State Practices for Administering Schedule Issues At the August 2011 Subcommittee Meeting in Virginia Beach, the members of the Contact Administration Section agreed to pursue a task regarding State practices for administering construction schedule issues. The first part of this task involved a survey of the Subcommittee Membership to determine the relative priority of schedule issues (see Appendix A). The second part of this task included the collection of cases studies from three agencies that recently revised their procedures for administering construction schedule issues. The three states selected for the case studies represent states with relatively small (Rhode Island), medium (Virginia) and large (New York ) construction programs. The Task Group members also agreed to solicit and incorporate input from the consulting and construction contracting industry. Representatives of the American Road and Transportation Builder s Association (ARTBA) provided a position paper regarding their collective issues with State DOT scheduling programs shortly before the August 2012 Subcommittee on Construction Meeting. The ARTBA s position paper is provided under separate attachment and is posted on the Subcommittee s web site. The following is a short overview of the schedule related issues, lessons learned and best practices in three states. Rhode Island DOT See the Powerpoint file provided by RIDOT (also posted on the SOC web site). Virginia DOT Organization: In recent years, the Virginia Department of Transportation (VDOT) has taken many steps to improve the performance and management of its $2B+ construction program. Through partnerships with Virginia Universities as well as VDOT s consultant and contracting partners, the Department has implemented schedule-centric policies, tools and training to advance the values of proactive planning and management.
VDOT employs approximately 7,500 people full time. The Agency has nine highway districts and a Central Office in Richmond; the Central Office is responsible for policy and compliance, the districts are responsible for program development and administration. The Central Office Construction Division is primarily responsible for procurement (advertisement and award), contracting (specifications, document control, and execution), and contract administration support. With regard to scheduling, the State Scheduling Engineer is assigned to the Central Office and is responsible for schedule policy, training, compliance and software administration. Each of the nine districts has at least one resource dedicated specifically to scheduling and project controls; these personnel are augmented by consultant resources as needed. While VDOT s scheduling best practices, proficiencies and knowledge continue to evolve alongside the transportation industry, limited resources and negative scheduling cultures continue to challenge progress. Pre-Construction Phase: Prior to procurement (advertisement and award of contract), VDOT prepares a Contract Time Determination Report ( CTDR ) for all projects. The CTDR includes a conceptual schedule or time analysis and establishes the basis for the contract time limit, key milestones and Construction Engineering and Inspection ( CEI ) resources and costs. The CTDR will be prepared in accordance with the VDOT Contract Time Determination Report Guidelines and memoranda (links below). http://www.virginiadot.org/business/resources/const/ctdr_guidelines_vdot.pdf http://www.virginiadot.org/business/resources/const/cdmemo-0711.pdf Dependent upon project complexity and risks, Construction Managers use one of three methods to determine the contract time limit: Estimated Cost Method, Bar-chart Method, or Critical Path Method (CPM). For relatively long-duration or complex projects, Construction Managers utilize Primavera P6 scheduling software to prepare the CTDR schedules. A bar-chart template and other related materials are available via VDOT s Scheduling webpage (link below). http://www.virginiadot.org/business/const/constrschresspecs.asp Construction Phase: All construction contracts include provisions requiring the contractor to develop, submit and maintain a Progress Schedule; VDOT uses these schedules to monitor the project, mitigate risks, manage CEI resources, assess progress of the Work, and quantify schedule impacts for changes in the Work or conditions. The Construction Manager assigns one of six FHWA-approved schedule specifications by Project Category; a guidance document (link below) describes these six categories in further detail as well as the scheduling requirements for each. http://www.virginiadot.org/business/resources/const/projectcategories.pdf a. Category M: Category M is the lowest project category, which represents typical maintenance contracts consisting of projects with very limited repetitive operations performed at multiple
