State of New Jersey
Department of Transportation
Change Control Board
Procedures

January, 2007
Prepared by
Change Control Board

1.0 Change Requests

These procedures are for processing Design Changes or Construction Changes (not Field Orders). Sources and cross references include Standard Specifications section on Scope of Work, and Construction Procedures Handbook sections on Construction Changes and Changed Field Conditions.

2.0 Definitions

Change Control Board (CCB) Established to review and approve changes and requests affecting design and construction in an effort to control costs, control scope changes, and provide historical data for quality assurance purposes. The CCB is composed of four of the Capital Program Management Directors (the Director of Construction Services and Materials, the Director of Design Services, the Director of Project Management and the Director of Capital Program Support). The Project Manager shall attend the CCB meetings to present an issue related to a project. The Project Manager may be accompanied by the Designer or the Resident Engineer for technical support. In unusual situations a Consultant Designer maybe present during project presentation, if deemed necessary. In addition, a representative from Capital Program Coordination and a representative from Federal Highway Administration will attend CCB meetings as appropriate.

Construction Order - The Construction Order is a written order, issued by an NJDOT engineer to the contractor after execution of the contract, authorizing one (1) or more of the following, if applicable:

1. a change in the work;
2. adjustment in the basis of payment for the work affected by the change;
3. adjustment in the contract time; and
4. a change in specifications.

Construction Change Request - A CON-RQST-2 (doc 98k) form submitted requesting the review and approval of the Change Control Board on a perceived need to issue a construction order to the contractor on a project after execution of the contract.

Contract Documents - As defined in the Standard Specifications for Road and Bridge Construction.

Design Change - A change in a design stage of a project which modifies the concept as outlined in the proposal.

Design Change Request - A DES-RQST-2 (doc 91k) form used to request scope or cost changes to projects under design through the Change Control Board.

3.0 Design Change Requests (TBD)

During the Preparation of Roadway Plans, when a design change appears to be necessary or desirable, a Design Change Request should be submitted to the CCB for review. A Design Change Request is required if a change occurs in a design stage of a project which modifies the concept as outlined in the proposal or if the scope development, design development or final design increases the programmed amount by more than the following amounts within one (1) fiscal year:

1. Design - $500,000
2. Right-of-Way - $500,000 or 10% of Right-of-Way cost

Construction - $500,000 or 5% of Construction cost

If the total cost increase is greater than $500,000 or the stated percentage threshold but less than $1 million, a CCB meeting may not be required; however, the Design Change Request form should be completed and forwarded to the Director of Project Management who will determine whether a CCB meeting is needed.

Units with Tasks include:

Designer, Project Management, Control Change Board, Office of the Assistant Commissioner of Capital Program Management, Project Management Office

3.1 Design Unit Tasks

Notify the Project Manager of potential change.

3.2 Project Management Unit Tasks

Project Manager: When a design change in a project appears to be necessary or desirable, complete the Design Change Request form attaching any supporting material and submit it to the Program Manager for review and concurrence. As part of the gathering of supporting information, gain the review and/or approval of the FHWA Area Engineer if Full Oversight. Also, review the scoping history with Project Planning and Development (if previously involved).

Present the issue to the CCB at the scheduled CCB meeting.

If approved, process the changes to the appropriate contract, cost and schedule documents. If rejected, notify the designer.

Program Manager: Review the request for validity, completeness and accuracy. Obtain concurrence from the Director of Project Management and forward the request to the CCB Administrator.

Director: Review and dispose of the request in one of the following ways.

Reject: If not in favor of the proposed change, reject it and return it to the Program Manager.

Concur: Indicate concurrence on the request form and return to the Program Manager for submission to the CCB Administrator to set up a meeting.

Approve: Recommend for approval without a meeting of the CCB. Note the reason for, and any conditions of, approval on the decision page of the Change Request form and forward to the CCB Administrator.

3.3 Change Control Board Unit Tasks

Change Control Board Administrator:

1. Upon receipt of a Design Change Request, set up a CCB meeting within 7-10 days, attend the meeting, record the Board’s decision. Upon completion, forward the request with the reason for the recommended approval to the Assistant Commissioner of Capital Program Management for concurrence.
   
   Notify the Project Manager of the decision by forwarding a copy of the signed decision. Also forward a copy to any parties who have additional responsibilities as a result of the Board’s decision.
   
2. If the request was recommended for approval without a meeting, the request must be sent to the other members of the CCB, as well as the Capital Program Coordination Unit and the Federal Highway Administration as appropriate, for their comment prior to being forwarded to the Assistant Commissioner of Capital Program Management for concurrence. Any comments received must be resolved and documented prior to requesting concurrence from the Assistant Commissioner. If they cannot be resolved individually, then a CCB meeting should be scheduled to present the request to the full CCB.
   
