SEA Documents
Below is the list of required SEA document. Click on each document title to understand how the document is linked to the regulation, purpose, benefit to CDOT, and for a link to the template. As shown in the above graphic, the SEA documents are intended to build onto each other and slowly dive into more detail . They are structure to prompt discussion and bring stakeholders together.
Make sure to check the SEA document library to leverage previously prepared work! The SEA document library is located on the internal website which will require VPN access.
Required SEA documents:
Purpose: A high level check-in at the beginning of the project for Project Managers (PM’s) to determine the degree of their SEA scope and resources. It will also identify what are the types of funding for the project.
Benefits to CDOT: It will determine early in the project delivery process, if the SEA is applicable to a project. It will allow PM’s to identify as early as possible which SEA documents can be leveraged from the SEA library and which will need to be prepared using the developed templates. It will set clear expectations up front about what needs to be delivered. Setting expectations up front results in higher quality deliverables in the end. Additionally, it will allow the ITS & Network Services Branch to plan ahead and allocate the appropriate amount of resources needed so that they are available and responsive when the project needs support.
Prerequisite to Submit: None, this is the first document that should be submitted.
Template: Technology/SEA Assessment Template - This document is in Microsoft Word Format.
Regulation: 940.11(c)(4) - Alternative Analysis
Purpose: Evaluating and documenting all alternatives considered for the project. All alternatives will have a cost and benefit analysis, with the selected alternative having enough detail to develop the Concept of Operations and to provide something tangible for stakeholder review. This document should also take into account future needs and the future vision and strategy of CDOT.
Benefits to CDOT: It will allow CDOT to show the taxpayers that the best option was selected. Through doing a cost benefit analysis of each option, the best long term option will hopefully become clear. Focusing on selecting a sustainable (both in life cycle and cost), will help CDOT better maintain existing devices. It will also be used to ensure the option that is selected can easily be integrated into CDOT’s existing network and that the selected option is compatible with existing CDOT devices.
Prerequisite to Submit: Technology/SEA Checklist must be accepted.
Template: Alternative Analysis Template - This document is in Microsoft Word Format.
Requirement: 23 CFR 940.11(c)(2) - Identification of participating agencies roles and responsibilities
Purpose: Used as a mechanism to determine applicable stakeholders and users and to understand their needs of the system. It will be used to formalize what the system’s needs and requirements will be and the priority of the stakeholders’ needs. This is a high level design document and should not go into too much detail on how the project will be built. It should be a vision of how the system will operate and its basic functions. The document will also have a plan on how to validate that each stakeholder’s requirements has been met in the specifications and contract documents.
Benefits to CDOT: This document will formalize and document all stakeholders’ and users’ needs and responsibilities to implement the project. It will be the initial starting point of identifying what agreements will need to be obtained for the project. Additionally, having a plan on how to validate all agreed upon requirements and infrastructure compatibility will allow the project to ensure all commitments are met.
Prerequisite to Submit: Alternative Analysis must be accepted.
Template: Concept of Operations Template - This document is in Microsoft Word Format.
Regulation: 23 CFR 940.11(c)(3) - Requirements Definition
Purpose: Each applicable service package from the CDOT ITS Architecture Plan establishes the required elements that will make up the system. An element can be thought of as components of the system. Each element is then broken out in functional requirements. All elements and their functional requirements must be fulfilled by a project implementing the applicable service package(s). This document will focus on detailing how the project specific elements and each functional requirement will be fulfilled on the project. Should a project not be able to fulfill an element or a functional requirement per the service package(s), the project will have to document why. Projects may also add project specific elements and/or functional requirements. This document will also tie together the requirements in the Concept of Operations with the Functional Requirements.
Benefits to CDOT: By using the CDOT ITS Architecture Plan to guide technology projects, CDOT is ensuring technology is installed consistently and able to properly integrate into our existing systems. Additionally, using the applicable service package(s) will save significant time for the PM since they will have clear expectations for what the project must achieve.
Prerequisite to Submit: Concept of Operations must be accepted.
Template: System Functional Requirements Template - This document is in Microsoft Word Format.
Regulation: 23 CFR 940.11(c)(3) - Requirements Definition
Purpose: After developing the System Functional Requirements, this document will focus on how and what the elements of the proposed system will communicate with each other. Each applicable service package has a high level flow diagram of the communications between each element. The project team will have to customize the high level flow diagram to make it project specific and add any project specific elements or communications that may have been identified in the System Functional Requirements document. Understanding how all of the elements communicate will be critical in completing the Detailed Level System Design document.
Benefits to CDOT: This document serves as a check-in point to ensure projects do not move forward in the wrong direction and creates consistency across CDOT. Using the CDOT ITS Architecture Plan to develop this document will result in all projects of the same classification communicating consistently. Additionally, if the project is only able to install a portion of the service package, it will be documented what additional elements will be needed in the future for the system to fully function as intended.