locations (pavement re-surfacing, guardrail replacements, concrete patching, etc.) For such projects, the contractor has the flexibility to schedule the work during any period throughout the construction season. Category M projects b. Category I: Category I is the lowest project category for construction projects, which represents typical short duration small construction projects with limited straight-forward operations, limited project constraints, and minimal or no traffic impact. Such projects include roadway widening, single turn lane additions, drainage structure repairs, etc. c. Category II: Category II represents slightly complex and relatively small to medium size projects that are typically completed in a single or two construction seasons. Category II projects typically involve a limited number of linear operations performed in a familiar and favorable setting with limited project constraints and minimal traffic impact. Such projects include new roadway/bridge construction or widening, multiple turn lane additions, simple bridge repairs, etc. d. Category III: Category III represents moderately complex medium-size projects that are typically completed within two or three construction seasons. Category III projects typically involve a limited number of concurrent operations with typical project constraints and/or traffic impact. Such projects include, but are not limited to new construction, reconstruction, extension, or widening/improvements of medium size roadway/bridge projects. e. Category IV: Category IV represents complex medium to large size projects that are typically completed within three or more construction seasons. Category IV projects typically involve a multiple concurrent operations with substantial project constraints and/or traffic impact. Such projects include, but are not limited to new, reconstruction, extension, or widening/improvements of medium to large roadway/bridge projects that are performed in challenging conditions or under major traffic. Such projects may also contain contract provisions for special time-related conditions, such as contract Interim Milestones, Incentives/Disincentives, A+B bidding, Lane Rental, etc. f. Category V: Category V represents very complex and very costly mega-projects that are typically completed within four or more construction seasons. Category V projects typically involve multiple very large multi-phased contracts with substantial project constraints and/or significant traffic impact. Such mega-projects include combinations of construction/widening of multiple major roadways, bridges, or interchanges on major corridors; or very large complex multiple-span bridges or tunnels. Such projects may also contain contract provisions for special time-related conditions, such as contract Interim Milestones, Incentives/Disincentives, A+B bidding, Lane Rental, etc. VDOT reviews all schedules for compliance and reasonableness to ensure that the schedules reflect a rational work plan. Acceptance is dependent upon completeness and conformance with contract requirements. Any issues concerning the reasonableness of the schedule will be promptly conveyed to the contractor with a request for clarification or justification. Once accepted, VDOT uses progress schedules to monitor the Work on a day to day basis as well as to assess current status of the project. For Categories I through V, progress is assessed monthly based on the Progress Earnings Schedule. The Progress Schedules will be used to determine whether the project is ahead or behind schedule. Once the project exceeds the control limit for unsatisfactory progress, as specified in the scheduling specifications, the contractor is notified that retainage will be withheld and
further actions leading to removal of the contractor s name from the list of qualified bidders will be taken if the project remains in the unsatisfactory state on the next progress estimate date. Scheduling Software: VDOT uses Primavera P6 scheduling software for pre-construction CTDR schedules, resource planning, contractor schedule submissions and schedule impact analysis. VDOT s current version is P6 version 6.2 (migration to version P6v7 is currently underway). VDOT has hundreds of P6 users, including VDOT personnel, consultants and contractors. To minimize software administration requirements and streamline access for both internal and external users, VDOT utilizes a web-based hosting service for software access (Loadspring); stand-alone client installations are kept to a minimum. VDOT s scheduling environment is accessible anywhere and at any time via the internet browser and Loadspring user login account. Users are assigned named user accounts and each user can only view or edit projects to which they have been assigned access and user privileges. User privileges are based on their roles and responsibilities. Contractors must provide working files of all schedules in Primavera s proprietary exchange format (*.XER) and in a version compatible with VDOT scheduling software version (currently Primavera P6 version 7.0). All VDOT contractors and consultants are invited to utilize VDOT s scheduling at no cost; contractors are provided a secure environment and must adhere to contractual schedule submission requirements. Costs to implement: VDOT contracted directly with Oracle/Primavera to procure P6 licenses, implementation support, and web-based application hosting services. The State Schedule Engineer provides user-administration, training and support; VDOT s web-host provides software technical support. VDOT relies on both instructor-led and online training for new users; the Department has also developed custom job-aids that are available on VDOT s website. New York State DOT Organization: Over the last six years, the New York State Department of Transportation (NYSDOT) has made significant investments and taken many steps to improve the performance and management of its capital construction program. The Office of Construction has worked closely with the Information Technology Division to implement a statewide contract to provide computers with high speed internet access for all construction staff, including those in project field offices, to enable the agency to utilize web enabled enterprise software applications for construction project management and project controls. This includes the implementation of the AASHTOware Trnsport Suite (Estimator, PES, LAS, SiteManager,
