TVA transferred jurisdiction of the LBL to the U.S. Department of Agriculture - Forest Service.

The western terminus of this project is the recently relocated and widened four-lane section of KY 80 between Kenlake State Resort Park and the city of Mayfield. The eastern terminus of this project is the western terminus of the Cadiz Bypass. Outside of the two designated public recreation areas, the project corridor is comprised of a mixture of commercial, residential, and agricultural land. This project is consistent with the KYTC’s plans to improve the alignment of US 68/KY 80 in western Kentucky.



Figure 1 – Overall Corridor Map:



The project from the Kentucky Lake Bridge extending easterly to the Cadiz Bypass is broken into the following four independent sections that do not rely on the other roadway portions for completion:

Section 1: Kentucky Lake Bridge – Item No. 1-180.70

Section 2: Land Between the Lakes Design‐Build Section – Item No. 1-180.55

Section 3: Lake Barkley Bridge – Item No. 1-180.60

Section 4: Reconstruction of US 68/KY 80 from Lake Barkley to Cadiz Bypass (West to East – Item No. 1-180.51, Item No. 1-180.10, Item No. 1-180.11

With the Land Between the Lakes Design‐Build Section 100% complete, this Project Management Plan focuses on the bridge replacements over Kentucky Lake and Lake Barkley, and the remaining reconstruction of US 68/KY 80 from Lake Barkley to existing Cadiz Bypass as shown below in Figure 2.

Figure 2 – Remaining Construction Project from Aurora to Cadiz Bypass:

Each of these projects has independent logical termini, and represent construction segments of proposed improvements to the overall corridor of US 68/KY 80 between Aurora and the Cadiz Bypass. On the eastern end, the project connects with the recently constructed Cadiz Bypass, a two‐lane roadway that intersects with Interstate‐24 east of Cadiz.



2.2. Purpose and Need

The primary purpose of the US 68/KY 80 corridor reconstruction is to correct numerous geometric deficiencies of the existing roadway and the two major bridges (Eggner’s Ferry Bridge and Lawrence Memorial Bridge over Kentucky Lake and Lake Barkley, respectively). The correction of those deficiencies would provide a safer travel way for persons using US 68/KY 80, satisfy the demands of the traveling public in 2025, and meet current design standards. A secondary purpose for this project is to enhance regional tourism and economic development by vastly upgrading this principal east‐west highway which serves as the only highway into and through the Land Between the Lakes.

2.2.1. Major Bridge Deficiencies

The existing Eggnerʹs Ferry Bridge that crosses Kentucky Lake and the existing Lawrence Memorial Bridge that crosses Lake Barkley are not suitable for reasons that include: having narrow lanes, no shoulders, fractured and damaged members, inadequate seismic resistance strength, an undesirable horizontal navigation clearance, and an inadequate live load capacity. Neither bridge provides safe usage for pedestrians or bicyclists because of its narrow width.

2.2.1.1. Eggnerʹs Ferry Bridge (Kentucky Lake Bridge)

The existing Eggnerʹs Ferry Bridge is a two‐lane steel beam and truss bridge that is owned and maintained by the Commonwealth of Kentucky. The bridge was originally constructed as a toll bridge and opened on March 20, 1932 to replace a ferry. The bridge was raised in 1942 as a part of the creation of Kentucky Lake. A major rehabilitation of the bridge was conducted in 1977, the deck was overlaid in 1980, and pier repair work was performed in 1989. The west approach to the bridge is on an earthen embankment about 26 feet above the water level. The western embankment extends about two‐thirds of the way to the river channel (1,970 feet), with the remaining approach distance (1,020 feet) bridged by short steel beam spans. The Tennessee River main channel and the Marshall‐Trigg County line are crossed by the six main through truss spans (1,637 feet total). The east approach (1,824 feet) continues across the lake to the eastern shore with about equal lengths of steel beam spans and earthen embankment. The narrow bridge only has 20 feet of clearance between the guardrails. See Figure 3, shown on the next page, for an aerial view of the existing bridge and proposed new alignment.



Figure 3 – Eggner’s Ferry Bridge



A bridge inspection report dated August 2008 (KYTC’s Department of Highways, Division of Maintenance) indicates that the bridge deck is in serious condition and the remainder of the bridge is in overall fair condition. Seventeen deficiencies were observed and reported, ranging from cracking in the surface decking and concrete columns to normal deterioration.

In the structure inventory and appraisal sheet dated April 24, 2009 (KYTC’s Department of Highways, Division of Maintenance), the bridge was described as structurally deficient. The bridge is considered “structurally deficient” because its deck received a less than “fair” condition rating. In addition it is considered functionally obsolete because it has narrow lane widths, no shoulders, and sight distances that do not meet current American Association of State Highway and Transportation Officials (AASHTO) standards. The calculated sufficiency rating for this bridge is 32.4 out of 100 points. A sufficiency rating less than 50 points qualifies a bridge for the Federal‐Aid Bridge Replacement Program.

The existing bridge is at Tennessee River Mile (TRM) 41.7 and provides a navigation opening of 357.0 feet horizontally and 57.1 feet vertically at normal summer pool. At maximum regulated flood, the vertical clearance is reduced to 41.2 feet. The minimum horizontal clearance for the new facility is 502 feet and the minimum vertical clearance is 60 feet. The hydraulic conditions at the bridge are regulated by the operation of the Kentucky Lock, Dam and Hydro Plant at TRM 22.4, approximately 19 miles downstream from the facility.

2.2.1.2 . Lawrence Memorial Bridge (Lake Barkley Bridge)

The Lawrence Memorial Bridge is also a two‐lane steel beam and truss bridge that is owned and maintained by the Commonwealth of Kentucky. The bridge was originally constructed as a toll bridge in 1932 and called the Canton Bridge. The bridge was raised in 1959 as a part of the creation of Lake Barkley. The west approach to the bridge is on an earthen embankment about 23 feet above the water level. The western embankment extends about one‐third of the way to the river channel (656 feet); the remaining distance (1,512 feet) is bridged by short steel beam spans. The Cumberland River’s main channel is crossed by two deck truss spans and two through truss main spans (886 feet total). The east approach continues across the lake to the eastern shore (1,361 feet) with about equal lengths of steel beam spans and earthen embankment. This narrow bridge also only has 20 feet of clearance between the guardrails. See Figure 4, shown on the next page, for an aerial view of the existing bridge and proposed new alignment.



Figure 4 – Lawrence Memorial Bridge



A bridge inspection report dated September 2008 (KYTC’s Department of Highways, Division of Maintenance) indicates that the bridge is in overall fair condition. Nineteen deficiencies were observed and reported, ranging from normal deterioration and cracking to heavy rust.

In the structure inventory and appraisal sheet dated August 24, 2009 (KYTC’s Department of Highways, Division of Maintenance), the bridge was described as functionally obsolete. The bridge is considered “functionally” obsolete because it has narrow lane widths, no shoulders, and sight distances that do not meet current AASHTO standards. The calculated sufficiency rating for this bridge is 41.5 out of 100 points. A sufficiency rating less than 50 points is required for a bridge to qualify for the Federal‐Aid Bridge Replacement Program.

The existing bridge is at Cumberland River Mile (CRM) 63.1 and provides a navigation opening of 300 feet horizontally and 57.1 feet vertically at normal summer pool. At maximum regulated flood, the vertical clearance is reduced to 40 feet. The minimum horizontal clearance for the new facility is 502 feet and the minimum vertical clearance is 60 feet. The hydraulic conditions at the bridge are regulated by the operation of the Barkley Lock, Dam and Hydro Plant at CRM 30.6, approximately 32.4 miles downstream.

2.2.2. Roadway Deficiencies

The existing roadway deficiencies of the corridor, except for the recently completed Land Between the Lakes Design–Build Section, include substandard lane and shoulder widths for approximately 90 percent of the remaining project length, substandard safety or clearance zones, as measured outward from the edge of pavement, horizontal curves that are sharper than allowed by current standards, numerous existing grades that exceed current standards for maximum grades, and inadequate stopping and passing sight distances.

The existing roadway consists of two lanes of pavement with lanes of variable width, between 10 feet and 14 feet. The shoulders of the existing roadway also vary in width and composition, from a 3‐foot earthen shoulder to a 12‐foot aggregate stabilized shoulder. Lane and shoulder widths are less than desirable at all locations along this portion of US 68/KY 80, except between Canton and the entrance to Lake Barkley State Resort Park.

The most prevalent right‐of‐way width is 60 feet centered on the existing roadway, and existing right‐of‐way and embankment widths are generally too narrow to provide for the proposed improvements. US 68/KY 80 in the project area has no access control. Horizontal and vertical clearance are fair along the project area of US 68/KY 80; however, some deficiencies occur in several areas where sight distance hazards result.

There are currently no sidewalks or bicycle paths along US 68/KY 80 linking communities and tourism features. A comprehensive system of east‐west hiking



and biking trails in conjunction with highways to link communities and tourism features is being developed as improvements to the US 68/KY 80 corridor.

2.2.2.1. Land Between the Lakes – Design‐Build Section

The portion of the US 68/KY 80 corridor from the east end of the Kentucky Lake Bridge to the west end of the Lake Barkley Bridge, as shown below in Figure 5, was selected by the KYTC as one of ten priority design‐build projects pursued during the 2006 biennium. The project was awarded for $50.3 million to The Rogers Group/QK4, began construction on July 10, 2007, and is scheduled to be completed by the summer/fall of 2012. Figure 5 – Land Between the Lakes

2.2.2.2. US 68/KY 80 Construction from Lake Barkley to Cadiz

Bypass

The final construction segment of the US 68/KY 80 corridor extends from the eastern approach of the Lake Barkley Bridge easterly to the western termini of the Cadiz Bypass and is comprised of three subsections, as shown on the next page in Figure 6. These projects are currently under design and are scheduled to be complete by 2016.



Figure 6 – US 68/KY 80 Lake Barkley to Cadiz

2.2.2.3. Traffic Analysis and Projections

The US 68/KY 80 project corridor is currently functionally classified as a two‐lane Rural Minor Arterial throughout the project length. Within the LBL, the Average Daily Traffic on US 68/KY 80 is expected to grow from 3,190 vehicles to 5,050 vehicles between 2003 and 2028. Level of service (LOS) is a qualitative measure of expected traffic conflicts, delay, driver discomfort, and congestion. The traffic analysis for the existing US 68/KY 80 highway, except for the recently completed Land Between the Lakes Design-Build Section, revealed that the corridor is currently operating at either a LOS C or D for each segment. The KYTC has set the minimum desirable level of service threshold at a LOS C. Replacing the existing highway with a high‐type, two‐lane facility is expected to provide sufficient maneuverability and passing to accommodate the future traffic volumes through the project area. The analysis revealed that a four‐lane highway alternative would operate at LOS A for all sections in 2028; therefore, the KYTC closely evaluated the option of building a new two‐lane facility on four‐lane right‐of‐way, but subsequently decided to build a new four-lane facility for safety reasons.

2.2.3. Safety/Crash Analysis

From 2004 to 2008 the US 68/KY 80 highway corridor between Aurora and Cadiz had crash rates that exceeded the critical crash rate for the roadway type. Over the observed period, there were a total of 152 collisions, 35 of which were injury collisions, and two resulted in fatalities. Figure 7 on the following page visually depicts each individual collision location of the corridor. In 2009, the KYTC conducted a highway safety study of 3,060 roadways statewide. Each section of the US 68/KY 80 corridor in both Trigg and Marshall Counties ranked in the top five percent according to most fatalities and incapacitating injuries.