Prerequisite to Submit: System Functional Requirements must be accepted.
Template: High Level System Design Template - This document is in Microsoft Word Format.
Regulation: 23 CFR 940.11(c)(3) - Requirements Definition
Purpose: This document will address any additional design that the system may need. Most likely, additional design will require collaboration with the ITS & Network Services Branch. Design areas could include: 1. Networking, 2. Hardware, or 3. Software development.
Benefits to CDOT: This document will be key for creating a touch point and collaboration opportunities between the project team, the ITS Networking team, and the Software team within Program Support. It will also better enable projects to account for costs associated with network design and/or software development. Finally, it will move the conversations up in the project delivery process to allow the ITS & Network Service Branch to be more proactive, instead of reactive and have adequate time to plan resources and better service their customers.
Prerequisite to Submit: High Level System Design must be accepted.Template: Detailed Level System Design Template - This document is in Microsoft Word Format.
Regulation: 23 CFR 940.11(c)(6) - Identification of applicable ITS standards and testing procedures
Purpose: Integration is the process of successfully combining hardware and software components and systems into a complete and functioning whole. This document will detail how the installed system will be stood up and how it will then be integrated into the existing process. It will also go over the test procedures on how to confirm the system is properly integrated.
Benefits to CDOT: By having a plan prior to construction on how to integrate, the new system or devices into the existing CDOT network will result in a smoother integration during construction. This will save both CDOT and the contractor time and money.
Prerequisite to Submit: Detailed Level System Design must be accepted.
Template: Testing and Integration Template - This document is in Microsoft Word Format.
Regulation: 23 CFR 940.11(c)(2) - Identification of participating agencies roles and responsibilities
Purpose: In addition to the Concept of Operations, this document will be used to identify what additional technology related agreements need to be finalized prior to AD and compile all of the agreements in one place. Depending on the agreement, it may take months or even years to get an agreement finalized. It is therefore critical that agreements get identified early in the project delivery process to allow for adequate time to draft, negotiate, and finalize an agreement. All agreements must be finalized prior to AD. An example is with local agencies or private sector fiber agreements.
Benefits to CDOT: This document is a tool to allow CDOT to identify agreements as early as possible in the project delivery process so as to not delay the AD date. Additionally, it prevents projects from being built without formal agreements in place. Agreements need to be finalized and signed before AD to prevent any issues should the agreements fall through.
Prerequisite to Submit: Concept of Operations must be accepted.
Template: Agreements with Partners Template - This document is in Microsoft Word Format.
Regulation: 23 CFR 940.11(c)(7) - Procedures and resources necessary for operations and management of the system
Purpose: Step by step procedures on how to operate the installed system. This should go into enough detail for the operators of the system, which should have been identified in the Concept of Operations, to easily understand their roles.
Benefits to CDOT: As staff turnover, this will be a resource on how to operate the installed device or system. Additionally, it will be a great tool to leverage when transitioning the project from construction to the department who will have to operate the system. It also will help drive training.
Prerequisite to Submit: Concept of Operations must be accepted.
Template: Standard Operating Procedures Template - This document is in Microsoft Word Format.
Regulation: 23 CFR 940.11(c)(7) - Procedures and resources necessary for operations and management of the system
Purpose: Document what it takes to safely maintain (adequate area to pull off, ensuring devices can be safely maintained all year long, etc) and repair the system after CDOT has taken over the maintenance of the project. This should include what routine maintenance will be required for the devices in the system and how many CDOT full time employees will be required to maintain the system. It should also include typical lead time on parts for each device should a repair need to be done. Additionally, a cost analysis needs to be prepared for the device stating roughly how much it will cost each year to maintain, the expected life of the device, and how much it is expected to cost to replace the device.
Benefits to CDOT: This is a checkpoint between the project team and all of the maintenance teams and asset managers who will be responsible for maintaining the infrastructure after project acceptance. It will ensure that the proposed system can be maintained both physically and financially. If the system cannot adequately be maintained and replaced at the end of the life cycle, CDOT should re-consider proceeding with the proposed project. This document will be key in planning for the ITS & Network Services Branch.
Prerequisite to Submit: Concept of Operations must be accepted.
Template: Maintenance Plan Template - This document is in Microsoft Word Format.
Requirement: 23 CFR 940.11(c)(3) - Requirements Definition
Purpose: This document will verify the Validation Portion of the Concept of Operations at the end of design. Validation will be done through referencing where in the project deliverables the requirement is fulfilled. Should a requirement no longer be incorporated in the design, the Validation Plan will document this change. It will also be a tool to communicate to all stakeholders and users how their wants and needs were fulfilled.
Benefits to CDOT: This document will be used to ensure all committed stakeholder and users wants and needs were fulfilled. Should that not be achievable, this will allow all of the design changes to be document in one location.
Prerequisite to Submit: Concept of Operations
Template: Validation Plan Template - This document is in Microsoft Word Format.
