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PD02 Linked

Overview

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Highway Division
Project Delivery Leadership Team
Operational Notice
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NUMBER
PD-02
SUPERSEDES
June 1, 2001
EFFECTIVE DATE
September 6, 2005
CANCELLATION DATE
N/A
SUBJECT
Project Development Decision Structure
ISSUING BODY
Project Delivery Leadership Team (PDLT)

PURPOSE:Provide direction to the business line on Project Development decision-making and change management for all Commission Services Design-Bid-Build construction projects under the responsibility of ODOT, and specifically in terms of project management for Scope, Schedule and Budget.

RATIONALE:This operational notice further implements direction by the Highway Division Deputy Director, pertaining to effective decision-making during the project development phase.

SCOPE:This operational notice covers any project which has been assigned Scope, Schedule and Budget accountability within the Highway Division, including projects delivered by the Regions, projects delivered by the Office of Project Delivery (OPD), and projects overseen by Local Programs (including all resource providers for each). The following defines the scope of the Project Development process covered by this notice:
Scope, Schedule and Budget decision-making and change management begins when a project draft prospectus needs to be prepared for Draft STIP consideration, and ends at the PS&E milestone (see below, and reference PD-07 and PD-08 for next steps).
Delivery methods range over any combination of In-sourcing and Out-sourcing, including but not limited to ODOT staff, consultants, contractors, local agency staff, port staff, other state agency staff, and federal agency staff.
This Operational Notice is divided into two sections, one section for State Projects and one section for Local Projects. Each section includes subsections for Accountability and Process Guidance.
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SECTION 1 - Accountability

ACCOUNTABILITY for STATE PROJECTS: Each Region Manager and the State Project Delivery Manager has direct accountability to the Highway Division Deputy Director for the Scope, Schedule, Budget, and deliverables of state projects for which each has been assigned. The assignments are typically made at the Draft STIP Update or STIP Amendment stages. They are also accountable to the Program Manager (e.g., HBRR Bridge Program) if it is someone other than themselves. They in turn each assign direct project management of Scope, Schedule and Budget oversight during project development as follows:

State Project Delivery Manager → Deputy / Bridge Program Managers → various “Project Managers” in OPD or the Oregon Bridge Delivery Partners (OBDP)
Region 1 & 2 Managers → Region Project Delivery Managers → Area Managers → Project Leaders and Consultant Project Managers
Region 3, 4, & 5 Managers → Area Managers → Project Leaders and Consultant Project Managers

Technical project development “providers” for a project covered under this notice can include:

ODOT Region Technical Center staff
ODOT Technical Services (TS) staff
Private consulting firms or contractors (including OBDP)
Local Agency staff
Other state or federal agency staff

These providers have accountability to the project management structure defined above, according to technical, efficiency, quality, regulatory and professional registration requirements and standards. In many circumstances, Region Technical Centers (each led by a Technical Center Manager) will be called upon by project management staff to provide additional oversight, review, and technical support for projects delivered by other providers. The technical quality control process will be included in each provider’s (including Region and the Bridge Delivery Unit) Quality Control/Quality Assurance Plan.
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Process Guidance - State

PROCESS GUIDANCE for STATE PROJECTS: The Region Managers and the State Project Delivery Manager are responsible for effective decisions, within the Context Sensitive and Sustainable Solutions (CS3) framework, to ensure projects will:

Maintain or improve traffic mobility and safety; keep traffic moving.
Employ innovative, efficient, and cost effective delivery practices that result in quality projects.
Stimulate Oregon’s economy and develop its workforce.
Build projects that are environmentally responsible and encourage the conservation and protection of natural resources.
Develop transportation solutions that are sensitive to community and social values.
Capitalize on innovative funding opportunities that support a viable transportation system today and for future generations.

