Deliver a safe, reliable and affordable transportation system that is co

1250 Pages·1998·5.26 MB·English

by  Glenn Lawrence

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The NJDOT Procedures Manual presents current Department procedures for preparing
construction contract documents. This manual details the life of a project from problem
statement to construction close-out. Procedures are presented for road and bridge projects for
all project categories: Interstate, National Highway System (NHS) and non-NHS, New
Construction, Reconstruction and 3R.
The primary purpose of this manual is to enable Project Managers to efficiently manage their
projects. Project Management is an organizational structure that systematically breaks down
projects into discreet deliverables tied to schedule and budget milestones. Therefore, all
budget/schedule/manpower needs are approved before project tasks are initiated.
All projects do not have to follow the same prescribed steps of procedure . Customization of
the procedures to fit each project is encouraged. Project Managers should balance the need
to prepare an accurate and complete set of construction contract documents, that comply with
all NJDOT and FHWA policies and design standards, with the need to implement highway and
bridge improvements quickly and economically. The users of New Jersey’s transportation
system expect faster responses to problems and an efficient expenditure of their tax dollars.
Department procedures are always changing. With the publication of this manual, a new
procedure (Baseline Document Change Requests, Section 4.7.2) has been implemented for
updating documents. Ultimately, it is expected that updates will be issued electronically, as
often as needed.
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The NJDOT Procedures Manual is a living document. Corrections, additions and suggestions
for additional sections are welcome. All such requests should be forwarded to the Manager,
Bureau of Quality Management Services.
___________________________________
Russell Tong
Assistant Commissioner
Capital Program Management
______________________________
Timothy F. McGough
Director
Division of Project Management
____________________________________
Richard Dunne
Director
Division of Design Services
______________________________
John Lettiere
Director
Division of Capital Program Control and Support Services
_______________________________
Michael Seigfried
Director
Division of Construction Services and Materials
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1. Introduction
1.1 Foreword
1.2 Table of Contents
1.3 Definitions
1.4 Capital Program Management Organization
1.4.1 Organizational Summaries
1.5 Federal-Aid Highway System
1.6 Project Development Stages
2. Concept Developme nt
2.1 Project Initiation
2.2 Project Selection and Capital Programming
3. Scope Development
3.1 Feasibility Assessment
3.2 Final Scope Development
3.3 Activity Descriptions
3.4 Cost Baselines
3.4.1 Definitions
3.4.2 Baseline Development
3.4.3 Control Cycle and Baseline Changes
3.4.4 Responsibilities
3.4.5 Acronyms
3.5 Scheduling Baselines
3.5.1 Definitions
3.5.2 Overview
3.5.3 Schedule Development
3.5.4 Schedule Updates
3.5.5 Baseline Changes
3.5.6 Scheduling Reports
3.5.7 Responsibilities
3.6 Requesting Survey Services
3.7 Value Engineering
3.7.1 Scope Development
3.8 Design Exceptions
3.8.1 airetirC
3.8.2 Controlling Substandard Design Element Format
3.8.3 Controlling Substandard Design Elements
3.8.4 Design Exception Format
3.8.5 Checklist
4. Design Development
4.1 FHWA Review and Oversight Requirements
4.1.1 Project Categories
4.1.2 Processing Projects
4.1.3 Full Oversight
4.1.4 Alternate Procedures
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BDC97PR009
4.2 Initial Design Submission
4.3 Final Design Submission/Plans, Spe cifications and Estimate
4.3.1 Construction Bar Chart
4.3.2 Special Provisions Guidelines