The crash history indicates potential safety issues that could be corrected with the designed improvements. The reconstruction is designed to provide a new divided highway with inherent safety benefits by constructing physical separations between directional traffic.

Figure 7 – Collision Locations between Aurora and Cadiz

2.2.4. Regional Planning and Economic Development Goals

Improvements to the existing roadway are needed to enhance the region’s attractiveness for tourism and economic development. Ultimate plans are to make US 68/KY 80 a four‐lane corridor between Mayfield and Cadiz, parts of which have completed construction and others are currently under design. Safe, well‐designed roads are essential for the LBL to meet its mission and for the public to enjoy the LBL. A portion of the mission statement of the LBL specifically affirms “to help stimulate the development of the surrounding region and to extend the beneficial results as widely as possible.”

This project is consistent with the KYTC’s plans to improve the alignment of US 68/KY 80 in western Kentucky. Regional plans, for the Purchase Area Development District (ADD), the Pennyrile ADD, and the Cadiz/Trigg County Comprehensive Plan, recognize US 68/KY 80 as a major arterial for east‐west access for visitors traveling to the LBL and the lakes, and as such, strongly



support the need to improve the corridor for the county’s economic development goals. In summary, the proposed project is needed to correct numerous geometric deficiencies of the existing roadway and the two major bridges (Eggner’s Ferry Bridge and Lawrence Memorial Bridge over the Tennessee and the Cumberland Rivers, respectively). The project is also needed to support the southwestern Kentucky region’s economic development efforts, which are tied to having a safe and convenient roadway that connects to the regional transportation network.

2.3. FONSI

The FONSI chronicles the selection of the project alignments. As described in greater detail in the FONSI, the selected alternative is the most feasible and prudent alternative that sufficiently addresses the purpose and need for action while balancing important environmental, community and economic considerations. The selected alternative also incorporates extensive measures to avoid, minimize, and mitigate potential harm to the region’s rich natural and human environment. The United States Environmental Protection Agency has confirmed that FHWA has selected the prudent and feasible alternative that is also the environmentally preferable alternative. The FONSI was signed on October 24, 2006.

The selected alternative is designed to eliminate the numerous roadway and bridge deficiencies associated with the Aurora to Cadiz project. The selected alternative will ultimately yield the construction of a four‐lane highway with a design that is more in balance with the natural settings of the area. In the Land Between the Lakes, much of the project will be constructed in bifurcated sections (the separation of eastbound and westbound lanes) or shifted to avoid certain sensitive areas and to create new recreational area viewing opportunities. Based on public hearings and agency comments, the KYTC determined this as the ‘Selected Alternative’ for several reasons. The U.S. Forest Service supports this alternative, noting it provides “a more parkway character within the National Recreation Area.”

Description of the Selected Alternative

The existing Eggner’s Ferry Bridge and Lawrence Memorial Bridge would be demolished or removed and replaced with a new single four‐lane bridge for each river crossing to the north of the existing bridges. Existing embankments that reach out into Kentucky Lake and Lake Barkley would be widened to accommodate four travel lanes. The new bridges would have wider lanes, shoulders, and meet current seismic design and vessel impact criteria. As requested by the U.S. Coast Guard, the new bridges would have greater horizontal and vertical navigation clearances than the old bridges. For the majority of the non‐bridge highway reconstruction, an ultimate four‐lane facility will be built. The existing roadway alignment will generally be followed to incur minimal right‐of‐way impacts, with the only exceptions at spots where curvature obstructs



sight distance. A separate hike‐bike trail with adequate width to carry two‐way bicycle movement and separate pedestrian access will be designed and constructed between Aurora and the Cadiz Bypass.

2.4. Scope

The project scope is comprised of all aspects of project delivery for the identified alternatives including but not limited to: design; environmental issues, including archaeology, biological assessments, hazardous materials identification and treatment, and all required permits; environmental mitigation required by the FONSI; right of way; utilities; construction; and construction inspection.

CHAPTER 3. GOALS AND OBJECTIVES

The project goals and objectives of the US 68/KY 80 Reconstruction from Aurora, KY to Cadiz, KY Project are to:

• Meet the Project Purpose and Need while avoiding, minimizing, or mitigating adverse impacts to the environment, including adverse effects to historic properties to the extent reasonable, feasible, and prudent. Avoidance of adverse effects is the preferred treatment.

• Complete the project safely for both the workers and the traveling public.

• Provide proactive public relations and maintain the public trust, support, and confidence throughout the life of the project.

• Meet interim & final completion dates.

• Complete the project within the budget.

• Provide a quality product that produces a long lasting, modern transportation facility.

• Comply with all federal requirements and state statutory regulations.

• Meet the project Disadvantaged Business Enterprise (DBE) goals.

• Complete the project in accordance with the commitments made in the FONSI.

• Encourage design and construction solutions that respect environmental concerns beyond those included in the FONSI.

• Provide a high-quality, aesthetic, durable and maintainable highway facility.

• Minimize disruptions to existing traffic and local businesses and communities.



CHAPTER 4. ORGANIZATION AND RESPONSIBILITIES

4.1. Project Team

An organizational chart for the project team is shown in Appendix A.

• Federal Highway Administration (FHWA)

• Kentucky Transportation Cabinet (KYTC)

• Section Design Consultants (SDC)

Each SDC is responsible for design, right of way, and utility duties. These tasks include but are not limited to: plan development; environmental issues including archaeology, biological assessments, hazardous materials identification and treatment, and permits; and environmental mitigation required by the FONSI. The SDCs are listed below:

1-180.60 Michael Baker, JR. Inc. - Lake Barkley Bridge– Design Phase

1-180.70 Michael Baker, JR. Inc. - Kentucky Lake Bridge – Design Phase

1-180.55 The Rogers Group/QK4 - Land Between the Lakes – Design‐Build Roadway Section – Construction Completed

1-180.51 Johnson, Depp & Quisenberry – AURORA - CADIZ; US 68 from the east end of the Lake Barkley Bridge to 600 feet west of KY-1489. - (Canton Roadway Section) ‐ Design Phase

1-180.10 EA Partners, PLC – AURORA - CADIZ; US 68 from 600 feet west of KY-1489 to 600 feet west of Pete Light Spring Road. – (Pete Light Springs Roadway Section) - Design Phase

1-180.11 EA Partners, PLC – AURORA - CADIZ; US 68 from 600 feet west of Pete Light Spring Road to the Cadiz Bypass. – (East End Roadway Section) - Design Phase

4.2. District 1 – Project Management Team

James E. LeFevre, P.E. - Chief District Engineer Mike McGregor, P.E. - Project Manager Susan Oatman, P.E. - Design Blake Beyer – Environmental David Davis - Utilities Mike Oliver, P.E. - Construction Greg Morgan - Right of Way Supervisor Keith Todd – Public Information Officer



4.3. Cooperating Agencies

Three Federal Agencies with special interest such as permitting authority or land management jurisdiction in the project area were identified at the beginning of the project and designated as Cooperating Agencies.

• TVA (Tennessee Valley Authority)

• US Forest Service

• US Coast Guard

4.4. Federal, State, and Local Officials Involved in the Environmental Assessment Process

During the preparation of the Environmental Assessment (EA), federal, state, and local officials were contacted to gather information on the project area and potential impacts of the project. These agencies and organizations are listed below.

• Federal

Department of Agriculture, Natural Resource Conservation Service Department of the Army, Corps of Engineers, Nashville District Department of the Interior, US Fish and Wildlife Service Tennessee Valley Authority, Nashville Office US Forest Service US Coast Guard, Second Coast Guard District

• State

Education and Humanities Cabinet Kentucky Heritage Council Office of State Archaeology Tourism Cabinet Department of Fish and Wildlife Resources Department of Parks Division of Planning Kenlake State Resort Park Lake Barkley State Resort Park Department of Travel Development Natural Resources and Environmental Protection Cabinet Department of Environmental Protection Division of Water Division of Waste Management Kentucky State Nature Preserves Commission Murray State University



Local

Pennyrile Area Development District Purchase Area Development District Austin Peay State University National Speleological Society Western Kentucky Speleological Survey Nature Conservancy

Trigg County County Judge Executive Disaster and Emergency Service Local Emergency Planning Commission Health Department Cadiz/Trigg County Tourism Commission Cadiz/Trigg County Joint Planning Commission Cadiz/Trigg County Chamber of Commerce Cadiz/Trigg County Board of Education Cadiz/Trigg County Transportation Department Cadiz City Clerk Sheriff's Department

Marshall County County Judge Executive Chamber of Commerce County Planning Department

4.5. Citizen Advisory Committee for Selection of the Bridge Type for the Kentucky Lake and Lake Barkley Bridges

Larry Elkins - County Judge Ex., Calloway County Mike Miller - County Judge Ex., Marshall County Stan Humphries - County Judge Ex., Trigg County Randy Newcomb – Executive Director of Marshall County Tourist Commission Don Leibee - Chairman of the Cadiz-Trigg County Economic Development Commission Tab Brockman - Murray-Calloway County Chamber of Commerce Debbie Buchannan - Marshall County Chamber of Commerce Paul Fourshee - Chairman Trigg/Cadiz Planning Commission Bill Butler - Marshall County Economic Development Corporation Kay McCollum - Kentucky’s Western Waterland John Rufli – Executive Director of “Friends of L.B.L.” Jim Taylor – Operations Director “Friends of L.B.L.” Doug Taylor - American National Rubber David Graham - Paschall Truck Lines Brian Beisel - US Forest Service James Redd - Dist. Judge, 56th District



CHAPTER 5. PROJECT PHASES

The project is divided into four phases: Design, Right of Way, Utilities, and Construction. The section of the project located in the Land Between the Lakes has been constructed. The remaining sections of the project are currently in the design phase.

5.1. Design

The Design phase is ongoing, in all of the sections except the Design-Build Section in the Land Between the Lakes, and consists of all activities necessary to prepare the project plans and specifications. Each SDC is responsible for the design of their respective section with oversight by the KYTC. These activities include but are not limited to:

Surveying Photogrammetry Data Collection Property Entry Existing Right of Way Monumentation Geotechnical Investigations Environmental Issues

o Air quality o Aesthetics o Cemeteries o Cultural resources o Endangered species o Federal lands o Floodplains o Groundwater resources o Hazardous materials and underground storage tanks o Noise o Section 4(f) resources

Cultural resources Recreational parks Wildlife refuges

o Section 6(f) resources o Socioeconomic concerns and environmental justice o Streams o Wetlands

All appropriate permits and/or certifications Geometric Design Drainage Design Pavement Design Access Management



Maintenance of Traffic Roadway Lighting Traffic Signals Signing Intelligent Transportation Systems

5.2. Right of Way

This phase will be implemented at the completion of the approved Right-of-Way plans. The Right of Way phase includes the acquisition, management, and disposal of real property in compliance with the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 as amended (The Uniform Act; the Uniform Government-wide Regulations (49 CFR Part 24); and Right of Way and Real Estate (23 CFR Part 710).

Each SDC prepares right of way plans in accordance with the KYTC’s Right-of-Way Guidance Manual (see Chapter 12). The KYTC is responsible for preparing or performing all or part of the following: title reports, appraisals, review appraisals, negotiations, payment packets for acquisitions, relocation assistance, payments, closings, and condemnation documents.