During project development, this requires a thorough public involvement process, as well as a collaborative, interdisciplinary approach which involves stakeholders working together for a common solution (also see PD-12 for project communication plans). Affected stakeholders should include, but are not limited to:

Program Managers Planning & Programming staff
Area Managers Cities, Counties and other jurisdictions
Project Leaders Other State and Federal Agencies
Consultant Project Managers Federal Highway Administration (FHWA)
Construction Project Managers Highway Finance Office
District Maintenance Managers and staff Other ODOT Divisions
Technical Center Managers and staff Affected property and business owners, etc.
Technical Services staff

Documented decision-making and deliverables are expected at each of these milestones: Draft STIP, Project Initiation ,Design Acceptance, Advanced Plans , Final Plans , and PS&E Submittal (see attached flow diagram and table ). Authority may be delegated for decision-making and acceptance of deliverables to key staff such as Region Project Delivery Managers, Area Managers, and Tech Center Managers. Specific delegations should be documented by each Region and the Office of Project Delivery, including any technical decision-making delegations within their respective Quality Control/Quality Assurance Plans.

Once a project has been programmed into the STIP, communication for decisions resulting in substantial changes to project Scope, Schedule and Budget must be supported and communicated by a Project Development Change Request (see Website for templates, examples, and guidance), and approved by the Region Manager, or State Project Delivery Manager, or their delegated authorities. Change Requests can also be used to support submittal of STIP Amendments (or for other approval authorities as needed), for performance measurement information to the OPD, communicating with stakeholders, etc.

When key project decisions or changes are needed, the Region Manager, State Project Delivery Manager, or their delegated authorities will consult with affected stakeholders (including those who will receive the deliverables) prior to making the final Scope, Schedule and/or Budget decision or change. The communication should target these three objectives:
  1. To inform those affected that a decision is pending;
  2. To achieve a thorough understanding of the consequences of the decision;
  3. To build consensus among the stakeholders on key decisions for each project.

The following bolded items summarize the six milestones or steps within the project development process and their expected deliverables. Although all projects follow the same milestones, each individual project might require more or less development of any specific milestone, based on the nature and complexity of that project. It is expected that all appropriate authorities are in agreement concerning the level of development that must occur at each milestone for each project.

Templates, examples, criteria, and guidance documents can be found at an ODOT website (i.e., OPD, Technical Services). The milestones and corresponding deliverables are also presented on the attached flow diagram and table, where the table lays out in general who is responsible for providing each deliverable, and who has approval authority. Through the Project Development Team dynamic, technical providers either produce the complete deliverable, or are involved in developing the deliverable through direction of the Project Leader (PL) or Consultant Project Manager (CPM). The PL or CPM will typically submit and facilitate feedback of the package of deliverables with the approval authority.
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Draft STIP - State

Draft STIP (state projects). At this milestone, a proposed Scope, Schedule and Budget is developed for potential adoption of a project into the STIP. The information is used by the approval authority and programming staff to ultimately forward the project to the Highway Finance Office for programming into the Final STIP. There may be several months between OTC approval of the Draft STIP and approval of the Final STIP. This time allows for further refinement of proposed scope, schedule, budget for Draft STIP projects and any necessary adjustments to the project list. Additional changes to Scope, Schedule and Budget may occur between STIP adoption and Project Initiation, these will follow the Change Management Process described within this notice. Deliverables include:

Draft Prospectus Parts 1, 2, 3 entered into the Project Delivery Work Planning System (PDWP) Draft Resource Recommendations (see PD-14, In-source vs. Outsource, Design-Build, etc.)
Scoping & Environmental Baseline Reports (if required)
see the STIP Scoping Summary Report Template (doc), Environmental Baseline Report Decision Criteria (doc) and Environmental Baseline Report Guidance, Feb. 2006 (doc)
Access Management Draft STIP Deliverables (see PD-03)
also see the Access Management Manual
Draft public/stakeholder plan (see PD-12)
also see the Communication Plan Template (doc)
Draft Schedule
see Project Scheduling Guidance and Expectations (doc)

Note: The Draft STIP is not finalized until the Oregon Transportation Commission has approved the Final STIP.
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Project Initiation - State

Project Initiation (state projects). This is the project team’s start-up point to begin development of the STIP adopted Scope, Schedule and Budget, once the Prospectus has been approved and a preliminary engineering Expenditure Account is in place. Team assignments (roles & responsibilities) are made, consultant contracts are in progress or in place, and the project development work plan is established. Deliverables include:

