SEA Documents
Summary
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.
Templates and Examples
SEA templates are saved within OnBase. OnBase is only accessible by CDOT employees. Non CDOT users can email [email protected] to request templates. The SEA templates must be used. Documents not in the standard SEA templates will be immediately rejected. After approval of the Technology/SEA Assessment the remaining templates will be shared, along with previously approved SEA documents of the same technology applications to provide examples and guidance.
Required SEA Documents
Regulation
Purpose
Benefits to CDOT
Prerequisite to Submit
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 Assessment must be accepted.
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.
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.
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.
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.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.
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.
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.
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.
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
This is the final SEA document. All other documents must be approved prior to submitting this document.
Document Submission Order
The following documents must be submitted in the below sequential order, with each document needing to be approved prior to the next document being submitted:
- Technology/SEA Assessment
- Alternative Analysis
- Concept of Operations
- System Function Requirement and the High Level System Design can be submitted together
- Detailed Level System Design
- Testing and Integration
- Validation Plan
The following documents can be submitted any time after the Concept of Operations is approved, but must be approved prior to the Validation Plan being submitted:
- Maintenance Plan
- Agreements with Partners
- Standard Operating Procedures
Document Submission
All documents must be submitted to [email protected]. CDOT ITS is currently working on moving the SEA into PMWeb. This effort is currently happening, so stay tuned on when the move will happen!
Document Review
Documents take approximately two weeks to review. ITS aims for a faster turn around, but sometimes documents will take longer given the current work load. ITS will review the document in Google Doc and provide comments within the Google Doc. The document is not approved until all of the comments are addressed. ITS suggests budgeting a minimum of a week in addition to the two week review period to address comments.
