Phase 1
Phase 1 Overview
INTENTION
Phase 1 of the Solutions Development Process is focused on defining the overall desired community outcome, or a vision of the planning area with partners, key influencers, stakeholders, and the general public. By beginning with defining the context, which can also be referred to as characteristics and values, the study team begins to develop a better understanding of the community. The context areas should include social, natural, economic, transportation, health, and risk. By understanding the holistic context and characteristics, the study team and partners will have better insight of how the solutions for transportation may be a benefit or hinder the wellbeing of that community. The foundation that comes from building on this context as expressed in their words will provide a better understanding of where there may be acceptance and where conflict exists.
Overall, this phase offers an opportunity to understand wishes, needs, wants, and expectations. It is critical that all parties that may have a stake in the outcome provide input into the desired outcome, goals, and objectives.
1A Initial Study Setup
Purpose
This is an internal activity for UDOT to better understand the intent of the study. It is important to articulate why the study is being carried out. Define the study’s geographic area and its stakeholders (internal and external). This is an opportunity to determine the potential partners.
Actions
Define the problem/opportunity. (Why is the study being carried out?)
Define the study area.
Identify the study team.
Define stakeholders, with their respective roles and responsibilities.
UDOT leaders and staff
Subject matter experts
External stakeholders
Outline schedule.
Determine budget.
Agreement with study partners outlining roles and responsibilities and potential funding of the study (if applicable).
Determine resource needs. (i.e. consultants, mapping, etc.)
Consider drafting an initial outreach plan which identifies appropriate times to meet with stakeholders.
Deliverables
Initial problem/opportunity statement
Study area map
List of stakeholders, roles, and responsibilities
Study schedule
Agreements on roles and responsibilities (if applicable)
Considerations
Members of the Study Team
Who should lead the study?
Who should be involved?
Have you considered representatives for all modes?
Are other projects or studies underway in the area?
What assets (pavement, structures, barrier / guardrail, ATMS, signs, utilities, etc.) are impacted in the study area? Should the manager of each asset be included as a team member?
How, when, and by whom will decisions be made?
Initial Stakeholder Identification
Who are the potential stakeholders in the area? What are their interests?
Are there stakeholders that should be included in early discussions (e.g. resource or regulatory agencies)? What is the best way to engage those stakeholders?
Which communities are directly impacted by this corridor / area?
Which communities are indirectly impacted by this corridor / area?
Is private sector participation a consideration? If so, what is the purpose and scope of that participation?
Who should have input on the actions taken in or near the area?
Resources
References
None for this section.
1B Obtain Consultant
Purpose
Based on availability and on the complexity of a study, consultants may be needed to complete the full study or specific portions of the study. Consultants may be obtained separately and at different stages of the study depending on the study needs.
Actions
Prepare a scope of work.
Procure consultant(s) (see references below).
Deliverables
Executed consultant contract
Study scope, budget and schedule
Considerations
Consultant Study Team Skills
Does the consultant team have the necessary skills and experience for this type of study (e.g. facilitation, planning, public involvement, environmental, etc.)?
Resources
References
Consultant Services Manual of Instruction
1C Study Initiation Meeting
Purpose
The purposes of the study initiation meeting are to introduce team members, describe the scope of the study, review the study area, and present the study scope, schedule, and budget. This meeting will also be used to review the initial list of stakeholders and their involvement based on their interests.
Actions
Prepare for and hold the study initiation meeting.
Determine the study area.
Identify readily available information in the study area.
Invite all internal interested parties and outside study team members.
Review and add stakeholders to participate in the study.
Prepare meeting materials to include in the study file and distribute them to all invitees. Include the following:
Main discussion points (e.g. study file location, staffing decisions, limitations, etc.)
Information known to be available
Decisions made in previous phases or as part of the scope
All other pertinent information
Prepare a meeting summary and make it available to the study team and partners.
Deliverables
Meeting summary
Study area map
Draft stakeholder list (with interests if available)
Additional information available as indicated by meeting attendees
Next steps
Considerations
Who should attend the meeting?