* Project Team Work Plan
see the Project Selection and Development Work Planning Checklist (doc) and PLA 101 Work Planning Handout (pdf)
* Refined Public/stakeholder involvement plan (see PD-12)
also see the Communication Plan Template (doc)
* Team Resources Roster
see ODOT Guidelines for Project Teams (pdf)
* Design Criteria Document
see Design Criteria Document
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Design Acceptance - State

Design Acceptance (state projects). This milestone is a critical point of decision-making that establishes the geometric boundaries of the project footprint, and allows for the concurrent right-of-way (ROW), permitting, and construction contract document activities to move forward. Design Acceptance also provides for environmental and land use requirements, and subsequently how they affect permitting and the development of construction contract documents. It occurs at the end of the initial design phase and requires all project disciplines to review the design for balance of context with standards and policies. It is the primary opportunity for both technical and non-technical stakeholders to review design elements according to their specific interests. Deliverables include:


Design Acceptance Memo signed by accountable manager or delegated authority
Certification of Design Acceptance Memo (dot)
OR
*may use link provided in the Project Delivery Work Planning System (PDWP) Tool
Design Narrative and/or Design Exception Request(s)
see the Highway Design Manual, Engineering Services Design Exceptions, ODOT Design Exception Request Form (doc) and ODOT Highway Design Manual Chapter 13 - Design Exception Process (pdf)
Design Acceptance checklist
Design Acceptance Checklist (dot)
OR
*may use link provided in the Project Delivery Work Planning System (PDWP) Tool
Access Management Documentation & Proposed Deviation(s) (see PD-03)
also see the Access Management Manual
Environmental Documentation (e.g., NEPA CE, EA, EIS) see the Environmental Baseline Report Decision Criteria (doc) and Environmental Baseline Report Guidance, Feb. 2006 (doc) Updated Schedule
see Project Scheduling Guidance and Expectations (pdf)
Design Acceptance Plans
see ODOT Designer Check List (pdf)
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Advanced Plans - State

Advanced Plans (state projects). This is a key interim step of the contract document phase, and requires all project disciplines to review draft contract documents for completeness and accuracy. It is the primary opportunity for technical staff to provide quality control review of the project plans, specifications, and estimate as a package. Deliverables include:


Documents required for plans specifications and estimates (PS&E) submittal
see PS&E Delivery Manual (pdf)
and
Estimating Manuals, Guides, Forms & Publications
Draft Construction Schedule
see PS&E Delivery Manual (pdf)
Plans-In-Hand Meeting
see Project Teams & Meeting Facilitation Basics
Insurance Risk Assessment (see PD-15)
see the PDWP Risk Assessment tool (ODOT Access only),
PDWP Risk Assessment Form (pdf), Risk Scoring Sheet (pdf) and
PD-15 Definitions (pdf)
Final PS&E Submittal Checklist

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Final Plans - State

Final Plans (state projects). This step occurs in follow-up to the Plans-In-Hand meeting review and comment on the advanced plans and specifications. It is the last opportunity for contract documents to be reviewed by technical staff for quality control and document completeness, before the project is ready to move forward for FHWA review (when needed) and PS&E submittal. Deliverables include:


Final documents required for PS&E submittal
see the Office of Pre-Letting
Updated Construction schedule
see PS&E Delivery Manual (pdf)
Final PS&E Submittal Checklist
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PS&E Submittal - State

PS&E Submittal (state projects). This point of decision-making provides certainty of the completeness of a project for bid advertisement through Commission Services. Decision-making with any desired interim milestones between Design Acceptance and PS&E Submittal (e.g., Preliminary, Advanced, Final Plans) should be addressed through individual Quality Control Plans and Project Development Change Requests as needed. Deliverables include all items identified on the PS&E Checklist (criteria and requirements as determined by the State Roadway Engineer), and typically include:


PS&E Documents - see the Office of Pre-Letting and PS&E Delivery Manual (pdf)
Construction Schedule - see PS&E Delivery Manual (pdf)
Final PS&E Submittal Checklist
Quality Control Certification from technical resource providers - see Statement of Technical Review for Design Services / Statement of Technical Acceptance for Design Services (pdf)

See PD-07 and PD-08 for next steps for advertisement, bidding, and award, once the PS&E deliverables have been submitted to the Office of Pre-Letting. Project teams must provide a thorough information transfer to construction staff and those who will be responsible for managing the construction work.