4.3.3 Preparation of Engineer’s Estimates and Proposal
4.4 Advertisement, Addenda, and Bid Process Procedures
4.4.1 100% State Funded Projects
4.4.2 Full Oversight Projects
4.4.3 Alternate Procedure Projects
4.5 Awarding Contracts
4.6 Rejecting Bids
4.7 Change Requests
4.7.1 Definitions
4.7.2 Baseline Document Change Requests
4.7.3 Design Change Requests
4.7.4 Construction Change Requests
5. Const ruction
5.1 Regional Construction’s Role During Design
5.1.1 Scope Development
5.1.2 Initial Design Submission
5.1.3 Constructibility Review
5.1.4 Environmental Permit Review
5.1.5 Final Design Submission
5.1.6 Notice of Project Assignment
5.1.7 Contractor’s Progress Schedule
5.2 Changes During Construction
5.2.1 Design Changes by Regional Construction
5.2.2 Changes of Plan
5.2.3 Value Engineering Requests by Contractor
5.3 Construction Orders under NJDOT Standard Specifications
5.3 .1 Field Orders
5.3.2 Change Orders
5.3.3 Supplementary Agreements
5.3.4 Force Account
5.4 Contract Claims
5.5 Project Completion and Acceptance
5.5.1 Interim Completion
5.5.2 Partial Acceptance
5.5.3 Substantial Completion
5.5.4 Final Completion and Final Acceptance
5.6 FHWA Required Documents
5.7 Contractor Evaluations
6. Quality Assurance/Quality Control (QA/QC)
6.1 Quality Control Guidelines for Designers
6.1.1 Submission Guidelines
6.1.2 Guidelines for Roadway Plan Development - Initial Submission
6.1.3 Guidelines for Structural Plan Development - Initial Submission
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6.1.4 Guidelines for Roadway Plan Development - Final Submission
6.1.5 Guidelines for Structural Plan Development - Final Submission
6.2 Quality Assurance Procedure for Design
6.3 Capital Program Management Quality Assurance Program Guidelines
6.3.1 Mission Statement
6.3.2 Definitions
6.3.3 Objectives
6.3.4 QAP Requirements
6.4 Consultant Quality Assurance Plan, Guidelines for the Preparation of
6.4. 1 Basic Requirements and Scope
6.4.2 Definitions
6.4.3 Submittal
6.4.4 Quality Program Requirements
6.5 Project Specific Requirements
6.6 Quality Assurance Reporting
6.6.1 Notice of Non-Conformance Report
6.6.2 Corrective Action Request
6.6.3 Quality Issues Report
6.6.4 Process Improvement Recommendation

7. Constructibility
7.1 Current Practices
7.2 Implementation Goal
7.3 Construction Concepts
7.4 Maintenance Considerations
7.5 Checklist
7.6 Constructibility Review Implementation Plan
7.6.1 Guidelines
7 .6.2 Responsibilities
7.6.3 Implementation Plan
8. Environmental
8.1 Environmental Processing Options
8.1.1 Procedure for Determining NEPA Classification of Projects and
Categorical Exclusion Documentation
8.1.2 Programmatic Agreement with FHWA for Approval of Certain Categorical
Exclusions
8.1.3 Categorical Exclusion Documentation Process Diagram, Form and
Tutorial Version of Form
8.1.4 Section 4(f) Process
8.1.5 Environmental Assessment Process
8.1.6 Environmental Impact Statement Process
8.1.7 Executi ve Order 215 (EO215) Process
8.1.8 Environmental Plan Sheets
8.2 Section 106 Process
8.2.1 Description of Process
8.2.2 Programmatic Agreement to Reduce FHWA Involvement
8.2.3 List of Undertakings Which Have Limited or No Effect on Cultural
Resources in New Jersey
8.2.4 The National Register Criteria for Evaluation
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8.2.5 Sample Letters for Section 106 Consultation
8.3 New Jersey Register of Historic Places Process
8.4 Noise Study Process
8.4.1 Criteria for Community Built Noise Barrier Projects wit hin the State’s
Right of Way
8.5 Air Quality Study Process
8.6 Hazardous Waste Process
8.6.1 Policy on Cost Recovery in Acquisition of Contaminated Property
8.6.2 Environmental Clearance Process for Contaminated Parcels
8.7 Environmental Permitting
8.7.1 General Permit Processing Guidelines
8.7.2 Permit Specification Process Guidelines
8.8 Environmental Reevaluation Process
8.9 Environmental Checklist for Project Authorizations
9. Right of Way
9.1 Overview