Core attendees should include:
Study partners
Study lead
Planning staff
Local government team members
Other attendees could include:
UDOT division and region representatives
MPOs
Major stakeholders
How should the study area be defined?
Are there multiple studies/project(s) planned in the area?
Based on future plans, is the study area appropriate?
What information is readily available?
Is there information available in the Long Range Plan?
Are there current projects / studies underway?
Do past projects / studies provide information?
Do we have access to past studies (community visions, master plans, existing conditions reports, traffic studies, access documents, etc.)?
Is the study area large enough to take in the full range of possible solutions?
Are maintenance activities planned in the area in the coming months/years?
What additional local government information is available?
Resources
References
None for this section.
1D Document Study Approach
Purpose
Agree upon and document what the study’s approach will be, including the study’s scope, geographic area, and stakeholders to engage. Create a clear set of study goals for the team by answering ‘what do we want to accomplish with this study?’ and ‘why are we doing this study?’ With this information, outline the stakeholder outreach plan.
Actions
Outline the study approach
Determine the study area
Develop a list of stakeholders
Confirm / revise, and clearly state the intended purpose of the study
Update the study timeline if necessary
Develop an outreach plan to listen to, engage, and inform all participants. The outreach plan should include:
Reasons the study is taking place and the study area
Interested parties and their interests
Recommendation on the appropriate level of public participation for the study and a Public Participation Program that traverses the study from start to finish. This may include different levels based on stakeholder interests.
Coordination with the UDOT Environmental Division to determine the best outreach to the applicable environmental regulatory agencies (e.g. U.S. EPA, U.S. Army Corps of Engineers, etc.) and determine the agencies’ interest in the study.
Review the study approach and outreach plan with the study team and revise as necessary.
Deliverables
Outline of study approach
Outreach plan / public participation program
Summary of discussions that support the outreach plan (e.g. Environmental staff discussions)
Considerations
General Information
Is there additional information that has been collected to enhance material found in Activity 1B?
Interests of Partners, Key Influencers, Stakeholders, and General Public
Are there any common interests among the interested parties that have been documented in the past?
Based on initial conversations, are the values of the community represented? How might the values be better defined?
How challenging will it be to establish an acceptable common understanding of interests based on current knowledge or future outreach?
How might you determine the differences or conflicts among the interests?
Are there potential conflicts between agency interests and the interests of the community?
Are all community interests included? Has equity among all groups been considered?
Resources
References
None for this section.
1E Gather Context Information
Purpose
This activity works in concert with the Context Definition Meeting (Activity 1C) and includes gathering data sets from the social, natural, economic, health, risk and resiliency, and transportation context to create a strong planning foundation. However, this is not necessarily an existing conditions analysis; an existing conditions analysis related to goals and objectives can be developed to inform the needs in Phase 2.
This may also include conducting public outreach to clearly understand the broad context of the area and the community’s values (see Activity 1C for examples of topics to ask the public about in these outreach efforts).
The intent of this activity is not to create new data sets, but rather to gather those that are currently available and also note what may not be available.
Actions
Gather information and data to begin defining the existing and desired future context.
Clearly document these contexts from the various areas.
Assemble and organize information in a way that will assist in facilitating a discussion during the Context Definition Meeting (Activity 1C).
Collect information using survey or crowdsourcing tools to validate and refine existing data information with input from the general public.
Deliverables
Initial existing and desired future context descriptions
Presentation of data assembled in preparation for the Context Definition Meeting. Also include relevant metadata (data source, date, etc.).
Considerations
Data to Include
What data sets are available to describe the social context in the area? (i.e. schools, land use, historic locations, populations, demographics, etc.)
What data sets are available to describe the natural context in the area? (i.e wetlands, threatened and endangered species, farmlands, lakes and streams, etc.)
What data sets are available to describe the economic context in the area? (i.e. median household income, land ownership, Utah poverty ratio, businesses in the area, etc.)