Projects missing any of the applicable items in the PS&E deliverables may not be advertised and may be removed from the contract letting schedule. The Roadway Section’s Office of Pre-Letting will communicate this immediately to those who submitted the PS&E package. Mitigation will be the responsibility of those responsible for delivering the work (e.g., Region Manager), and if necessary the project will be rescheduled for bid advertisement. Exceptions to this policy require the approval of the Highway Division Deputy Director in consultation with the affected Region Manager and the Chief Engineer (see OPD website for templates, examples, and guidance).
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SECTION 2 - Accountability

ACCOUNTABILITY for LOCAL PROJECTS:Each Region Manager has direct accountability to the Highway Division Deputy Director for the Scope, Schedule, Budget, and deliverables of Local Projects for which they have been assigned. The assignments are typically made at the Draft STIP Update or STIP Amendment stages. They are also accountable to the Program Manager (e.g., HBRR Program, TE Program) as applicable. They in turn each assign direct project management of Scope, Schedule and Budget oversight as follows:

Region 1 Manager → Project Services Manager → Region 1 Local Agency Liaisons → Local Agency (can apply to any federal, state, county, city, special district, port, etc., other than ODOT)
Regions 2, 3, 4, & 5 Managers → Planning Manager → Local Agency Liaisons → Local Agency (can apply to any federal, state, county, city, special district, port, etc., other than ODOT)

Technical project development “providers” for a project covered under this notice can include:

ODOT Region Technical Center staff
Private consulting firms or contractors
Local Agency staff
Other state or federal agency staff
Special district staff
Port staff
Native American Tribal staff

These providers have accountability to the project management structure defined above, according to technical, efficiency, quality, regulatory and professional registration requirements and standards. In many circumstances, Region Technical Centers (each led by a Technical Center Manager) will be called upon by project management staff to provide additional oversight, review, and technical support for projects delivered by other providers.
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Process Guidance - Local

PROCESS GUIDANCE for LOCAL PROJECTS:The Region Managers are responsible to ensure projects will:

meet the programming requirements of the funding source,
support social values (community values; economic prosperity; cultural, aesthetic, and historic resources; sustainability and diversity),
achieve responsible stewardship of the natural environment,
result in cost-effective solutions,
meet other requirements of the specific local program funding source.

During project development, it is incumbent on the local agency to go through a thorough public involvement process, as well as a collaborative, interdisciplinary approach which involves stakeholders working together for a common solution. Affected stakeholders should include, but are not limited to:

Cities, Counties, and other jurisdictions the Highway Finance Office
ODOT Local Agency Liaisons the Freight Industry
Construction Project Managers Planning & Programming staff
Program Managers Maintenance District staff
Federal Highway Administration Area Managers
Other State and Federal Agencies Affected property and business owners, etc.
Other ODOT Divisions
Technical Center staff

The decision-making process for selecting Local Projects is either defined by the program requirements such as HBRR, the MPO’s MTIP process, or through a prioritization process defined by the local agency for their direct allocations of STIP funds. The projects selected must be consistent with, or included in, local transportation plans.

Following the Draft STIP milestone, communication for decisions resulting in substantial changes to project Scope, Schedule and Budget must be approved by the program manager, MPO, or through the local authorization process, depending on the original process and the defined program procedures. Requests for changes must be communicated by the Local Agency to the ODOT Local Agency Liaison, and must include all support material for submittal of STIP Amendments and additional program requests.