Additionally, the KYTC is responsible for hardship acquisitions, protective buying acquisitions, condemnations, environmental mitigation actions, grave relocations, and the sale and disposal of surplus real property.

5.3. Utilities

The Utilities phase includes all measures required to relocate utilities affected by the project. The Utilities phase is described in the KYTC’s Utilities and Rail Guidance Manual.

Each SDC develops plans, cost estimates, and includes utilities’ plans in roadway plans, when applicable. The KYTC is responsible for determining if utilities are eligible for state cost participation, reviews all permits and agreements, reviews relocation plans and railroad coordination. The KYTC also provides field inspections, initiates federal programming, approves final costs, approves permits and agreements, and monitors construction activities.

5.4. Construction

The Construction phase consists of the actual construction of the project and management of said construction. The construction is performed by private contractors procured through the KYTC’s construction procurement process (See Chapter 6). To date, Construction Management activities have been performed by the KYTC using their normal process (See Chapter 10). The KYTC will continue to follow this process with each construction contract. Activities include but are not limited to:



Contract Administration Pre-construction requirements Project Plans Field Check Structures Field Books Staking Personnel Vehicles Signing Encroachment on the State Right of Way Project Engineer’s Diary Traffic Control Work on the Railroad Right of Way Construction Surveying Environmental Protection and Landscaping Nuclear Density Testing Roadway and Structure Construction

CHAPTER 6. PROCUREMENT & CONTRACT MANAGEMENT

6.1. General

Procurements and contracts are executed using the KYTC’s standard procedures. All official procurement documents are released by the KYTC.

6.2. KYTC’s Procurement Process

The preparation of Public Service Bulletins (PSB), the review of proposals and the selection of SDCs has been completed. The KYTC’s Professional Services Guidance Manual is followed for procuring professional engineering and related services with individuals and with firms.

The PSBs will be prepared by the KYTC. The selection of contractors will be made based on low bid. An analysis of the bid documents will be performed for all submitted bids. The analysis will consider such items as front loading, unit rates, and the potential risks associated with the bid structure. Upon receiving bids for a contract, a Contract Awards committee will review the bids and recommend whether or not to award. This recommendation is then sent to the FHWA for their concurrence. When awarded, the final execution of the Contractor’s Contract will be the responsibility of the KYTC.



The KYTC’s Division of Construction Procurement is responsible for the prequalification of contractors desiring to bid on contracts for the construction and maintenance of state routes and bridges. The SDCs will prepare and supply information to the KYTC for preparation of the contract documents and the engineer’s estimate.

The KYTC’s Standard Specifications for Road and Bridge Construction and KYTC’s Contract Procurement Guidance Manual are incorporated by reference and explain the Construction Procurement procedures.

Section 1-180.55, the Section in the Land Between the Lakes was a Design‐Build Section and has been completed by the team of The Rogers Group/QK4.

The other five Sections are currently in the Design Phase.

6.3. Special Materials and Equipment Procedures

During the design process, the KYTC will determine the feasibility/desirability to enter into material procurement contracts with vendors in order to control the cost of materials and/or equipment. In each case, the risks of acquiring materials to be provided to the contractors for installation will be analyzed and the cost of such special procurements and storage will be considered.

6.4. Right of Way Services Procurement

The KYTC may procure Right of Way (ROW) services for the project. These services may include property appraisals, ROW plan preparation, metes and bounds descriptions and acquisition documents. These contracts may be separate from the SDC contracts and will be prepared as necessary in accordance with the KYTC’s requirements as described in Section 6.2 above.

6.5. Utility and Public Agency Agreements

The KYTC will utilize existing agreements with utility owners and public agencies, wherever practical. If new agreements or modifications to existing agreements are required by the project, the KYTC will work with the applicable KYTC personnel to effect these agreements in a timely way to support the project.

6.6. Federal Procurement Requirements

The FHWA requires review and approval for all design, construction and materials procurement contracts that utilize FHWA funds in accordance with Title 23 of the Code of Federal Regulations, unless otherwise delegated.



6.7. Contract Award Protest Procedures

Protest procedures will follow the KYTC’s procurement regulations described in Kentucky Revised Statute 45A.285.

6.8. Contract Management

The core contract management processes used for each design contract are described in the KYTC’s Professional Services Guidance Manual.

The core contract management processes used for each construction contract are described in the KYTC’s Standard Specifications for Road and Bridge Construction.

Contract changes referred to in this section are different than the management of changes in the scope of work, budget and schedule discussed elsewhere in this document. These contract changes relate to changes to the standard form of contract used in the procurement of design and construction services. No changes in the contract form are anticipated. If it is determined that contract changes are necessary, the execution of the changes will be governed by the KYTC’s procurement regulations. The proposed changes will be submitted to the Contracts Department for consideration. The proposal will consist of a description, justification and an assessment of the effect of the proposed change on the project.

6.9. Warranty Management

If warranties are utilized, contract language requiring contractors to establish a warranty management database for all warranties under the contract will be developed by the state procurement team, district staff and operations and maintenance staff. Warranties and warranty management databases will be required in a format that facilitates timely and effective transfer to the KYTC’s Operations and Maintenance entities.



CHAPTER 7. COST, BUDGET & SCHEDULE

7.1. General

The Project Initial Financial Plan is incorporated by reference. Per FHWA requirements, the Initial Financial Plan will be updated, at a minimum, on an annual basis.

The projected total costs in “Year of Expenditure” dollars of all project segments of the Selected Alternatives are estimated to cost $583.1 million. The projected $583.1 million total cost corresponds with the FHWA October 2011 “Cost Estimate Review Report” for the US 68/KY 80 Corridor from Aurora, Kentucky to Cadiz, Kentucky project. A breakdown of current expenditures to date and the projected costs for each segment of the US 68/KY 80 Corridor from Aurora, Kentucky to Cadiz, Kentucky project is shown on the next page in Figure 8. The current expenditures to date for all segments of the US 68/KY 80 Corridor from Aurora, Kentucky to Cadiz, Kentucky project is approximately $67.8 million, thus, leaving approximately $515.3 million future remaining project expenditures.

The estimated costs for the remaining project phase’s costs include an additional 10 percent for contingency to cover project cost increases during the corresponding project phase activities. The methodology for projecting “Year of Expenditure” dollars for the remaining costs of the Design, Right-of-Way, Utility, and Construction phases of each of the remaining sections for the reconstruction of US 68/KY 80 from Aurora, Kentucky, to Cadiz, Kentucky project utilized the cost of each remaining phase in 2011 “Today Dollars” inflated to the “Year of Expenditure” cost. A rate of inflation of 4% per year for Design, Utility, and Construction phases, and a rate of inflation of 5% per year for Right-of-Way phases was used to increase the 2011 “Today’s Dollars” estimated costs to the “Year of Expenditure” cost based upon the midpoint of projected time required to complete each of the remaining phases of the overall project. For a complete listing of projected costs and cash flow schedule of expenditures for each remaining project segment, see the Project Initial Financial Plan.



Figure 8 – “Year of Expenditure” Cost Estimate by Segment

LEGEND (millions of dollars) $XXX.X - Total cost per Segment/Phase $XXX.X - Current Expenditures per Segment/Phase $XXX.X - Cost to Complete Segment/Phase (includes 10 percent contingencies)

Segment Design Right-of-way Utilities Construction Total

Kentucky Lake Bridge & Approaches (Item #1-180.70)

$23.65 $4.9

$18.75

0 0 0

$0.5 0

$0.5

$196.25 0

$196.25

$220.4 $4.9

$215.50 LBL Design-Build #6 (Item #1-180.55)

$2.6 $2.5 $0.1

0 0 0

$2.5 $1.2 $1.3

$52.9 $51.5 $1.4

$58.0 $55.2 $2.8

Lake Barkley Bridge & Approaches (Item #1-180.60)

$23.65 $4.9

$18.75

0 0 0

0.5 0

0.5

$204.25 0

$204.25

$228.4 $4.9

$223.5 Canton Section (Item #1-180.51)

$1.9 $0.9 $1.0

$5.3 0

$5.3

$4.2 0

$4.2

$10.1 0

$10.1

$21.5 $0.9

$20.6 Pete Light Springs Section (Item #1-180.10)

$1.5 $1.0 $0.5

$1.8 0

$1.8

$4.0 0

$4.0

$22.5 0

$22.5

$29.8 $1.0

$28.8 East End Section (Item #1-180.11)

$1.7 $0.9 $0.8

$2.4 0

$2.4

$4.0 0

$4.0

$16.9 0

$16.9

$25.0 $0.9

$24.1

TOTALS

$55.0 $15.1 $39.9

$9.5 0

$9.5

$15.7 $1.2

$14.5

$502.9 $51.5

$451.4

$583.1 $67.8

$515.3



Figure 9 – Project Schedule



Based on the currently planned traditional project delivery approach, the final segment of the Aurora to Cadiz project is scheduled to be completed in the summer of 2017. As to the completion of individual segments of the project, the Land Between the Lakes section is scheduled to be complete by Fall 2012, the Canton section by Fall 2015, the Pete Light Springs section by Fall 2015, the East End section by early 2016, construction of new Kentucky Lake Bridge by Fall 2016, and the construction of new Lake Barkley Bridge by Summer 2017. The Project Schedule – Figure 9 - on the previous page shows the detailed implementation plan for each phase of these six (6) segments of the US 68/KY 80 Corridor from Aurora, Kentucky to Cadiz, Kentucky project.

Given the structure of the Aurora to Cadiz project; it is clear that the coordination of design, acquisition of right-of-way, relocation of utilities, and construction sequencing among the various sections will be critical to keep the project on schedule. Such sequencing could have a significant impact on overall costs and financing requirements. The KYTC recognizes the importance of close coordination and has developed mechanisms to ensure that the project sequencing is monitored and conducted to complete the project within the projected project timeline and to maximize the available project funding. To mitigate risks to the costs and schedule associated with the project design, the KYTC will manage communication among section designers to ensure design compatibility and exploit potential efficiencies. Context-sensitive design and value engineering techniques are to be utilized whenever applicable.

Schedule delays, especially during construction, are primary causes of cost escalation. While expediting project schedules can often help to reduce inflation-related cost escalation, aggressive acceleration can sometimes drive up costs for particular project elements. To mitigate these potential schedule-related impacts, construction needs will be analyzed so that the sequencing minimizes the potential for delays prior to implementation.

7.2. Initial Financial Plan

The FHWA has provided guidance regarding the content and format of the Initial Financial Plan (IFP) for the Reconstruction of US 68/KY80 from Aurora, KY to Cadiz, KY, required by Section 1904(h) of SAFETEA-LU. FHWA Final Major Projects, Project Management Plan and Financial Plan Guidance, dated January 2007, is incorporated by reference. In accordance with this guidance, a Financial Plan is required for any project with an estimated total cost of $500 million or more. The FHWA Financial Plan Guidance presents an outline for the "Initial Financial Plan" and for the required annual updates. The KYTC has prepared an Initial Financial Plan with the current financing plan information.

The Initial Financial Plan provides information on the immediate and longer-term financial implications resulting from project initiation. The annual updates of the Initial Financial Plan will provide information on actual cost, expenditure, and



revenue performance in comparison to initial estimates as well as updated estimates of future year’s obligations and expenditures. The annual updates will provide information on cost and revenue trends, current and potential funding shortfalls and the financial adjustments necessary to assure completion of the project. The Initial Financial Plan and its subsequent Annual Updates provide assurance that the project’s impact on the state’s transportation capital improvement program has been assessed. The projected uses of funding for the Project must meet the fiscal constraint requirements for the state’s planning processes.