9.1.1 ROW Procedure
9.2 Preparati on of Right of Way Documents
9.2.1 Introduction - Table of Contents
9.2.2 Definitions and Abbreviations
9.2.3 ROW Document Preparation Schedule
9.2.4 Documents Required
9.2.5 Material Specifications
9.2.6 ROW Parcels Acquired in Fee
9.2.7 Common ROW Easements Parcels
9.2.8 Denial of Access Parcels
9.2.9 ROW Document Preparation - General Information
9.2.10 Application of Upland Owner on Tidal Water for a Lease or Grant of
Riparian Land
9.2.11 ROW Document Submissions
9.2.12 ROW Engineering Process
9.2.13 Process for Eliminating a Parcel
9.2.14 Process for Revising a Parcel
9.2.15 Process for a Condemnation Case
9.2.16 Row Parcel Dedication Requirements
9.3 Jurisdictional Maps and Agreements
9.4 Demolition of Buildings and Asbestos Removal
10. seitilitU
10.1 Scope Development
10.2 Design Development
11. Geotechnical
11.1 Scope Development
11.1.1 Subsurface Exploration
11.1.2 Geotechnical Engineering Studies and Reports
11.2 Design Development
11.2.1 Investigation
11.2.2 Geotechnical Engineering Studies and Reports
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12. Landscape
12.1 Scope Development
12.2 Design Development
13. Hydrology/Hyd raulics
13.1 Drainage Design Report
13.2 Stream Encroachment Permit Application
14. Access
14.1 Access Permit Process
14.2 Developer Agreement Process
14.3 Wireless Antenna Process
15. Mobility Management
15.1 NJDOT Bicycle and Pedestrian Policy
16. Traffic/Safety
16.1 Traffic Signals
16.2 Electrical
16.3 Safety Devices
16.4 Intelligent Transportation Systems
17. Structures
17.1 Procedures for Federal Aid Approval
17.2 Structure Sketch Procedures
17.3 Preliminary Bridge Plan Submissions - Initial Submissions
17.4 Structrual Design Submissions - Final Submissions
17.5 Sign Structures - Plan Presentation Procedures
17.6 High Tower Lighting - Plan Presentation Procedures
17.7 Bridge Deck Rehabilitation Procedures
17.8 Procedures for Obtaining Standard Structural Related Permits
17.9 Working Drawing Procedures
18. Community Relations
18.1 Overview
18.1.1 Immediate Implementation
18.1.2 Miscellaneous Recommendations
18.2 NJDOT Lead Projects
18.2.1 Generalized Community Outreach/Agend a Formation/Problem
Identification
18.2.2 Concept Development
18.2.3 Scope Development
18.2.4 Design Development
18.2.5 Construction
18.2.6 Post Project Assessment
18.3 Basic Responsibilities
18.3.1 Key Players
18.3.2 Responsibilities
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BDC97PR006
18.4 Guidelines - Future Implementation
19. Professional Services
19.1 Initiating Professional Services
19.1.1 Approval to Initiate Professional Services
19.1.2 Funding for Professional Services
19.2 Consultant Selection
19.2.1 Consultant Prequalification
19.2 .2 Project Type Criteria
19.2.3 Request for Professional Services
19.2.4 Review Team for Simple Projects
19.2.5 Technical Evaluation Committee for Standard Projects
19.2.6 Expressions of Interest Rating and Ranking
19.2.7 Consultant Selection Committee
19.2.8 Technical Proposal
19.2.9 Selection Approval Process
19.2.10 Notification to Consultants
19.3 Consultant Agreement
19.3.1 Agreement Types
19.3.2 Pre-Proposal Meeting
19.3.3 Technical and Fee Proposal Evaluation
19.3. 4 Final Proposal Negotiation
19.3.5 Agreement Preparation
19.3.6 Execution of Agreement
19.4 Task Order Agreement Process/Procedures
19.5 Construction Engineering and Inspection Services
19.6 Consultant Agreement Modifications
19.6.1 Transfer of Monies within a Contract
19.7 Invoice Processing
19.8 Consultant Performance
19.9 Consultant Closeout
20.0 Funding
20.1 New Project - State Force Account
20.2 New Project - Professional Services
20.3 Consultant Agreement Modification
20.4 ytilitU Authorizations
20.5 Right of Way
20.6 Construction Award
20.7 Construction Orders
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The following is a list of definitions and terms used in the capital project delivery process.