The following summarize the three macro level decision-making milestones within the project development process and their required deliverables (see attached flow diagram and table):
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Draft STIP - Local

Draft STIP (local projects). Scope, Schedule, Budget, and Draft Intergovernmental Agreement (IGA) information must be provided to programming staff in order for projects to be programmed in the Draft STIP. Deliverables include:

Prospectus Parts 1, 2, 3 entered into the Project Delivery Work Planning System (PDWP)
FHWA concurrence on environmental classification (Prospectus Part 3)
Scoping Report see the STIP Scoping Summary Report Template (doc)
Draft Schedule see Project Scheduling Guidance and Expectations (pf)
Draft IGA see What is an Agreement? (pdf), Master Agreement Formats (Coming), Contact Karin Jorgensen or The ODOT Procurement Office (OPO) for technical assistance
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Design Acceptance - Local

Design Acceptance (local projects). This milestone is a critical point of decision-making which establishes the geometric boundaries of the project footprint, and provides for a more reliable update to the project Scope, Schedule and Budget. Deliverables include:

Environmental Documentation (e.g., NEPA CE, EA, EIS) see the Environmental Baseline Report Decision Criteria (doc) and Environmental Baseline Report Guidance, Feb. 2006 (doc)
Design Narrative and/or Bridge Type, Size, and Location (TSL) Report see the Highway Design Manual
Design Exception requests see Engineering Services Design Exceptions, ODOT Design Exception Request Form (doc) and ODOT Highway Design Manual Chapter 13 – Design Exception Process (pdf)
Access Management Documentation & Proposed Deviation(s) (see PD-03) also see the Access Management Manual
Updated Schedule see Project Scheduling Guidance and Expectations (doc)
Plan Sheets
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PS&E Submittal - Local

PS&E Submittal (local projects). This point of decision-making provides certainty of the completeness of a project for bid advertisement through Commission Services. Decision-making with any desired interim milestones between Design Acceptance and PS&E Submittal (e.g., Prelim, Advance, Final Plans) should be addressed through individual Quality Control Plans and Project Development Change Requests as needed.

Deliverables include all items identified on the PS&E Checklist (criteria and requirements as determined by the State Roadway Engineer) typically including:


PS&E Documents - see the Office of Pre-Letting and PS&E Delivery Manual (pdf)
Construction Schedule - see PS&E Delivery Manual (pdf)
Final PS&E Submittal Checklist
Quality Control Certification from technical resource providers - see Statement of Technical Review for Design Services / Statement of Technical Acceptance for Design Services (pdf)

See PD-07 and PD-08 for next steps for advertisement, bidding, and award, once the PS&E deliverables have been submitted to the Office of Pre-Letting. Project teams must provide a thorough information transfer to the construction staff who will be responsible for managing the construction work.

Projects missing any of the applicable items in the PS&E deliverables may not be advertised and may be removed from the contract letting schedule. The Roadway Section’s Office of Pre-Letting will communicate this immediately to those who submitted the PS&E package. Mitigation will be the responsibility of those responsible for delivering the work (e.g., Local Agency or their consultant), and if necessary the project will be rescheduled for bid advertisement. Exceptions to this policy require the approval of the Highway Division Deputy Director in consultation with the affected Region Manager and the Chief Engineer (see OPD website for templates, examples, and guidance).
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Flowchart w/Deliverables

 
Flowchart w/ Deliverables (ODOT access only)