LIMS, DSS), Oracle Primavera P6, Oracle Primavera Contract Manager, Equal Business Opportunities, and Bentley InRoads. In coordination with NYSDOT s consultant and contracting partners, the Office of Construction has implemented new scheduling policies, specifications, procedures, guidance and training manuals to advance new project management and program management goals. This year NYSDOT formed a Program and Project Management Team and conducted best practices visits to all Regional offices, to share scheduling best practice tips and train staff on newly created standardized Dashboards, Portfolios and activity templates. NYSDOT s Engineering Division, Policy and Planning Division and Information Technology Division have been working to breakdown some of the institutional silos to enable project Planning, Design and Construction staff to better communicate on proactive project planning, scheduling and execution; along with improved program management, performance measurement and public transparency. NYSDOT employs approximately 8,400 people full time. The NYSDOT has a Central Office in Albany, and eleven Regional Offices; as well as Maintenance Residencies/Sub Residencies, and Construction project Field Offices. Within the Central Office Engineering Division, the Office of Construction is primarily responsible for support of the Department s capital construction program including pre-award and award activities, engineering technical expertise, contract administration support, contract dispute resolution, construction engineering automation support, construction quality assurance, resource management, and contract acceptance and archiving activities. Within the Office of Construction, the Construction Project Management & Project Controls Section is responsible for implementing scheduling policies, partnering with the construction industry on emerging technology issues, Primavera P6 and Contract Manager database administration/user account administration, software user HelpDesk support, project management training, consultant management for statewide CPM scheduling support services contract, and scheduling quality assurance. Each of the eleven Regional Offices has at least one person assigned as a scheduling policy coordinator; these personnel are augmented by consultant resources as needed. Pre-Construction Phases: Beginning with the Initial Project Proposal (IPP) the NYSDOT prepares a schedule for all projects that comprises the planning, design and construction phases of the capital project. These high level schedules for Program and Project Management (PPM) are all stored in one Primavera P6 enterprise database with appropriate access and security privileges assigned to users to enable them to update their work activities in the schedule. During the Final Design phase for larger more complex projects, the design project manager with input from the construction supervisor develops a more detailed Suggested Preliminary Construction Schedule in the Construction Project Management (CPM) P6 database. That detailed schedule includes the conceptual plan for how the designer envisions the Contractor will build the various project deliverables and establishes the basis for the determination of the contract duration, constructability review, key milestones and use of special time-related contract provisions, and Construction Engineering and Inspection ( CEI ) resources and costs. The Suggested Preliminary Construction Schedule is prepared in accordance with the NYSDOT Office of Construction Scheduling Manual and the appropriate CPM Special Specification. The Office of Construction also has begun a pilot implementation of 4D modeling (virtual design and construction) on several major projects to investigate the cost/benefit of using Synchro to integrate the
3D design model developed using Bentley InRoads with the CPM Schedule developed using Primavera P6. The Department currently anticipates a large benefit by using this tool for the constructability reviews for large complex construction projects, along with additional benefits as a visualization tool during public information meetings and pre-bid conferences with our construction contractors. NYSDOT has developed an Engineering Instruction (EI) that provides guidance to design Project Managers for the selection of the appropriate contract specification for scheduling to be incorporated into the contract proposal. The draft EI and chapters of the Scheduling Manual (working draft) are available through the Construction Project Management Section. The Department has also developed several detailed scheduling special