The Initial Financial Plan is a comprehensive document that reflects the project’s cost estimate and revenue structure and provides a reasonable assurance that there will be sufficient financial resources available to implement and complete the project as planned. It provides a description of how a project will be implemented over time by identifying project costs and the financial resources to be utilized in meeting those costs. It explains the assumptions about both cost and revenue upon which the plan is based. In addition, the annual updates to the plan will enable decision makers to track the financial progress of the project over time by highlighting significant deviations from the Initial Financial Plan and the subsequent annual updates and explaining the mitigating actions taken to adjust for those deviations.

The Initial Financial Plan and each Annual Update is submitted to the FHWA Division Office for review and acceptance.

The plan consists of five main sections:

Cost Estimate - in which the total cost and cost-to-complete for major project elements are presented in year of expenditure dollars

Implementation Plan - in which the project schedule is presented and the cost-to-complete is presented in annual increments in year of expenditure dollars

Financing and Revenues - presented by funding source as annual amounts available for project obligations

Cash Flow - an annualized presentation of cash income and outgo to illustrate how periodic bills will be paid

Risk Identification and Mitigation Factors

Annual Updates to the Initial Financial Plan will include revisions to the five main sections mentioned above and will also include data covering:

The cost history (initial estimate versus actual expenditures) of the project

A presentation and analysis of cost and revenue trends that may result in additional funding needs or cost reductions



A discussion of additional funding increases or cost reductions necessary in the coming year to meet funding shortfalls which have become known since the last submission, including a discussion of their cash flow implications (this discussion will include a projection of any potential funding shortfalls in future years, including those based on the cost trends identified in the previous section)

A discussion of any significant reductions in cost during the past year and the potential for such reductions in future years

An identification of significant increases in project costs of $10 million or more as compared to the original estimated costs both in the past year and projected for the future. The cost changes reported may be for any reason including changes in project scope, design, right or way, construction, and/or changes to financing estimates.

The Initial Financial Plan includes a narrative describing the assumptions used to develop the project cost estimates. All assumptions for the revenue forecasts and cash flow are also included. The narrative descriptions include the sources of information for the forecasts, the methodology used for developing the forecasts, and identify whether there has been any independent validation of the forecasts or sensitivity testing.

Any documentation that provides the basis for projected costs/revenues (e.g. revenue studies, feasibility studies, economic forecasts) is included as attachments to the Initial Financial Plan. They will also be included in the Annual Updates if they represent material changes from the attachments in the IFP.

CHAPTER 8. PROJECT REPORTING AND TRACKING

Project Reporting and Tracking Procedures that define schedule update timeframes and formats, cost reporting timeframes and formats, communication protocol, and overall project administration procedures have been established by the KYTC and outlined in the KYTC’s Highway Design Guidance Manual. In accordance with the KYTC’s Highway Design Guidance Manual, the SDCs will submit a pay estimate as progress is made, typically on a monthly basis. The SDCs will also complete and attach the Consultant Monthly Report to all submittals of pay estimates. If not submitting an estimate within a given month, the SDCs should still submit the Consultant Monthly Report to the project manager. The first submittal of the Consultant Monthly Report shall include all established project milestones. Milestones shall include those provided in the SDC’s contract, as well as departmental obligations or other items, such as time frames expected for outside review, that might be on the project’s critical path. Submission of milestone pages is required only when the milestone dates are changed or completions of milestones are met. The front page of the monthly report is submitted every month to the project manager. The SDCs shall provide short statements indicating progress or advising of actions



needed by the Department. Similarly, the project manager shall provide responses to the information submitted and indicate any needed actions by the SDCs.

The project manager should respond to the monthly report within one week of its receipt and send copies of the report to the SDCs, location engineer, and the director of the Division of Highway Design.

This project reporting and tracking system has been developed to collect, assess and maintain project status information and data that is timely, independent, and accurate. This system provides current information on project progress, changes, and issues. This information is used to identify trends and forecast project performance and to identify and proactively address major project challenges.

CHAPTER 9. INTERNAL AND STAKEHOLDER COMMUNICATIONS

9.1. Internal Communications

Regularly scheduled Project Team Management Meetings are held between the KYTC and the SDCs. These meetings are regularly attended by representatives from FHWA. Informational copies of all meeting minutes are provided to the attendees. These meetings are usually held on a monthly schedule with the next meetings date and location being set at the end of the meeting.

In addition, significant issues occurring between the Project Team Management Meetings are communicated immediately without waiting for the next regularly scheduled meeting. These issues regularly require additional meetings with representatives from the Kentucky State Parks, the Tennessee Valley Authority and the US Forest Service.

9.2. Primary Stakeholder Communications

The officials with the federal, state, and local agencies, listed in Section 4.4, and the members of the Citizen Advisory Committee for Selection of the Bridge Type for the Kentucky Lake and Lake Barkley Bridges, listed in Section 4.5, are considered to be Primary Stakeholders on the project.

The project team has actively engaged the Primary Stakeholders in the project through the use of formal meetings, presentations, and direct correspondence. This communication has occurred, and will continue to occur, at key project milestones such as the Bridge Type Selection Process, Preliminary Line and Grade design, permitting, etc. The project team has also communicated with the Primary Stakeholders individually regarding issues that specifically require their



input. Feedback from the Primary Stakeholders has been compiled and incorporated into the project documentation files and decision-making processes.

9.3. Media and Public Information

Following procedures outlined in the KYTC’s Highway Design Guidance Manual, the KYTC’s District 1 has developed a communications program designed to maintain the trust, support, and confidence of the media and public throughout the life of the project. Some of the key strategies that are included in the communications program are:

The KYTC’s, District 1, Public Information Officer (PIO) is responsible for all public information and media efforts for the project. All external communication is coordinated by the PIO in order to maintain consistent information and allow the project delivery team to effectively speak with “one voice.”

Collaborate with the other KYTC public relations offices to ensure that media and public inquiries about the project are routed to the PIO and that sufficient and timely information on the project is provided to these and other contact points where the public and media expect good information.

Provide project status information to the media and public, including scheduled milestone completion dates; significant contracts advertised, awarded, or completed; and total cost projections.

Convey updated commuter and traffic information, including traffic pattern changes, periods of lane closures, traffic delays, work zone accidents, alternate routes available, and alternate forms of transportation available.

Provide timely responses to media and public questions and requests for information.

Provide assistance to the communities and other stakeholders in developing ownership and pride in the project, by building awareness and helping them understand the benefits of the project.

The PIO will be responsible for all communications with the media and the public. The PIO will coordinate all inquiries and responses to the media and the public and be invited to all project meetings. This will ensure that the PIO has a thorough understanding of each design section’s status and issues to better answer inquiries and provide project updates. The PIO will be the point person to inform external customers, along with the media, of project information. The intent is to be proactive in providing project information. A media relations and access strategy, which identifies known media outlets, and includes media relations strategies and processes for providing information to the media, is in place. Local media will include the television stations, radio stations and newspapers in



Paducah, KY, Hopkinsville, KY, Mayfield, KY and Murray, KY; and they will be used to provide messages to the public. Because of the magnitude and visibility of this federally funded project, the PIO is also prepared to provide information to national and specialized media and respond to their requests for information.

The PIO will convey updated commuter and traffic information, including traffic pattern changes, periods of lane closures, traffic delays, and work zone accidents to the media and public through their existing method of fax, email and the KYTC’s Travel Information website, 511.ky.gov. Traffic advisories and road condition updates will also be sent to the public via email and Twitter, if citizens wish to sign up for that service and posted on the District 1 Facebook page, www.facebook.com/KYTCDistrict1. A project website has been established and is available to the public, which includes project status and photos of construction, www.lakebridges.com.

The District 1 PIO has been involved with efforts to communicate the impacts and benefits of the project to this area. Prior to construction, the PIO will meet with local stakeholders to provide them updated information on the project. In addition, news releases will be sent out frequently reminding the public of the project. The PIO will be easily accessible and available throughout each phase of the project for any inquiries from the public or stakeholders. Contact information for the PIO is posted on the KYTC’s website transportation.ky.gov. This information will also be posted on every news release, traffic advisory and email.

The PIO coordinates media interviews to ensure that the media receives accurate, clear and concise information. A project media list is regularly updated and includes:

Contact information, telephone and fax numbers, and e-mail addresses for major print and electronic media.

Contact information for major media outlets in neighboring markets.



CHAPTER 10. MANAGEMENT CONTROLS

10.1. General

The SDCs are responsible for the design of the five current design sections. They were selected and contracted through the appropriate KYTC processes (see Chapter 6). Project management services for each section are provided by the KYTC. Each section may be designed for construction as multiple contract packages. The number of construction contracts and contract limits will be determined based upon logical maintenance of traffic, construction staging, contract value, and compatibility with available funding. This hierarchal structure of project sections, phasing and construction contracts, will be consistent with the project schedule and budget.

Similarly, contractors will be awarded construction contracts through the appropriate KYTC processes (see Chapter 6). Project management services for each construction contract will be provided by the KYTC and construction contract project management oversight and integration into the overall project will be provided by KYTC personnel. Construction start and completion milestone dates will be established with each construction package. The selected contractor for each construction contract package will develop a detailed schedule.

10.2. Risk Management (Threats and Opportunities)

As with any project of the size and duration of the reconstruction of US 68/KY 80 between Aurora and Cadiz, Kentucky, there are a great number of uncertainties regarding the magnitude and timing of project costs in relation to the availability of funding. These factors include cost and funding, related risks, and associated mitigation strategies, as well as interdependencies with Kentucky’s ongoing transportation program, budget, and other projects.

Risk management provides a method to analyze activities to provide a specific response to the inherent threats and opportunities of a project of this magnitude. Risk management seeks to identify potential threats and favorable opportunities before they occur and to develop strategies that increase the likelihood of a favorable outcome.

Potential threats and opportunities to both the project budget and schedule have been identified and assessed. These threats and opportunities are shown in Table-1, Cost and Schedule Risks, on the next page. The most significant of these cost risks that could impact the project included the following:



Table-1. Cost and Schedule Risks



10.2.1. Threats to Increase Project Costs

FINAL DESIGN ESTIMATE MAY INCREASE: The majority of the risk for increased costs of final design was put back into the based estimate, as the pre-CER estimate was increased from $15 million to $25 million to complete the design of the Lake Barkley Bridge. With the design only at near the 15% concept stage, there is still risk to additional increases as design progresses.

ENVIRONMENTAL MITIGATION: The threat of an increase for the cost of “power storage” volume loss in the lakes, a high probability of an archaeological site being found, the potential for burial grounds being encountered, and the potential for encountering endangered species were all considerations for the threat of an increased cost related to environmental mitigation.

ROW FOR ROADWAY SECTIONS (.10 AND .11): With primarily residential parcels in these two roadway sections (a combined 52 parcels with 11 relocations), there is a risk that the costs of the ROW acquisition could increase up to 25% higher than current estimates. This cost threat was modeled in that manner.

DELAY IN DEMOLITION OF BRIDGES (INFLATION): The bridges will not be demolished until the construction of the new bridges is completed, and may be further delayed due to environmental reasons including bird nesting season. There was concern that this delay could increase the cost due to inflation.

CONSTRUCTION ACCESS AT BRIDGES: Concern with ease of contractor access for bridge construction was considered a cost threat. Any environmental issues that will limit access could have an impact on costs.