pd-02_image001.gif

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PD02 Deliverables - State

Item Responsible to Provide* Approval Authority**
CHANGE REQUESTS Project Leader/CPM Region Mgr or State Project Delivery Mgr
DRAFT STIP
Draft Prospectus, Parts 1, 2, 3 Project Leader/CPM Region Mgr or State Project Delivery Mgr
Scoping Report Project Leader/CPM Region Mgr or State Project Delivery Mgr
Environmental Baseline Report Technical Provider Region Mgr or State Project Delivery Mgr
Draft Public/Stakeholder Plan Project Leader/CPM Region Mgr or State Project Delivery Mgr
Draft Resource Recommendations Project Leader/CPM Region Mgr or State Project Delivery Mgr
Access Management Draft STIP Deliverables See PD-03 See PD-03
Draft Schedule Project Leader/CPM Region Mgr or State Project Delivery Mgr
PROJECT INITIATION
Project Team Work Plan Project Leader/CPM Region Mgr or State Project Delivery Mgr
Team Resource Roster Project Leader/CPM Region Mgr or State Project Delivery Mgr
Refined Public/Stakeholder Plan Project Leader/CPM Region Mgr or State Project Delivery Mgr
DESIGN ACCEPTANCE
Design Acceptance Memo Project Leader/CPM Region Mgr or State Project Delivery Mgr
Design Acceptance Checklist Project Leader/CPM Region Mgr or State Project Delivery Mgr
Environmental Documentation Technical Provider Lead NEPA Agency
Design Acceptance Plans Technical Provider Region Mgr or State Project Delivery Mgr
Design Narrative/Tech Memo Technical Provider Region Mgr or State Project Delivery Mgr
Design Exception Requests Technical Provider State Roadway Engineer
Access Mgt Documentation & Proposed Deviations Technical Provider Region Manager
Updated Schedule Project Leader/CPM Region Mgr or State Project Delivery Mgr
Updated Estimate/Budget Project Leader/CPM Region Mgr or State Project Delivery Mgr
ADVANCED PLANS
Advanced PS&E Documents Technical Provider Per Technical Provider's QC Plan
Insurance Risk Assessment Technical Provider Per PD-15
Draft Construction Schedule Technical Provider Per Technical Provider's QC Plan
Plans-in-Hand Meeting Agenda Project Leader/CPM Project Leader/CPM, per QC Plan
Draft PS&E Submittal Checklist Project Leader/CPM N/A
FINAL PLANS
Final PS&E Documents Technical Provider FHWA as needed, per Provider's QC Plan
Updated Construction Schedule Technical Provider Per Technical Provider's QC Plan
Revised PS&E Submittal Checklist Project Leader/CPM N/A
PS&E SUBMITTAL
PS&E Documents Project Leader/CPM State Roadway Engineer
Construction Schedule Project Leader/CPM State Roadway Engineer
Completeness Memo/Checklist Project Leader/CPM State Roadway Engineer
Quality Control Certification Technical Provider Technical Provider
* Technical Providers often produce the deliverables or elements of deliverables submitted through the Project Leader or CPM.
** Region Manager or Program Manager may choose to delegate authority.
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PD02 Deliverables - Local

Item Responsible to Provide* Approval Authority**
DRAFT STIP
Draft Prospectus, Parts 1, 2, 3 Local Agency/ODOT Liaison Region Manager or Program Manager
FHWA Environmental Concurrence, Part 3 Local Agency/ODOT Liaison FHWA
Scoping Report Local Agency/ODOT Liaison Region Manager or Program Manager
Draft Schedule Local Agency/ODOT Liaison Region Manager or Program Manager
Draft Intergov Agreement Local Agency/ODOT Liaison Highway Division Deputy Director
DESIGN ACCEPTANCE
Environmental Documentation Local Agency/ODOT Liaison Lead NEPA Agency
Design Narrative/TS&L Local Agency/ODOT Liaison Local Agency
Design Exception Requests Local Agency/ODOT Liaison State Roadway Engineer
Access Mgt Documentation & Proposed Deviations Local Agency/ODOT Liaison Local Agency or Region Manager
Updated Schedule Local Agency/ODOT Liaison Local Agency, Region Mgr, or Prog Mgr***
Updated Estimate/Budget Local Agency/ODOT Liaison Local Agency, Region Mgr, or Prog Mgr***
Plan Sheets Local Agency/ODOT Liaison Local Agency
PS&E SUBMITTAL
PS&E Documents Local Agency/ODOT Liaison State Roadway Engineer
Construction Schedule Local Agency/ODOT Liaison State Roadway Engineer
Completeness Memo/Checklist Local Agency/ODOT Liaison State Roadway Engineer
Quality Control Certification Local Agency/ODOT Liaison Technical Provider
* Technical Providers often produce the deliverables or elements of deliverables submitted through the Project Leader or CPM.
** Region Manager or Program Manager may choose to delegate authority.
*** Local Agency approves schedule and budget updates, unless originally approved parameters are exceeded.
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