specifications that vary based on project scope and complexity. Materials are available via NYSDOT Office of Construction s scheduling webpage (link below). https://www.dot.ny.gov/main/business-center/contractors/construction-division/primavera?nd=nysdot The Office of Design has developed Job Instructions (JI) to provide guidance to planning and design staff when using the P6 PPM database for program and project management. Construction Phase: All construction contracts include provisions requiring the contractor to develop, submit and maintain a Progress Schedule; NYSDOT uses these schedules to monitor the project, mitigate risks, manage CEI resources, assess progress of the Work, and quantify schedule impacts for changes in the Work or conditions. The design Project Manager in coordination with the Area Construction Supervisor assigns one of four schedule specifications based on project scope and complexity; the EI guidance document describes these four scheduling specifications in further detail as well as the scheduling requirements for each. g. Type 1: Type 1 (non CPM schedules) is for the least complex construction contracts (approx. 60% of the program), which represents typical maintenance contracts consisting of projects with very limited repetitive operations performed at multiple locations (pavement re-surfacing, guiderail replacement, traffic signal replacement, signing replacement, bridge painting, concrete patching, etc.) For such projects, the contractor has the flexibility to schedule the work during any period throughout the construction season. The Contractor can submit the schedule monthly using a simple bar chart, utilizing any type of scheduling software. Construction staff are responsible for entering the schedule and any revisions into the Department s P6 PPM database. Type 2 (CPM Schedules) are developed and maintained by Contractors using Primavera P6 on the Department s network servers in the P6 Construction Project Management database. Construction Supervisors are responsible for summarizing the information and entering the key schedule milestones and any revisions into the Department s P6 Program & Project Management database. h. Type 2A: Type 2A is for routine complexity relatively small to medium size construction contracts, which represents typical one to two construction seasons with limited straight-forward operations, limited project constraints, and minimal or no traffic impact. Such projects include roadway widening, single turn lane additions, drainage structure repairs, new roadway/bridge construction or
widening, multiple turn lane additions, simple bridge repairs, etc. The Contractor updates the schedule weekly, and submits the schedule monthly for NYSDOT review/acceptance. i. Type 2B: Type 2B represents complex medium to large size projects that are typically completed within three or more construction seasons. Category IV projects typically involve a multiple concurrent operations with substantial project constraints and/or traffic impact. Such projects include, but are not limited to new, reconstruction, extension, or widening/improvements of medium to large roadway/bridge projects that are performed in challenging conditions or under major traffic. Such projects may also contain contract provisions for special time-related conditions, such as contract Interim Milestones, Incentives/Disincentives, A+B bidding, Lane Rental, etc. The Contractor updates the schedule weekly, and submits the schedule bi-weekly for NYSDOT review/acceptance. j. Type 2C: Type 2C represents very complex and very costly mega-projects that are typically completed within four or more construction seasons. Category V projects typically involve multiple very large multi-phased contracts with substantial project constraints and/or significant traffic impact. Such mega-projects include combinations of construction/widening of multiple major roadways, bridges, or interchanges on major corridors; or very large complex multiple-span bridges or tunnels. Such projects may also contain contract provisions for special time-related conditions, such as contract Interim Milestones, Incentives/Disincentives, A+B bidding, Lane Rental, etc. The Contractor updates the schedule daily, and submits the schedule weekly for NYSDOT review/acceptance. NYSDOT reviews all schedules for compliance and reasonableness to ensure that the schedules reflect a rational work plan. Acceptance is dependent upon completeness and conformance with contract requirements. Any issues concerning the reasonableness of the schedule will be promptly conveyed to the contractor with a request for clarification, modification or justification. Once accepted, NYSDOT uses progress schedules to monitor the Work on a day to day basis as well as to assess current status of the project, and as justification for any contract Time Extensions and/or timerelated disputes. If Contractors are late in submitting the Progress Schedules they may be subject to Liquidated Damages as outlined in the scheduling special specification. Materials are available via NYSDOT Office of Construction s scheduling webpage (link below). Training Manual for Construction Field Office staff on use of Primavera P6.1 Client: https://www.dot.ny.gov/main/business-center/contractors/construction-division/constructionrepository/nysdot_p6client_training_manual.pdf Special Specification for Type 2 schedule: https://www.dot.ny.gov/main/business-center/contractors/construction-division/constructionrepository/cpm_special_spec_639_1022--01.pdf New User Request For Access form:
https://www.dot.ny.gov/main/business-center/contractors/construction-division/constructionrepository/request_for_access_office_of_construction_primavera_p6.pdf Scheduling Software: NYSDOT uses Primavera P6 scheduling software for pre-construction schedules, contractor Progress Schedule submissions and schedule impact analysis. NYSDOT s current version is P6 version 6.1 SP2 (migration to P6 Release 8.2 is currently underway). NYSDOT has approximately two thousand P6 users, including NYSDOT personnel, consultants and contractors. NYSDOT has implemented a CITRIX server farm to allow Contractors, Consultant, and NYSDOT Construction Field Office users to access the P6 Client software for the CPM database containing the contractor s detailed progress schedules. NYSDOT Central Office and Regional Office Construction users generally utilize the P6 Client software installed directly on their desktop computer and access the enterprise P6 CPM database through the Department s wide area network (WAN), they generally utilize the P6 WebPM software to access the P6 PPM database containing the high level milestone type schedules. NYSDOT s scheduling environment is accessible anywhere and at any time via either the CITRIX servers or the P6 WebPM application server utilizing an internet browser. Users are assigned named user accounts and each user can only view or edit projects to which they have been assigned access and user privileges. User privileges are based on their roles and responsibilities. All NYSDOT contractors and consultants assigned to active contracts are invited to utilize NYSDOT s P6 software licenses at no cost; contractors are provided a secure environment and must adhere to contractual schedule submission requirements. Governor s Performance Goals and Transparency: The Governor has established 2012 Goals for NYSDOT: Demonstrate transparency - post capital program project cost/schedule data on agency website, along with performance metrics. Construction program performance goals (NYSDOT Goal for 2012 is 90% of projects delivered on time and with less than 5% cost overruns). NYSDOT Project Management Office: NYSDOT is currently considering the establishment of a Project Management Office to oversee policies, procedures, guidance and compliance related to project management for the Department s capital program. Under the Office of Organizational Effectiveness the Department formed a new Task Force to improve Program and Project Management, which has established several Teams to work on different tasks. Central Office and Regional Office staff from various Department program areas (ITD, Planning, Design, Construction) are part of these Teams.
New Software Application implementations: NYSDOT is currently investigating the replacement of the agencies legacy Program Support System (PSS) with Oracle s Primavera Portfolio Manager, with an anticipated implementation goal of Fall 2013. NYSDOT has purchased an implemented Oracle Business Intelligence (BI), and has begun training users on creating reports using this new tool. They have also purchased P6 Analytics and part of the consultant scope of work with Oracle will be to assist NYSDOT with implementing and training users with this tool. NYSDOT plans to implement a Data Warehouse as part of the Oracle Primavera implementation, and part of the consultant scope of work with Oracle will be to assist NYSDOT with documenting the new architecture requirements. Work is already underway to integrate various enterprise database sources, such as SiteManager, P6, EBO and PSS to eliminate dual data entries. NYSDOT plans to implement Oracle Contract Manager Release 14 on NYSDOT servers in 2013, and move the current project data from the existing Third Party Web Hosting Service. Costs to implement: NYSDOT contracted directly with Oracle Primavera to procure P6 licenses, implementation support, annual software maintenance support, and training. The NYSDOT Information Technology Division provides the application server and web server support, Citrix server support, database support, network services support, AD user account administration, and some of the first line user HelpDesk Support. The Office of Construction s Construction Project Management & Project Controls Section provides: the Primavera application user account administration; most first line and all second line user HelpDesk support; software and scheduling training; P6 database administration; consultant management for statewide consultant CPM scheduling services; and contract administration for third party web hosting services provided by a vendor to implement Contract Manager along with both P6 and Contract Manager training database platforms. NYSDOT relies primarily on consultant instructor-led training for new users; the Department has also developed custom training manuals that are available on NYSDOT s website. NYSDOT includes a minimum Lump Sum pay item in the construction contract to pay the Contractor for developing and maintaining their progress schedules on the NYSDOT servers.