STRUCTURAL STEEL: Structural steel for the bridge structures could have high volatility and have a significant impact on costs should steel be in a high inflationary period near the time of bid. Availability, shipping distance, constructability and other factors will all impact the price of steel bid for the bridges.

SUBSTRUCTURE CONCRETE: With limited geotechnical information being available for the substructure of the bridges, there is a threat that the conditions and requirements will have an impact on the costs of the bridge substructures, including longer and larger piles than estimated.

COFFERDAMS: The threat of requiring cofferdam construction methods for the deep foundations could have a significant impact on the costs.



DEMOLITION OF BRIDGES (ALLOWABLE METHODOLOGY): The threat of there being very restrictive requirements for the methodology of the bridge demolition is a threat to increasing the price above the more standard assumed bridge demolition.

CHANGE ORDERS DURING CONSTRUCTION: The threat of change orders during construction was considered to be in the range of similar projects, and was modeled to likely be in the range from 5% to 10% of construction costs for the bridge sections, and slightly higher for the roadway sections. This was the highest magnitude dollar value threat during the study.

CONSTRUCTION PLAN NOT FUNDED IN FUTURE 2-YEAR PLANS: There is a threat that the roadway sections that are not currently funded in the 2-year plan (1-180.10 and 1-180.11) may not be funded in the next 2-year plan making construction costs potentially increase due to escalation.

10.2.2. Opportunities to Reduce Project Costs

POTENTIALLY LOWER CAUSEWAY VOLUME OFFSET FEE: Currently the KYTC is meeting with the Tennessee Valley Authority to determine the fee related to a lower causeway volume during construction. This fee may be lower than what is currently included in the cost estimate.

POTENTIAL LOWER QUANTITY FOR CAUSEWAY FOUNDATION IMPROVEMENTS: It was discussed that the causeway foundations were estimated somewhat conservatively, and that as further geotechnical information is completed, there may be an opportunity to design with smaller and more efficient piles.

APPROACH SPANS LOWER POTENTIAL UNIT PRICE: The consultants provided information during the review that the major bridge approach spans were estimated very conservatively based on the preliminary indications that there would be friction piles since the rock is close to a 200’ depth. The estimate is considered to be a worst case scenario, so there is a good opportunity that costs could be lower than estimated.

LOWER COSTS FOR UTILITY RELOCATIONS (10%): The estimates for utility relocations for the roadway sections were considered to be conservative, and the KYTC’s District 1 utility engineer noted there is an opportunity that they could be in the range of 10% lower than the current estimate.



10.2.3. Threats and Opportunities to Project Schedule

Threats were identified related to the project schedule that included pre-construction items, including delay of the final bridge design and potential delay related to the threat of a potential lawsuit. These were not seen as significant threats and were considered to have a low chance of occurring.

The threat of additional environmental mitigation was also considered to have a potential impact on the schedule, particularly in the roadway sections. The threats were considered to have impact on the individual sections only, and not impact other sections.

The overall project impact from schedule threats was considered to be in the range of less than a year, and would only impact sections individually. Traffic would remain at normal construction flow during a construction schedule delay.

10.2.4. Strategies and Actions for Risk Management

Avoidance/Optimization – The KYTC may change the project plan to eliminate the threat or ensure the opportunity to positively maximize the Project objectives with regards to an event’s impact. This may be achieved by changing scope, adding or reducing time, and/or adding or reducing resources.

Threat/Opportunity Sharing – If it is determined that a contracted party is more capable of taking steps to reduce threat or increase opportunity, the KYTC may elect to optimize the impact of the threat or opportunity by contracting out some aspect of the work.

Mitigation – The KYTC seeks to reduce the probability or impact of a threat event and to increase the probability or impact of an opportunity event to an acceptable threshold. This may be accomplished through a variety of means that are specific to the project and each threat or opportunity. Although a compromise to a definitive solution, mitigation may still be preferable to going forward with an unmitigated threat or opportunity.

No Action – The KYTC decides to accept certain threats. Some threats and opportunities may be accepted without changing the project plan or developing any response strategy other than agreeing to address the event if it occurs.

The threats and opportunities are continually monitored and reassessed by the KYTC and the SDCs. Threats and opportunities are placed in new ratings categories, as required, removed from the list when resolved, and added to the list when new threats and opportunities are identified.



10.3. Scope of Work Management

The definition of the Scope of Work for the project leads to the establishment of a detailed scope of work for each of the Design Sections and the Construction Contract Packages. It was the responsibility of each SDC to develop a proposed Scope of Work for the section they are designing. The KYTC then worked with the SDCs to review, clarify, and refine their Scopes of Work. The design Scopes of Work are based on deliverables, and are directly related to the budget and schedule.

The Scopes of Work for the Construction Contract Packages will be defined through the preparation of the construction bid packages. The KYTC will coordinate with the SDC to develop specifications and instructions to contractors that will clearly define the work and establish milestones. Incentives and disincentives may be identified for some or all of these contracts.

Management of the Scopes of Work for Design and Construction involves continuous review by the KYTC of the work being performed, and monitoring the conformance of the work being performed to that defined in the respective contracts. Scope creep is kept to a minimum through the use of Change Control Procedures (See Section 10.7) No work will be paid for that is determined to be out of scope without approval by the KYTC.

10.4. Schedule Management

10.4.1. Project Schedule

A design and construction schedule has been established (See Chapter 7. Cost, Budget & Schedule and the Initial Financial Plan). This detailed schedule prioritizes design and construction sections, as well as identifies critical path elements such as right of way acquisition, utilities coordination, and other schedule dependent activities. The schedule is used as both a time and cost tracking mechanism as well as an integral part of the acquisition strategy, risk management, and financial management plans.

10.4.2. Schedule Assumptions

The Project Schedule, (See Chapter 7. Cost, Budget & Schedule) and supporting schedules include all schedule assumptions that drive the baseline schedule such as assumed start dates, durations, funding profiles, etc. As project planning and execution causes the assumptions to be realized as fact or proven false, changes to the schedule and budget are documented using the change control process.



10.4.3. Section Designer Schedule Management

The Project Schedule was reviewed for constructability and staging and derives schedule guidance that is provided to each SDC. These and other SDC schedule requirements were incorporated into each SDC contract. Each SDC develops and modifies schedules for their project sections in accordance with the requirements in their contracts. The SDC schedules are integrated into the Project Schedule as required.

10.4.4. Construction Schedule Management

The Project Schedule was reviewed for constructability and staging and derives schedule guidance that is provided to each construction contractor. Schedule requirements have been and will be incorporated into each construction contract. Each construction contractor develops and modifies schedules for their project sections in accordance with the requirements in their contracts. The construction schedules are integrated into the master schedule as required.

10.5. Cost Tracking

10.5.1. Budget and Cost Control

The KYTC is responsible for controlling project costs. Methods for estimating and monitoring the value of project costs and the associated risk of potential variances in cost have been developed.

As part of the cost control process a list of threats and opportunities that could lead to potential cost overruns or savings project-wide and within each project section has been developed (See Section 10.2). This information is used to develop strategies to reduce threats and cost, and streamline the project schedule. Identified threats and opportunities and their potential cost impacts are reviewed so that limits and assumptions of the estimate are better understood as the project proceeds.

Each SDC is required to continually confirm that the work can be secured within the target amount for each construction package. If an SDC exceeds the cost target, they are required to creatively determine cost-savings opportunities to bring the package back within the target budget. Once areas where costs can vary are identified, control measures are implemented including re-packaging the work packages to encourage greater competition.

10.5.2. Funds Accounting

Accounting procedures, for project funds, have been developed to comply with Federal and State accounting system requirements. The system is responsive to the KYTC’s requirements as appropriate on each project section.



10.5.3. Cash Flow Management

Cash flow requirements are derived from the Project Schedule on a quarterly basis. The projected cash flows are analyzed against the anticipated funding availability, and programmatic adjustments to optimize the project schedule are considered.

10.5.4. Value Engineering

Context-sensitive design and value engineering techniques are to be utilized whenever applicable per the standard KYTC processes as a means of providing opportunities to reduce costs, reduce schedule, or otherwise improve project performance or efficiency.

The KYTC’s Standard Specifications for Road and Bridge Construction provides a detailed explanation of the KYTC’s Value Engineering Process.

An early Value Engineering Study was conducted in April 1997 for the reconstruction of US 68/KY 80 between Aurora and Cadiz.

The Value Engineering Study took place at the 10% - 25% design stage.

The Value Engineering Study Team consisted of personnel from the Kentucky Transportation Cabinet and the firm of Dames & Moore Group.

The overall project had originally been split into the 5 design sections: 180.53, 180.52, 180.51, 180.10, & 180.11 (Sections 180.53 and 180.52 are presently designated as Sections 180.55, 180.60 & 180.70). At the time of the Value Engineering Study, the preliminary design was being developed by 3 design firms: E.A. Partners; Johnson, Depp and Quisenberry; and Skees Engineering.

Summary of Savings

The study generated 31 ideas, of which 8 were developed as recommendations to be submitted for consideration by the owner and design teams. The total dollar amount represented by all 8 recommendations was $95,304,298. Two (2) recommendations involved added cost of $18,712,451 and the six (6) remaining recommendations involved a reduction in cost of $116,016,749. All recommendations could not be accepted together as some were mutually exclusive of others. The Value Engineering Study Team developed two suggested lists of what was, in their opinion, the best mix of recommendations for the overall good of the project, considering both cost savings and value added. If either list of recommendations were to be accepted, the project would realize a potential savings of $31,842,256 (Items B, G & H listed below) or $36,145,793 (Items B and D listed below).



At the time of the study, the project had an estimated construction cost of $157,858,000. This estimate included contingencies, R/W, and utilities, and was the total cost to the owner. The team estimated the cost of the bridges to be $20,510,345 more than the amount previously estimated. Taking this into account and escalating the estimate to 1999, the VE team estimated the total cost to the owner to be $191,426,000 in 1999 dollars.

Major Recommendations

A. Change preferred long span structure – Resulted in a negative cost savings of $15,740,920.

B. Do not widen causeway (2-lane crossing) – Cost savings - $2,901,528.

C. Reuse existing causeway (4-lane crossing) – Cost savings - $5,587,848

D. 2-lane all the way, new alignment – Cost Savings - $33,244,265

E. 4-lane all the way, new alignment – Resulted in a negative cost savings of $2,971,531.

F. Replace 2-lane bridges only and rehab 2-lane existing alignment with spot improvements – Cost Savings - $45,342,380.

G. 2-lane new alignment except through the LBL where there would be a 4-lane new alignment – Cost Savings - $27,804,224.

H. Adjust the profile for better balance on segments in the LBL, 4-lane plan – Cost Savings – 1,136,504.

Items A, E and H became part of the final design of the eventual 6 design sections. The long span structure was changed from a steel girder to a tied arch for several reasons, including the horizontal clearance requirement of 500’ minimum. There was also a question raised about the original cost estimates for the long spans using a steel girder design. The team members believed the original cost estimate of $115/sf should have been closer to $175/sf, which would have reduced the increase in cost for the tied arch design.

10.6. Partnering

Partnering is a major objective for the project. This includes both internal partnering among project team members and external partnering with construction contractors. KYTC’s partnering practices are described in the KYTC’s Standard Specifications for Road and Bridge Construction.



10.7. Change Order and Extra Work Order Procedures

10.7.1. General

Design services modifications are performed per the KYTC’s Professional Services Guidance Manual, and construction contract change procedures are described in the KYTC’s Standard Specifications for Road and Bridge Construction.