What data sets are available to describe the health context in the area? (i.e. physical exercise, school lunch programs, health data, etc.)
What data sets are available to describe the risk and resilience context in the area? (i.e. risk and resiliency data map, etc.)
What data sets are available to describe the transportation context in the area? (i.e. existing and future travel demand models, safety information, public transit routes, safe routes to school, active transportation, major utility corridors, railroad, roadway and highways, etc.)
Resources
References
None for this section.
1F Context Definition Meeting
Purpose
Context or community characteristics and values (i.e. social, natural, economic, health, risk and resiliency, and transportation) are an important basis in beginning a planning study. This assists in outlining what is important to the community from multiple perspectives. The focus is to better understand how solutions may impact a community on a broad scale. By gathering this information, insight is gained on how to best define the transportation needs and evaluation criteria to make it an asset to the community.
With this information, we can start to understand where there may be discrepancies between the data and the way the community may interpret the environment. Information from the community will better describe their perspectives, creating a broader definition of the area. The information is intended to help the study team better understand what is in the area and also what the future may look like from the community standpoint and how a transportation solution may support or impact that future.
The Gather Context Information Activity 1B2 provides background to this conversation and may be revisited depending on the information gathered from the key stakeholders.
Actions
Hold a meeting with stakeholders to outline the community values by gaining an understanding about the social, natural environment, economics, health, risk and resiliency, and transportation context.
Determine the Social Context
The social context is defined by the settings in which people are engaged, including the groups with whom they interact and the culture of how they live such as mindsets, traditions, and behaviors. The social context also includes the history of an area and those elements that define the culture such as historic places, parks, and important trails. This context is also defined by the demographic makeup of the community and all populations that need to be involved in the process.
Determine the Natural Environment Context
The natural environment consists of all living and non-living things occurring naturally such as air, water, etc.
Determine the Economic Context
The economic context is usually shaped actively by the city and influences businesses to make investments or create jobs. It therefore influences a city’s economic structure and its attractiveness as a location.
Determine the Health Context
The health context outlines descriptions such as the current and future access to healthcare, ability to achieve physical activity, and overall health impacts to those in the area.
Determine the Risk and Resilience Context
The context of risk and resilience is defined as a system’s ability to continue to function at an acceptable level of efficiency in the face of disruptive or unexpected conditions and the risk factors of how likely these are to happen.
Determine the Transportation Context
The transportation context description outlines the current and future transportation system and the gaps as related to the transit system, the active transportation system, and the roadway system.
Deliverables
Summary of the Context Meeting
List of invitees and attendees
Presentation materials
Summary of comments and recommendations
Revised context definitions to incorporate information from key stakeholders and the public.
Considerations
Social Context Sample Questions
Do many residents have non‐auto alternatives to access employment, shopping and recreation opportunities?
Are there important places to the community?
Where are the schools, parks, gathering places? Are they accessible?
How are the cultures defined? What are some of the traditions in the area?
Has equity among all groups and demographics been considered and their voices heard?
Natural Environment Context Sample Questions
Do natural features contribute to the character and aesthetics of the community?
Are there protected natural resources within the planning area?
Is there a protected or aesthetically valuable vista or view shed in the planning area?
Economic Context Sample Questions
Where are the primary employment locations in the area?
How do potential workers access employment centers?
Is there a large amount of in‐commuting or out‐commuting in the community?
To what extent is the area impacted by freight movement?
Health Context Sample Questions
Are transportation facilities safe and accessible to all residents, including for people with disabilities?
Is the area designated as a non‐attainment area?
What transportation strategies are in place or could be implemented to improve air quality?
Is there transit service to hospitals and primary health care facilities in the area?
Does the infrastructure in the area allow community members to safely and comfortably engage in physical activity?
Risk and Resiliency Context Sample Questions
What are the consequences if portions of the system fail?
Are there alternative / redundant routes?
Are there major assets that would cause major consequences if they failed?
Are there outside threats to the area?
Are there continual maintenance issues for assets within the area?