Many are routinely referred to by their acronyms and are included here for reference.
yrosivdA licnuoC no cirotsiHnoitavreserP )PHCA( - Independent agency charged with
coordinating Federal, State, and local and private preservation efforts and advising the
President and Congress matters of historic preservation. It acts in an advisory capacity and is
typically the final “sign-off” in the Section 106 process.
etanretlAserudecorP - A procedure authorized by 23 CFR 106(b), 23 USC 117(a) and 23
CFR 640 for administering Federal -Aid projects. This procedure combines the Exempt and
Certification Acceptance procedures.
latipaC margorP tnempoleveDeettimmoC - A committee that reviews problem statements
during the various project development stages and determines whether a project should be
developed to address the identified problems. The committee also determines where problem
statements go - planning, back to planning, scope development, design development,
maintenance, etc. The committee is chaired by the Assistant Commissioner Capital Program
Management and is comprised of the Assistant Commissioner Maintenance and Operations,
the Assistant Commissioner External and Governmental Affairs; the Director Project
Management, Director Capital Program Control and Support Services, Director Transportation
Policy and, in the future, a representative from NJ Transit.
lacirogetasCnoisulcxE )EC( - A classification of projects which have been determined not to
individually or cumulatively have a significant impact on the human or natural environment and
are therefore exempt from the preparation of an Environmental Assessment or Environmental
Impact Statement. They are identified in FHWA’s regulations (23 CFR 771) as being Class II
projects.
noitacifitreC ecnatpeccA)AC( - A procedure authorized by 23 U.S.C. 117 (a) and 23 CFR
640 for administering the design of Federal-Aid projects.
gni lnlgoitrsnteenDmoeClE - A design element that “controls” or “drives” a particular design;
has a controlling effect of a design (lane width, cross slope, superelevation, etc.).
Core Group - This is a critical activity for Project Managers to ensure the project has proper
support. It consists of a working group of various Departmental representatives, FHWA, and
external interests (e.g. MPOs, local elected officials, community and environmental
groups/agencies), where appropriate, which provides a forum for soliciting input and “buy-in”
into the project development process. It serves as a means to “tap” the knowledge and
information pool within the Department on a particular transportation problem area and helps
build support for the ultimate solution both within the Department and with external agencies
and the community.
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lacitir ChtaP dohteM)MPC( - A formal scheduling method used on large complex projects to
assure design and construction can be completed in the shortest time frame. The Critical Path
Method utilizes network based logic to identify the interrelationship of design and construction
activities and calculates the longest path of interrelated activities (the critical path) through the
process which cannot be delayed without causing the entire project to be delayed.
larutluC ecruoseR - Term used to denote both architectural (above ground) and
archaeological (below ground) resources which have some type of historical significance.
ycneicifeDtropeR - A report which addresses the physical elements of a specific area of
roadway which is below current standards. Can be prepared concurrently with the Needs
Assessment report.
ngiseDtnemelE - A particular feature of a design (lane width, cross slope, curb, beam guide
rail, etc.).
ngiseDdradnatS - An authoritative principle or rule containing specific criteria and controls for
design.
ngiseDeulaV - A particular value or set of values that are specified for each design element
within a design standard.
tfarD latnemnorivnE tcapmItnemetatS )SIED( - Draft version of an EIS which documents
evaluation of the potential environmental impacts of a project.
no int oa-i6nt0ic1 metrSceetfefDE - An undertaking has an effect on a historic property when
the undertaking may alter characteristics of the property that may qualify the property for
inclusion in the National Register. Alteration to features of the property’s location, setting or
use may be relevant, depending on a property’s significant characteristics, in determining the
effect on a property. An esrevdAtceffE results when the effect on a historic property may
diminish the integrity of the property’s location, design, setting, materials, workmanship,
feeling, or association. Under certain conditions a project may have an effect on a property
but that effect may be determined to be “ teosNrevdA ” and in certain instances there may be
”tcef foEN“ .
latnemnorivnEtnemssessA )AE( - Document prepared for projects identified in FHWA’s
regulations as Class III type projects or those projects for which it is unclear if there is a
potential for significant environmental impacts. Provides information on the alternatives
considered and their associated impacts. After the EA is made available and a public
comment period held, if the project is determined not to have a significant impact on the
environment then FHWA issues a Finding of No Significant Impact (FONSI). If the project is
determined to have a Significant Impact, an EIS must be prepared.
latnemnorivnE tcapmI tnemetatS )SIE( - Document prepared for projects identified in
FHWA’s regulations as Class I type projects or those projects which have the potential for
significant environmental impacts. Provides information on the alternatives considered and
their associated impacts. It is circulated to the public and to review agencies for “comments”
and is prepared as a draft and final document. Its approval is a Record of Decision prepared
by FHWA and published in the Federal Register.
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