10.7.2. Administration of Contract Changes

KYTC’s change process is followed. The FHWA will provide change approval, when required.

10.7.3. Baseline Change Control

Changes to the design and construction schedules are documented with respect to their impact on the project baseline. Baseline change requests are prepared by the SDC or construction contractor and forwarded to the KYTC for approval. The SDC or construction contractor obtains FHWA approval as required.

10.8. Claims Management

Disputes and Claims will be handled in accordance with the procurement regulations of the KYTC. The KYTC’s Standard Specifications for Road and Bridge Construction details the procedures for disputes and claims management.

10.9. Design Management

10.9.1. General

Each of the project sections will be designed by an SDC. Each section will be divided into construction phases and each section may be further divided into construction contracts. Each SDC is responsible for final design of their section.

10.9.2. Project Sections

The design process for the project sections follows applicable KYTC design management guidelines and procedures. This process is explained in the KYTC’s Highway Design Guidance Manual. The KYTC’s Division of Highway Design will be an active participant in the design development and review process.

10.9.3. Design Product

Each SDC provides engineering documents in accordance with the current edition of the published KYTC design criteria.



KYTC’s Structural Design Guidance Manual

KYTC’s Drainage Design Guidance Manual

KYTC’s Highway Design Guidance Manual

KYTC’s Pavement Design Guidance Manual

KYTC’s Geotechnical Guidance Manual

KYTC’s Traffic Operations Guidance Manual

KYTC’s CADD Standards

Design-Specific Memoranda issued by the KYTC

all of which are incorporated by reference. Design documents are reviewed for compliance with contractual requirements, and sealed by a licensed Professional Engineer employed by the SDC as required by the state laws.

10.9.4. Design Standards and Criteria

The application of the current edition of the KYTC Design Standards for each of the project sections is required.

10.9.5. Context Sensitive Design

The roadways, bridges, and other project elements are being designed and will be constructed with sensitivity to communities, neighborhoods, adjacent environs, aesthetic values, historic cultural landscapes, and historic contexts utilizing the services of professionals with experience in areas related to historic preservation. Designs may include aesthetic treatments to surfaces, structures, portals, appurtenances, land contours and landscaping that complement the historical contexts of historic properties.

10.9.6. Control of Design Standards Documents

The current edition of the referenced KYTC Design Standards is used by the SDCs. Should these standards be updated, during the design process, the potential impact of the changes will be determined and addressed as applicable.

Design standards developed specifically for this project will be controlled through the document control processes.

10.9.7. Control of Design Documents

The completed design packages will be prepared by the SDC. These design packages come under the project document control process when the documents are submitted to the KYTC for review and processing. Prior to that point, configuration control of the documents is the responsibility of the SDC.

Each project section design is baselined at the appropriate milestones during its development and again when the design is determined to be 100 percent



complete. Any changes as directed by the KYTC from that point are documented through the prescribed contract change order/modification documentation process and again during the preparation of as-built documentation. Any changes to one section design may cause a review for conformance with the overall project for design integrity, and with the design intent and agency standards. The document control system (see Chapter 19) ensures that only the latest approved versions of technical documents are available for use by team members at all times.

10.9.8. Special Studies

Should the KYTC determine that additional studies are required, the KYTC will arrange for those studies to be accomplished in a timeframe that minimizes impacts to the Project Schedule and at a cost that represents an appropriate business decision.

10.9.9. Operations and Maintenance (O&M) Procedures

During the design phase, project team members will focus on designs that take operations and maintenance into consideration, concentrating on optimizing the life-cycle costs. Input from the agency O&M teams will be obtained in the design process.

10.10. Geotechnical Investigation

The KYTC conducts all geotechnical investigations with assistance from their statewide “on call” consultants. Detailed geotechnical investigations and reports are developed for all areas, including bridge piers, abutments, and retaining structures, and provided to each of the SDCs for their use. In the roadway sections the reports included soil profiles, cut/fill stability sections and recommendations for embankment foundation benching.

10.11. Design Reviews

Throughout the project, the KYTC oversees and monitors all design activities, including the coordination required with various governmental and environmental agencies.

The KYTC facilitates all design reviews with the SDC. Design reviews are conducted by the KYTC. A designated KYTC Design Engineer/Manager has been assigned to each of the project sections. This manager is responsible for oversight and management of all elements of design within their design section. Several system-wide elements are managed and coordinated across all design sections to ensure continuity and uniformity in approach and design.

Design reviews of the plans, specifications, and cost estimates are conducted at appropriate levels of design development as required by the KYTC.



A comprehensive list of review comments is developed for design review meetings. Subsequent review meetings include an evaluation of previously identified comments. Sufficient reviews are performed regularly to ensure each SDC progresses their work so as not to adversely affect adjacent SDC schedules or the Project Schedule. The KYTC coordinates the distribution of each design section plan review sets with other relevant reviewing agencies, such as utility companies.

Submittal dates for each SDC deliverable will be maintained in the Project Schedule. Any variance from this schedule by an SDC will require a corrective action plan by the SDC, indicating the steps it will take to bring the design section back on schedule. SDC progress reports, including any corrective action planning requirements, are regularly reviewed.

10.12. Constructability Reviews

Constructability and maintenance of traffic (MOT) reviews are conducted during each design review and during the Value Engineering process to verify the constructability of the design and to ensure that all design criteria and specifications are clear and concise. The constructability reviews also evaluate whether the sequence of work developed has been well coordinated with the overall project design, portraying all significant features and details. The constructability reviews serve to review the cost-benefit relationships of the entire program, not just to enhance construction, engineering, or procurement of one project section at the expense of another. Each SDC develops criteria and establishes a conceptual MOT plan with specific investigations into the construction impacts on the basic transportation system and truck traffic during construction. These reviews will be conducted by the KYTC.

10.13. Regulatory Compliance Reviews

Regulatory requirements are reviewed and specialty reviews of design elements intended to mitigate concerns and meet regulatory requirements including those identified in the FONSI are conducted continually during the design process.

10.14. Security/Emergency Preparedness

Security and emergency preparedness for risks related to project section designs are evaluated during each design review. Each SDC is required to prepare designs to reasonably minimize potential security and disaster risks to the completed facilities throughout their life cycles. Construction contractors will be required to include measures in their proposed construction strategy to be able to react to potential security and emergency situations in circumstances of threat to the facilities under construction, and other regional threats requiring changes to the normal traffic maintenance provisions. See Chapter 15 for additional information.



10.15. Survey Control

Survey control, for all project sections, is based on Kentucky’s State Plane Coordinate System. Each SDC installs and maintains their survey control and monuments. This control and monument coordinate data is shown in the plans and is turned over to the KYTC for their use during construction. SDCs and construction contractors have contractual requirements placed on them for installation and validation of secondary controls and documentation.

10.16. Hazardous Materials Management

During the design phase, each SDC will follow the KYTC’s procedures and requirements in developing specifications for section or work package specific Hazardous Materials Management Plans. The KYTC’s Division of Environmental Analysis Environmental Procedures Manual details the required process.

10.17. Permitting

Prior to letting a contract, the SDC will prepare all necessary support material and assist the KYTC in obtaining all permits for the contracted portion of the project. The support material will identify the permit, the responsible organization for obtaining the permit, and the anticipated timeline for application, review, and receipt of the permit. Permit application, and receipt milestones will be included in the Project Schedule. All support material and permit literature is maintained in Document Control.

10.18. Historic Preservation

The National Historic Preservation Act of 1966 requires that federally funded or permitted projects:

Take into account the project’s effect on historic properties

Be reviewed by the State Historic Preservation Officer (SHPO).

The project area contains no properties that are listed on the National Register of Historic Places (National Register). Six properties in the project area were found during project related surveys to meet the National Register criteria. They include the two river bridges and four properties east of Lake Barkley.

In consultation with the SHPO and appropriate local governments, Historic Preservation Plans (HPPs) for the project are being developed. The HPP is based on an Interpretive Signage Program. The historic contexts and the designs of the interpretive signage will be developed in consultation with the Federal Highway Administration, the U.S. Forest Service, the Kentucky Transportation Cabinet, the Division of Environmental Analysis and the Kentucky Heritage Council.



Work on the four properties mentioned above will be identified and prioritized to establish the best schedule for right of way and construction activities. Using information developed during the environmental phase, all archaeological investigation types and timing will be prioritized and sequenced. A process is provided in the FONSI for the discovery of any unexpected burial sites.

HPP preparation will be coordinated with the Project Schedule so as to not negatively impact design or construction.

10.19. Utilities/Public Agencies/Special Authorities

Each SDC is responsible for taking the appropriate steps during design to coordinate their work with the utilities. Project plan submittals will identify the latest utility relocation cost estimates.

The SDCs will develop utility base plans for the project, and transmit those plans to the public and private utility agencies for the purposes of early identification of utility conflicts. The KYTC will establish the points of contact within each utility agency and establish lines of communication and coordination. The KYTC will work with the utility agencies to identify utility relocation and easement requirements, responsibilities, costs and scheduling of the relocation work.

Utility relocations will be scheduled with sufficient lead time to minimize impacts to the Project Schedule.

10.20. Construction Management (CM)

Construction coordination, management, engineering, and inspection services are the responsibility of the KYTC and will be performed by state forces or through a Consultant. Construction Management (CM) services for the Project will strive to:

• Protect the interests of the KYTC

• Control quality, schedule and cost

• Minimize claims

10.20.1. Construction Project Controls

The construction project controls system will be structured to incorporate both design and construction operations. Since the design and construction is phased, the project controls system will be continually managed throughout the construction phases.



10.20.2. Project Sections

The KYTC’s Division of Construction is responsible for oversight of construction activities including:

Establishing construction and traffic policies and procedures and monitoring compliance with these policies and procedures in their jurisdiction

Guiding district operations for construction and traffic

Supporting and assisting the districts and other divisions with technical expertise

CM for the construction contracts will follow the standard procedures detailed in the KYTC’s Standard Specifications for Road and Bridge Construction.

10.20.3. Federal Construction Management Oversight

The FHWA will exercise full CM oversight of the project. A letter dated October 24, 2006 from the KY Division of the FHWA to the KYTC designated the major bridge projects (180.60 and 180.70) as full oversight projects. The roles and responsibilities of both the FHWA and the KYTC are defined in the KYTC and FHWA Stewardship Plan, dated July 2, 2008. This Stewardship Plan was a part of the Letter of Agreement, between the Kentucky Transportation Cabinet and the Federal Highway Administration, which was signed and dated July 2, 2008.

10.20.4. Regulatory Compliance

The KYTC will develop a master list of regulatory requirements during the design management phase for use by the designated construction manager in the construction phase. The KYTC will develop specific strategies for meeting these regulatory requirements that will include suggestions on mitigating the anticipated impacts of construction.

10.20.5. Value Engineering Change Proposals (VECP)

VECP submittals during construction will be encouraged; however, the VECP process will be controlled by strict guidelines. The appropriate process for VECP submission, tracking, review, and disposition will be in accordance with the KYTC’s policies.

The KYTC will consider proposals that may potentially result in savings without damaging essential functions and characteristics of the facility. The KYTC will decide whether or not to accept a VECP. Basis for proposal rejection includes requirements for excessive review, evaluation, and/or investigation; the proposal is inconsistent with project design policies or criteria; or the proposal violates design guidance or design elements developed through the Context Sensitive Design process.