Transportation Context Sample Questions
Is the community primarily auto-dependent or is it multi‐modal?
How (dis)connected is the area’s street network?
Is transit use supported?
Has active transportation been considered in the study area?
Has transit been considered including bus, rail, amenities, etc. in the study area?
Should access management and other operational impacts be considered?
Are residents able to access goods and services?
Resources
References
None for this section.
1G Describe Desired Outcome
Identify Goals, Objectives
Purpose
Using the information gathered in previous activities, and working with key stakeholders, identify the desired future state of the planning area and year, and define corresponding goals and objectives to reach that state.
Actions
Working with key stakeholders, develop a Desired Outcome Statement that is based on the overall context descriptions. The statement should:
Ensure multiple perspectives are taken into account.
Support the community input/community vision.
Consider all modes and outside opportunities.
Include the end user experience.
Define goals to meet the desired future outcome.
Define objectives that are
measurable
achievable
show success of the defined outcome and goals
Define how you will determine if objectives are met as a first tier evaluation criteria for solutions in future phases.
Deliverables
Clear ‘Desired Outcome Statement’
Defined goals
Defined objectives
Methodology to come to statement, goals and objectives
Considerations
Developing appropriate goals and objectives
Who needs to be included in the discussion?
Are these goals broad enough to address the defined context?
Are the goals appropriate and broad enough to allow consideration of all the problems and opportunities?
How do the goals relate to goals from previous studies? What previously supported goals are still relevant? How have they changed?
Do the goals relate to system needs?
Are the goals consistent with other plans and programs?
What criteria would be used to ensure the objectives can be met?
Are there previous criteria used in long range planning efforts that apply now?
Resources
References
None for this section.
1H Outreach to Confirm Desired Outcome, Goals, and
Objectives
Purpose
Seek feedback on the desired outcome, goals, and objectives based on partners, key influencers, stakeholders, and general public outreach. This provides an opportunity to gather feedback on the desired end state and determine if the public is in line with the direction the study team is taking.
Actions
Identify the appropriate outreach for the public to review and comment on the desired future outcome and the goals and objectives.
Public outreach should be customized to the local context and interested parties with attention to providing information, opportunity for comment, and ability to hear and understand different perspectives on the stated outcome, goals and objectives.
Virtual public involvement tools should be leveraged in this outreach balanced with tools that do not require internet access such as mailings, mass media, and public meetings.
Deliverables
Clear documentation of public outreach on Desired Outcome, Goals, and Objectives.
Considerations
How to reach the public and at what level?
Who needs to be made aware of these goals?
Is this study moving into the next phase immediately?
Are any solutions funded (local, state, federal) for either environmental or construction?
Is the information something that can be easily posted for online input?
What public input platforms are available?
Is there a need for additional public input at this point?
Is there a reason to hold a meeting?
Is there a known concern in the community?
Is there unrest in the community?
Is the public actively engaged in the study?
Resources
References
1J Document Context, Desired Outcome,
Goals and Objectives
Purpose
Provide a comprehensive, holistic, and documented set of the desired future outcome with accompanying goals and objectives that address all comments provided. The context that assisted in shaping the information should also be documented and provided through a mapping and documentation process. This would include all public outreach, stakeholder meetings, and methodology of achieving the final statements.
This is also an opportunity to develop a planning agreement with the partners, noting the next steps and the roles and responsibilities of each of the partners and those that may be included in future phases. This may be in the form of a memorandum of understanding, a planning charter, or some other type of agreement.
Actions
Package all information to clearly document how decisions have been made to date.
Outline next steps and timing.
Consider crafting a Memorandum of Understanding, planning charter, or other agreement noting the desired outcomes, goals and objectives, and identifying the future roles and responsibilities (if applicable).
Deliverables
Supporting documentation of Phase 1 including:
Context Description
Data compiled
Meeting summaries
Website information
Documentation of any decisions made
Desired outcomes
Revised goals and objectives based on comments
Considerations
Resources
References
None for this section.