Appendix A - Summary of Responses Received to the December 20, 2011 Questionnaire concerning the Administration of Construction Schedule Issues 1. Please rate the importance of the issues listed below on a scale from: 1 = least important in administering schedule issues, 5 = most important and an issue for which it would be helpful to have information from other states Least Importance =1 Average Importance =3 Most Important =5 Rating Response Average Count 16. Defending claims with schedule data 0.0% 2.2% 13.3% 42.2% 42.2% 4.2 15. Best practices in reviewing and using 0.0% 4.4% 17.8% 46.7% 31.1% 4.0 information from the contractor s schedule 18. Actions to proactively address potential delays and address contractors that are behind schedule 0.0% 4.4% 22.2% 44.4% 28.9% 4.0 14. Best practices in maintaining expertise 4.4% 4.4% 13.3% 51.1% 26.7% 3.9 for reviewing the contractor s schedule 6. Interpreting compensable / noncompensable 2.2% 11.1% 20.0% 28.9% 37.8% 3.9 delay issues 5. Interpreting excusable / non-excusable 0.0% 8.9% 28.9% 28.9% 33.3% 3.9 delay issues 8. Providing time extensions with change 0.0% 11.4% 20.5% 40.9% 27.3% 3.8 orders for additional work 22. Effective methods for contract close-out 2.2% 11.1% 26.7% 28.9% 31.1% 3.8 19. Actions to address contractors that are 0.0% 13.3% 28.9% 28.9% 28.9% 3.7 frequently behind schedule 1. Dealing with the contractor s noncompliance in providing timely and accurate initial schedules and updates 4.4% 11.1% 24.4% 33.3% 26.7% 3.7 12. Appropriate use, benefits and costs of implementing a CPM/schedule contract provision 2.3% 11.4% 29.5% 36.4% 20.5% 3.6 21. Use of interim milestones for managing 0.0% 13.3% 37.8% 42.2% 6.7% 3.4 the schedule. 7. Assessing liquidated damages 2.2% 22.2% 24.4% 35.6% 15.6% 3.4 3. Interpreting adverse weather situations in contract administration (e.g. what activities must be affected, and for how long, to warrant a time extension). 6.7% 17.8% 26.7% 28.9% 20.0% 3.4 23. Use of calendar days versus work days 11.1% 13.3% 42.2% 20.0% 13.3% 3.1 13. Appropriate use of bar charts and related 4.5% 15.9% 52.3% 22.7% 4.5% 3.1 specifications.
20. Best practices in calculating / updating liquidated damage rates 2. Accounting for adverse weather in the schedule 11. Positive and negative aspects of A+B Project Delivery 9. Calculating and using road user costs on I/D and A+B contracts 10. Defining the scope of work necessary to achieve an unrestricted continuous traffic for incentive/disincentive, lane rental or A+B contract provisions. 4. Use of the terms receiving, reviewing or accepting or approval in the review of contractor s schedules 17. Interpretation of regional or area wide material shortage delay issues 4.4% 35.6% 26.7% 20.0% 13.3% 3.0 13.6% 11.4% 43.2% 25.0% 6.8% 3.0 13.6% 20.5% 34.1% 20.5% 11.4% 3.0 11.4% 27.3% 25.0% 29.5% 6.8% 2.9 6.7% 35.6% 24.4% 28.9% 4.4% 2.9 8.9% 31.1% 28.9% 28.9% 2.2% 2.8 13.3% 26.7% 46.7% 13.3% 0.0% 2.6