10.21. Final Acceptance, Maintenance, and Operations

10.21.1. Final Acceptance - General

The final acceptance process for the project will follow normal procedures applicable to the KYTC. KYTC’s processes are detailed in the KYTC’s Standard Specifications for Road and Bridge Construction.

10.21.2. Acceptance Schedule

The comprehensive schedule for design and construction of the project will include the final acceptance of each element as a milestone.

10.21.3. Warranty Transfers

The process to transfer or issue warranties will be defined in the contract documents.

10.21.4. Training

Training of KYTC and emergency response teams will be part of the Contractor’s responsibility during the construction phase and will be completed prior to final acceptance of the work.

10.21.5. Testing

Materials’ testing follows the KYTC’s practices and includes multiple levels of testing to demonstrate both compliance with specifications and conformance to performance requirements. This testing is described in the KYTC’s Materials Guidance Manual which is incorporated by reference.

10.21.6. Certifications

Legal and regulatory requirements for certifications will follow the KYTC’s practices.

10.21.7. Maintenance and Operation

Upon completion of the final acceptance process, the maintenance and operation of the constructed elements will become the responsibility of the Maintenance and Operation departments of the KYTC.



CHAPTER 11. DESIGN - QUALITY ASSURANCE/ QUALITY CONTROL (QA/QC)

The SDCs have effective QA/QC plans established within their organizations. It is incumbent upon the SDCs to keep these QA/QC plans updated with current company information. Their QA/QC plans define responsibilities for the review of the documents at defined milestones, during the planning and design phase. Their QA/QC plans also provide for an independent level of quality assurance, through audits, surveillance, and reviews, which helps to ensure that the project requirements, including regulatory requirements, are being met.

The KYTC will designate the basic premises and criteria for the design. Plans shall be developed to the extent that is practical and feasible in accordance with, or be coordinated to, the KYTC’s “Standard Specifications for Road and Bridge Construction”. The roadway plans shall be designed in accordance with the principles set forth in the current edition of “A Policy on Geometric Design of Highways and Streets of the American Association of State Highway and Transportation Officials” and in accordance with the KYTC’s “Division of Highway Design Guidance Manual” and “Standard Drawings for Roadway Design” to the extent that such principles are applicable and not in conflict with other specific instructions or requirements of the KYTC. Structure plans shall be designed in accordance with the KYTC’s “Standard Specifications for Highway Bridges” published by the American Association of State Highways Officials, including interim revisions and the KYTC’s “Division of Bridge Design Guidance Manual”.

Plans shall be prepared with respect to detail and mode of presentation in a manner that is in conformance with customary practices of the KYTC for plans prepared by its own staff. The KYTC has the overall responsibility for quality on the project. The SDCs are responsible to produce a product or service that meets the quality standards of their contract and are responsible for the accuracy of all calculations, reports, estimates, and information prepared by them or their sub-consultants. The KYTC determines the appropriate level of quality oversight required.

This federally-funded project is categorized as a Major Project by FHWA, and the Kentucky Lake and Lake Barkley Bridges (180.70 and 180.60, respectively) are designated as full oversight projects. To meet federal guidelines, FHWA review and approval of the following key submittals will be required:

Consultant Contract Agreements and subsequent Contract Modifications – FHWA approval of each is required to prior to authorization of federal funding

Cost Estimate Review – Approved 2/29/2012



o FHWA, KYTC, and SCDs conducted a risk-based review to verify the accuracy and reasonableness of the current total cost estimate to complete the project and to develop a probability range for the cost estimate that represents the project’s stage of design. The results of the CER will be used to update the Initial Financial Plan.

Initial Financial Plan – Submitted May 2011

o based on detailed estimates of the cost to complete the project; and

o provides for the annual submission of updates to the FHWA that are based on reasonable assumptions of future changes in revenues and the cost to complete the project.

Project Management Plan – Draft Submitted 3/7/2012; FHWA Review Comments received 5/4/2012; Final PMP submitted June 2012.

o documents the procedures and processes that are in effect to provide timely information to the project decision makers to effectively manage scope, costs, schedules, and quality of, and the Federal requirements applicable to, the project; and

o documents the role of the agency leadership and management team in the delivery of the project.

Type, Size, & Location Plans Submittal

o Summarizes the preferred bridge types selected for the Kentucky Lake and Lake Barkley crossings. The TS&L submittals will include the main span and approach spans for Lake Barkley, and will include the main span, approach spans, and the Lagoon Bridge for Kentucky Lake.

Final Plans Submittal

o Final construction plans for the Kentucky Lake and Lake Barkley crossings.



CHAPTER 12. CONSTRUCTION - QUALITY ASSURANCE/QUALITY CONTROL (QA/QC)

The KYTC will utilize the QA/QC procedures outlined in the KYTC’s Standard Specifications for Road and Bridge Construction during the construction phase of the project. Information and guidance contained in the KYTC’s Construction Guidance Manual, Materials Guidance Manual, along with additional Standardized Manuals and information available at KYTC’s website, transportation.ky.gov, will be utilized to ensure proper compliance with the accepted construction methods for the Commonwealth of Kentucky and the Federal Highway Administration.

As stated in the KYTC’s Standard Specifications for Road and Bridge Construction, work will not start without an approved Quality Control Plan (QCP). The QCP will be submitted by the contractor and approved by the KYTC. After beginning work under the approved QCP, the contractor will continuously prosecute the work in accordance with the QCP and obtain approval from the KYTC before implementing any changes to the QCP.

CHAPTER 13. ENVIRONMENTAL MONITORING

13.1. Environmental Compliance Management

The FONSI and subsequent agreements have defined commitments required during project design and construction to mitigate the environmental impacts. A detailed table has been developed to track all of these commitments and to ensure their completion. In addition to these commitments we anticipate that there could be additional commitments defined during the environmental permitting process. The environmental permits required for this project are:

USACE (404)

TVA Permit (26a)

KDOW Water Quality Certification (401)

US Coast Guard Rivers and Harbors Section 9 & 10

KPDES Permit



13.2. Environmental Compliance Monitor

The KYTC’s, District 1 Environmental Coordinator will serve as the Environmental Compliance Monitor.

The Environmental Compliance Monitor is responsible for:

Verifying compliance for all non-design and non-construction environmental mitigation activities specified in the FONSI such as: Historic Preservation Plan Preparation, Archaeological Resource Investigations, etc.

Overseeing SDC design activities for compliance with environmental mitigation commitments in the FONSI.

Reviewing final design plans to verify that permit conditions are met.

Overseeing highway construction to assure that permit conditions are met, including the implementation and monitoring of mitigation.

Informing permittees and the U.S. Army Corps of Engineers concurrently of any problems regarding non-compliance permit conditions or other activities in waters of the United States, including jurisdictional wetlands; including the TVA in this notification for activities within the flooding easements of Kentucky Lake.

Monitoring construction to verify that the work is in compliance with project authorizations, including construction impacts to aquatic resources, riparian buffer areas, forests, placement of staging areas, land clearing, other disturbances, stormwater management, sediment and erosion controls, spills, sediment plumes, time-of-year restrictions, and other project related environmental impacts.

Recommending measures to bring the project into compliance with permit conditions.

Attending construction partnering sessions to assess anticipated construction schedules and activities.



CHAPTER 14. RIGHT OF WAY

The right of way management process regarding appraisals, acquisitions, relocations, demolitions, construction and utility easements, scheduling and reporting used for each section follows the KYTC’s Right-of-Way Guidance Manual.

When using federal funds for any phase of a project, the KYTC acquires rights of way in compliance with:

The Federal Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 as amended (The Uniform Act)

The Federal Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs (49 CFR Part 24)

Real Estate Acquisition Guide for Local Public Agencies (23 CFR Part 710)

All right-of-way contracting must comply with both state and federal regulations and laws, including:

Federal Regulations:

49 CFR 18.36 (a) 49 CFR 18.37(a) 23 CFR 710.201(a) 23 CFR Part 200 23 CFR 1.33

Kentucky Revised Statutes:

KRS 45.451–45.458 KRS 45A.045 KRS 45A.100

Kentucky Administrative Regulations:

200 KAR 5:302 200 KAR 5:304 200 KAR 5:311 200 KAR 5:315

The ROW acquisition process will be monitored for general schedule as well as long range impacts to all project sections. Schedule requirements for acquisitions and relocations will be incorporated into the project schedule.

Real estate acquisitions and easement requirements are determined by each SDC during the course of designing their respective project section. Real Estate acquisition and easement requirements related to historic preservation activities will be in accordance with the KYTC and the FONSI.



Location plan sheets are developed as needed to identify the affected properties. The impact on the affected properties is documented and properties that require a total, partial, temporary, or permanent acquisition are identified. Each SDC certifies the location plan sheets and metes and bounds descriptions as sufficient to construct, maintain, and operate the project facilities.

CHAPTER 15. SAFETY AND SECURITY

15.1. General

Construction Safety will follow the practices described in the KYTC’s Standard Specifications for Road and Bridge Construction and the KYTC’s Construction Guidance Manual.

In accordance with the requirements set forth in Section 107 of the KYTC’s Standard Specifications for Road and Bridge Construction, public and employee safety is the responsibility of the contractor. Any violations of the Kentucky Occupational Safety and Health (KOSH) Standards or situations involving danger to the public or employees must immediately be addressed and corrected by the contractor.

In accordance with the KYTC’s Construction Guidance Manual each district Project Delivery & Preservation office shall have an employee assigned the responsibility of coordinating safety activities in the district related to construction projects. The construction safety coordinator shall:

Coordinate safety related construction activities between the Central Office, the district office, and the section engineer’s (SE) office. Each construction contract is under the responsible charge of a section engineer (SE). The district assigns the SE to the project prior to the award of the contract.

Correlate and disseminate safety-related information to the SE.

Aid the SE in acquiring safety equipment for KYTC personnel.

Attend preconstruction conferences.

Periodically review safety practices of KYTC personnel on active construction projects.

Cooperate with the KYTC’s district safety office.

The construction safety coordinator cannot supersede the SE’s authority or relieve the SE of the responsibility of enforcement of safety rules and regulations for KYTC personnel on a project.



15.2. Construction Phase

In accordance with the KYTC’s Construction Guidance Manual all Contractors shall provide a safe workplace for their employees by ensuring compliance with all federal, state, and local safety regulations. The contractor is responsible for providing a written Contractor’s Construction Safety Program and any additional documentation necessary to verify that the contractor is in compliance with all applicable safety and health regulations to the KYTC’s Division of Construction’s Safety Liaisons in the Central Office. This program should address all aspects of safety for the worksite including, but not limited to:

Personal protective equipment.

Hazard identification and response.

Chemical storage, training, etc.

Safety and health standards to be adhered to.

Roles and responsibilities of the safety/security staff.

Contractors having a Safety Director and an approved safety manual (or plan) available to all employees.

Contractors holding periodic on-site safety meetings.

Contractors conducting periodic on-site safety inspections.

Contractors providing safety training for all new employees, and refresher training for all employees.

Contractors conducting drug screening for all new hires.

Contractors establishing daily housekeeping and clean-up procedures.

Possible employee sharing of accident prevention savings.

Having first-aid and medical kits readily available.

Having a site security plan, possibly including such items as restricted parking near vulnerable structures, physical barriers (fences, barricades, etc.), coordinated efforts with local law enforcement officials during heightened threat levels, video surveillance, alarm systems, emergency telephones, etc.

Having an emergency preparedness and incident management plan, including roles and responsibilities, emergency evacuations, communications, first responder awareness training, and field drills.

