Methods and Assumptions template document.docx

METHODS & ASSUMPTIONS PROCESS TEMPLATE

FOR SDDOT PLANNING STUDIES

THE SOUTH DAKOTA DEPARTMENT OF TRANSPORTATION

IN CONJUNCTION WITH

THE FEDERAL HIGHWAY ADMINISTRATION

DATE

Methods and Assumptions Process Template for SDDOT Planning Studies

The Methods and Assumptions (M&A) process is the formalized practice of developing and recording the data criteria, data assumptions, data collection procedures, data analysis methodologies, and data measures of effectiveness that will be needed in a SDDOT planning study. This process only pertains to planning studies utilizing Federal Statewide Planning & Research (SPR) and/or MPO Planning (PL) funds where the SDDOT has oversight.

The M&A process is to be dynamic, and should be revisited when changed conditions warrant. The process should result in the highest level of success for SDDOT planning studies by providing for an early agreement on details and documentation of the processes, dates, and decisions made by the study analysis team.

The process consists of two steps:

1. The Methods & Assumptions Meeting

2. The Methods & Assumptions Document These steps are explained in more detail on the following pages.

Methods and Assumptions Meeting

A Methods and Assumptions meeting is to be held near the beginning of the study, usually after the study’s kick-off meeting. The meeting shall be held prior to beginning any traffic analysis and preferably prior to any traffic data collection by consultant forces. The meeting is to be organized by the consultant (or SDDOT if being done in-house) and attended by at least one member from the Study Advisory Team representing a signatory agency to the Methods and Assumptions document.

The meeting shall discuss the proposed traffic analysis tool(s) and approach to be used, the study area, time period(s) for analysis, traffic data availability and collection need, planning design year, opening date (if known), travel demand forecasts, baseline conditions, planning design year conditions, measures of effectiveness, and model calibration confidence level.

If the study involves the creation of an Interchange Justification Report (IJR) and/or Interchange Modification Justification Report (IMJR), the meeting should also discuss how much detail will need to be included in each of FHWA’s eight policy points for Interstate access modification.

Methods and Assumptions Document

The Methods and Assumptions document will be developed as a summation of the Methods and Assumptions Meeting and also serves as a historical record of the process, dates, and decisions made by the study team at that meeting.

The following information should be part of a Methods and Assumptions Document. The document shall provide sufficient detail and clarified with graphics, tables, maps, analyses, and supporting documentation when necessary. The document shall meet the satisfaction of all signatory parties. The consultant team shall not proceed with any study activities beyond data collection until receipt of a fully signed Methods and Assumptions Document.

1. Methods and Assumptions Cover Page

The Cover Page shall at a minimum contain the Study Title, the Author(s)’s Name and Firm(s), and the date of the Methods and Assumptions meeting.

If the Methods and Assumptions document needs to be amended, the cover page should, in addition to above, show the amendment number and the amendment date for each amendment.

2. Stakeholder Acceptance Page

The page following the cover page of the Methods and Assumptions document shall be the Signature Acceptance page. It should state at the beginning of the page:

“The undersigned parties concur with the Methods and Assumptions for the <Title of Study> as presented in this document.”

SDDOT: FHWA:

Signature Signature

Title Title

Date Date

For SPR for Locals projects, the following should be substituted for the FHWA signature block. “The South Dakota Division of FHWA has relinquished oversight of this study to SDDOT.

If the Methods and Assumptions document needs to be amended, the stakeholder acceptance page shall add another set of signature blocks led by the statement:

“The undersigned parties concur with Amendment <#> to this document.”

The following notes, if agreed by the Methods and Assumptions meeting participants, may go at the bottom of the signature page:

(1) Participation on the Study Advisory Team and/or signing of this document does not constitute approval of the <Title of Study>’s Final Report or conclusions.

(2) All members of the Study Advisory Team will accept this document as a guide and reference as the study progresses through the various stages of development. If there are any agreed upon changes to the assumptions in this document a revision will be created, endorsed and signed by all the signatories.

3. Introduction and Project Description

The document should begin with a description of the study and include:

· Background Information,

· Location,

· Need for Study,

· Study Schedule,

· Facilities that will be affected by the study,

· Previous Studies,

· Study Advisory Team members, This section should also define the complexity of the study.

4. Study Area

The study area defined by the Study Advisory Team in the Request for Proposal document shall be discussed and verified at the Methods and Assumptions meeting. The Methods and Assumptions document will clarify the study area boundaries on a map and include a written description of affected interchanges, intersections and streets. The document shall identify specific intersections and interchanges within the study area that will be analyzed and to what level.

5. Analysis Years/Periods

Design / Operational analysis should be included for existing conditions (base year), any interim periods (as defined by the Study Advisory Team), and the planning design year (should be at least a planning horizon of 20 years) for design periods including AM and PM peak periods and any other special periods (such as special events) if relevant. The years shall be discussed and documented. For studies with a known project construction year (such as an IJR / IMJR study), the planning design year shall be a minimum of 20 years from the project construction year, rounded up to the nearest year divisible by 5 (i.e. a 2023 project should use 2045).

6. Data Collection

The data believed to be necessary for successful completion of the study should be discussed at the Methods and assumptions meeting. The Methods and Assumptions document will:

· Describe what existing data is readily available and the source(s) of the data.

· Document and justify what data will need to be collected.

· Document and justify when the data will be collected.

· Document and justify the methods of data collection to be used.

7. Traffic Operations Analysis

Describe what software and version will be used for analysis or modeling of traffic operations. The most recently released version of any software as of the date of the Methods and Assumptions document’s creation should be used.

Document what analysis variables will need to be collected and verified and which analysis variables will use data defaults. Document and justify the value of the data default to be used.

8. Travel Forecast

Document what regional traffic model or trend line analysis will be used to take into account historical/projected growth rate, describe the methodology and process to be used in developing the forecast and the calibration/validation efforts that will be used (including benchmarks). Also, describe if these models are in the process of being updated at the time of publication of the methods and assumptions document. Document the assumptions that may be required if any of the regional models are in transition.

9. Safety Issues

Describe the time frame from which the crash data will be analyzed and deemed relevant to the report. And, identify other safety risks to be explored during the study.

10. Selection of Measures of Effectiveness (MOE)

Document which metrics will be goals for the study to accomplish. Target levels for each MOE used should be recorded.

If applicable, it should be noted which metrics and/or goals are to be for the entire study area and which metrics are for specific corridors and/or intersections.

11. FHWA Interstate Access Modification Policy Points

For when the study involves and/or results in an Interchange Justification Report (IJR) and/or Interchange Modification Justification Report (IMJR), a section should document the amount of detail the study will address for each of the three (3) FHWA policy points regarding modifications to Interstate access.

12. Deviations/Justifications

Briefly discuss any potential known deviations from standards, why they may be necessary and the possible justifications that may be applied.

13. Conclusion

State why and how what is proposed will satisfy the study need.

14. Appendices

Include all supporting documentation, maps, and memos associated with the Methods and Assumptions meeting and/or document.

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