Establishment of an employee identification (ID) system.

Level and frequency of audit and oversight safety/security reviews to be performed by the KYTC, FHWA, independent consultants, and/or other agencies.



Safety and security periodic reporting (normally monthly).

Traffic Control Safety measures and procedures.

Review Schedule for Traffic Control Plans to confirm adherence to safety procedures.

OSHA Safety measures and procedures.

During construction, the Contractor will be responsible for reporting any incident occurring on the construction sites, preparing detailed contact lists and personnel accounting procedures, and implementing incident response procedures as part of their everyday construction management. Contractors will be required to include measures in their proposed construction strategy to be able to react to potential security and emergency situations in circumstances of threat to the facilities under construction and other regional threats requiring changes to the normal traffic maintenance provisions.

CHAPTER 16. TRAFFIC MANAGEMENT

16.1. Road Traffic Management

Each SDC will prepare a Maintenance of Traffic (MOT) Plan in accordance with the KYTC’s Highway Design Guidance Manual. These MOT Plans will be developed using the criteria outlined in the KYTC’s Standard Specifications for Road and Bridge Construction. As stated earlier in this PMP, the project from the Kentucky Lake Bridge extending easterly to the Cadiz Bypass is broken into four construction sections that do not rely on the other roadway portions for completion. During the design phases, each SDC will coordinate the MOT Plan for their design section with the anticipated schedule of construction for the other design sections. During the construction phases, the contractors will take these MOT plans and the continually updated construction schedule into account when implementing their respective MOT and traffic control plans.

The Project Public Information Officer (see Chapter 9) will be responsible for providing the public with construction activities information throughout the project. A media campaign during construction activities will be implemented.

16.2. River Traffic Management

Coordination with the U.S. Coast Guard, U.S. Army Corps of Engineers and TVA, to develop plans for management of design and construction activities around river traffic requirements and secure the necessary permits will be performed.



CHAPTER 17. CIVIL RIGHTS PROGRAM

17.1. KYTC’s DBE Program

The KYTC’s Disadvantaged Business Enterprise, Minority and Women-Owned Business, and Small Business Programs Management (DBE) program is managed by the KYTC’s Office for Civil Rights and Small Business Development in Frankfort. The KYTC has implemented new procedures pertaining to the DBE Program. It is emphasized that the KYTC has placed the highest priority on complying with the DBE Program regulations. The KYTC monitors its DBE participation and strictly enforces DBE regulations in accordance with the regulations found at 49 CFR Part 23 and Part 26.

The DBE Program is a program which details the principles and procedures for enhancing the involvement and participation of DBEs, minority businesses, women-owned businesses, and small businesses in planning, design, and construction. It includes guiding principles, organizational involvement and oversight responsibilities, descriptions of the methodology for regulatory compliance, and proposed key initiatives.

The KYTC’s DBE program manager and coordinators provide information about the resources and opportunities available to the business community in community meetings. KYTC DBE coordinators and officials from the Project present updated information and interact directly with business owners and members of the general public. Information about the KYTC’s Office for Civil Rights and Small Business Development can be found on the KYTC’s website, transportation.ky.gov. They keep an updated directory of certified and prequalified DBE’s and a list of DBE material suppliers.

The KYTC, through the Office for Civil Rights and Small Business Development, sets annual overall DBE participation goals that apply to both the design and construction phases of the project. The requirements of the DBE program, during the planning, design and construction phases of the project, apply to all Federal transportation programs, as described in 23 CFR 635 Subpart A and Section 1101(b) of SAFETEA-LU (the Safe, Accountable, Flexible, Efficient Transportation Act: A legacy for Users).

17.2. Federal and State EEO Requirements Federal Equal Employment Opportunity (EEO) requirements, not to discriminate and to take affirmative action to assure equal opportunity, apply to Federal-aid projects. State EEO requirements found in KRS 45.560-640 also apply. The contractor selected must have an EEO policy and EEO officer.



CHAPTER 18. CONSTRUCTION CLOSEOUT PLAN

18.1. Final Cleaning Up

In accordance with section 104.05 of the KYTC’s Standard Specifications for Road and Bridge Construction, the Department will not consider the work complete and will not make final payment until the Contractor clears the right-of-way, borrow pits, and all ground the Contractor occupies in connection with the work of all rubbish, equipment, excess materials, temporary structures, and weeds. Place rubbish and all waste materials of whatever nature, other than hazardous materials, on either public or private property in a location out of view from the roadway and in a manner to the Department that does not present an unsightly appearance. Restore in an acceptable manner all property, both public and private, that was damaged in the prosecution of the work. Drain all ditches and all borrow pits where practical, and leave all space under structures unobstructed and in such condition that drift will not collect and induce scouring.

18.2. Final Inspection and Acceptance of Work

In accordance with section 105.12 of the KYTC’s Standard Specifications for Road and Bridge Construction, the contractor shall notify the Engineer when the project is near completion. The Engineer will then advise in writing all work items that are unsatisfactory. When these work items are complete to the Engineer’s satisfaction, the Engineer will call the project complete and issue a Project Completion Notice. When there are seasonal limitations or other compelling situations, the Engineer may call the project complete without requiring correction of the unsatisfactory work items until weather permits or the situation is remedied. When the project is called complete, it is ready for the Department’s final inspection. The Department and other appropriate agencies, such as FHWA, will complete final inspections on all items of work for Formal Acceptance within 90 calendar days of the date of issuance of the Project Completion Notice with the exception of striping, seeding, other erosion control items, tree planting, and landscaping. The Department will make final inspections on seeding and other erosion control items according to Section 213. The Department will make final inspections on tree planting and landscaping as the Contract specifies. The Department will make individual final inspections on particular groups of work items such as structures, electrical, grade and drain, and surface. The Department may make final inspections before the project is called complete on items of work that have been completed. The Engineer will issue written final inspection reports for items of work upon completion of each final inspection. The reports will include a list of all uncompleted work and required corrective work. The Engineer will issue a Comprehensive Final Inspection Report that will include all inspection reports with the exception of striping, seeding, tree planting and landscaping. Complete all items of uncompleted work and all required corrective work listed in the final inspection reports within 90



calendar days of receiving the Engineer’s comprehensive final inspection report. When the specified seasonal or temperature limitations prohibit the Contractor from performing the work, complete the work within 90 calendar days after the date the Engineer directs.

18.3. Claims Resolution Process

The Engineer and Contractor should attempt to resolve project disputes as they arise. When project issues remain unresolved, contract parties may take the course of action detailed in section 105.13 of the KYTC’s Standard Specifications for Road and Bridge Construction.

18.4. Acceptance and Final Payment

In accordance with section, 109.06 of the KYTC’s Standard Specifications for Road and Bridge Construction, and within 180 days after the Engineer has completed final inspection and acceptance of the work; the Engineer will compile a final estimate for the Contract, showing the final quantities of all work performed, all retained percentages, and all deductions from the final amount for liquidated damages and any other deductions provided for in the Contract. The Engineer will submit the final estimate to the Contractor for his review. Within 60 calendar days after receiving the final estimate, submit to the Engineer a written statement of agreement with the final estimate or a written statement of disagreement with the final estimate. Upon the Contractor’s agreement with the final estimate, or when the Contractor makes no acceptable statement of disagreement within the 60 calendar days provided herein, the Engineer will process the final estimate for payment. The Department will consider the Contractor’s written statement of disagreement with the final estimate acceptable only if it contains an item-by-item list of the items that the Contractor does not agree with and the reasons for disagreeing with each listed item. When the Contractor submits an acceptable statement of disagreement with the final estimate, the Engineer will withhold payment of the final estimate to determine the validity of the Contractor’s disagreement(s). After consideration of the Contractor’s statement, the Engineer may revise the final estimate according to the judgment of the validity of the Contractor’s disagreement(s). After the Department deducts the total amount of all previous payments, liquidated damages, and any other appropriate deductions, the Department will certify the amount of money due the Contractor for payment to the Commonwealth as required by law. The Contractor’s acceptance of payment for the final quantities constitutes as a release to the Commonwealth and the Department. When the final release is sent to the Contractor shows that he has been overpaid, then he has 60 days to refund the overpayment or submit a written statement of disagreement with the estimate. Failure to make this restitution will subject the Contractor to the provisions of Subsection 102.04. The Department does not waive any rights to recover the overpayment.



When all uncompleted work and required corrective work is finished, the KYTC will make Formal Acceptance of the project and take responsibility for the project, with the exception of any material defects for which the Contractor is still liable.

Once Formal Acceptance has been made, Acceptance and Final Payment are executed. This entails a review of all paperwork; settlement of all disagreements; and payout of the final payment. The Contractor’s acceptance of payment for the final quantities constitutes as a release to the KYTC.

CHAPTER 19. DOCUMENT CONTROL

The procedure followed for the retention of project documentation and project records will be in accordance with the KYTC’s Highway Design Guidance Manual. Until the submittal of the required documents to the KYTC, each SDC will maintain project documents on their individual computer systems.

All official project documents and correspondence including design files, specifications, cost estimates, office documents, and e-mail will be delivered to the KYTC Project Manager for submittal to the KYTC Central Office via Bentley’s ProjectWise software, a project collaboration and document management tool. ProjectWise will serve as the central repository for document control and will be the reference point for various individuals and disciplines to access project documents. The document control system reduces the volume of paper documents produced and allows review and submission of documents electronically. Following completion of the project, documents will be archived electronically at the KYTC Central Office.

KYTC’s Quality Assurance Branch maintains a Lessons Learned Program. This program compiles and collects relevant information from value engineering studies, constructability reviews, and post construction reviews into a Lessons Learned Database which can be used to query and analyze the data. Any issues, errors, and resolutions from this project, along with other information that can be beneficial for future projects, will be tracked. This information will be conveyed to the Quality Assurance Branch for inclusion in the Lessons Learned Database.



CHAPTER 20. APPENDICES

20.1 Appendix A – Organizational Chart



20.2 Appendix B – Publications and Documents cited in the PMP incorporated by reference

All references are made to the current edition of the following publications and documents.

1. FHWA Resource Manual for Oversight Management

2. FHWA Major Projects Financial Plans Guidance

3. FHWA Major Projects Project Management Plans Guidance

4. KYTC Professional Services Guidance Manual

5. US 68/KY 80 Reconstruction from Aurora, KY to Cadiz, KY Project “Finding Of No Significant Impact” - Environmental Document

6. US 68/KY 80 Reconstruction from Aurora, KY to Cadiz, KY Project - FHWA Cost Estimate Review

7. US 68/KY 80 Reconstruction from Aurora, KY to Cadiz, KY Project – Initial Financial Plan

8. KYTC’s Structural Design Guidance Manual

9. KYTC’s Drainage Design Guidance Manual

10. KYTC’s Highway Design Guidance Manual

11. KYTC’s Geotechnical Guidance Manual

12. KYTC’s Permits Guidance Manual

13. KYTC’s Traffic Operations Guidance Manual

14. KYTC’s Contract Procurement Guidance Manual

15. KYTC’s Pavement Design Guidance Manual

16. KYTC’s Materials Guidance Manual

17. KYTC’s Right of Way Guidance Manual

18. KYTC’s Utilities and Rail Guidance Manual

19. KYTC’s Division of Environmental Analysis Environmental Procedures Manual

20. KYTC’s Computer Aided Design and Drafting Standards

21. Design-Specific Memoranda issued by the KYTC

22. KYTC’s Standard Specifications for Road and Bridge Construction