   Once approved or rejected by the Assistant Commissioner of Capital Program Management, the CCB decision should be sent to Project Manager, all members of the CCB, the Capital Program Coordination Unit, the Project Management Office, and the Federal Highway Administration.

The original request and signed decision are retained in the CCB files housed in the Project Management Office.

Change Control Board Members: Review the Design Change Request and dispose of it by approving it in whole or in part, with or without additional instructions or conditions, or rejecting it. If the request was recommended for approval without a meeting, forward any comments to the CCB Administrator within the requested timeframe.

3.4 Project Management Office

Upon receipt of Design Change Request decisions, record the information in a database to track all change request patterns. Determine if the change is the result of a quality issue. If so, revise the Quality Assurance or Quality Control Plan or submit a Baseline Document Change Request as appropriate.

3.5 Office of the Assistant Commissioner of Capital Program Management Tasks

Review the Design Change Request and dispose of it by approving it in whole or in part, with or without additional comments or conditions, or rejecting it. If approved, sign on the designated concurrence line and return it to the CCB Administrator for distribution. If rejected, indicate as such including the reason for rejection and return to the CCB Administrator for distribution.

4.0 Construction Change Requests (5140)

When a construction order appears to be necessary or desirable or if a construction change is necessitated through the claim settlement process, the Project Manager is to submit a Construction Change Request to the CCB for review prior to commencement of work. A Construction Change Request is required if there is a change in cost of more than $500,000 or more than 5% of the construction cost.

If the change in cost is greater than $500,000 or the stated percentage threshold but less than $1 million, a CCB Meeting may not be required; however, the Construction Change Request Form should be completed and forwarded to the CCB Administrator as well as the Quality Assurance Unit.

Units with Tasks include:

Resident Engineer, Project Management, Control Change Board, Office of the Assistant Commissioner of Capital Program Management, Project Management Office

4.1 Resident Engineer Tasks

Notify the Project Manager of potential change prior to initiation of work.

4.2 Project Management Tasks

Project Manager: Prepare a Construction Change Request attaching any supporting material and submit it to the Program Manager for review and concurrence. As part of the gathering of supporting information, provide the approval and/or review of the FHWA Area Engineer if Full Oversight. Also, review the funding scenario with the Capital Program Coordination Unit.

Present the issue to the CCB at the scheduled CCB meeting.

If the Construction Change Request is approved, refer to the Construction Procedures Handbook and the Standard Specifications. Coordinate any approval conditions with the Resident Engineer. If not approved, notify the Resident Engineer.

Program Manager: Review the request for validity, completeness and accuracy. Obtain concurrence from the Director of Capital Program Management and forward the request to the CCB Administrator.

Director: Review and dispose of the request in one of the following ways.

Reject: If not in favor of the proposed change, reject it and return it to the Program Manager.

Concur: Indicate concurrence on the request form and return to the Program Manager for submission to the CCB Administrator to set up a meeting on the issue.

Approve: Recommend for approval without a meeting of the CCB. Note the reason for, and any conditions of, approval on the decision page of the Change Request form and forward to the CCB Administrator.

4.3 Change Control Board Tasks

Change Control Board Administrator: 

1. Upon receipt of a valid Construction Change Request, set up a CCB meeting within 24 hours for emergency issues where a decision is needed immediately in order to avoid delay claims or where safety issues are involved, or within 7-10 days for all other issues. Attend the meeting and record the Board’s decision. Upon Completion, forward the request with the reason for the recommended approval to the Assistant Commissioner of Capital Program Management for concurrence.
   
   Notify the Project Manager of the decision by forwarding a copy of the signed decision. Also, forward a copy to the appropriate Regional Construction Engineer as well as any parties who have additional responsibilities as a result of the Board’s decision.
   
2. If the request was recommended for approval without a meeting, it must be sent to the other members of the CCB, as well as the Capital Program Coordination Unit and the Federal Highway Administration as appropriate, for their comment prior to being forwarded to the Assistant Commissioner of Capital Program Management for concurrence. Any comments received must be resolved and documented prior to requesting concurrence from the Assistant Commissioner. If they cannot be resolved individually, then a CCB meeting should be scheduled to present the request to the full board.
   
   Once approved or rejected by the Assistant Commissioner of Capital Program Management, the CCB decision should be sent to Project Manager, the appropriate Regional Construction Engineer, all members of the CCB, the Capital Program Coordination Unit, and the Federal Highway Administration.

The original request and signed decision are retained in the CCB files housed in the Project Management Office.

Change Control Board members: Attend the CCB meeting and dispose of the Construction Change Request by approving it in whole or in part, with or without additional instructions or conditions, or disapproving it. If the request was recommended for approval without a meeting, forward any comments to the CCB Administrator within the requested timeframe.

4.4 Project Management Office

Upon receipt of Construction Change Request decisions, record the information in a database to track all change request patterns. Determine if the change is the result of a quality issue. If so, revise the Quality Assurance or Quality Control Plan or submit a Baseline Document Change Request as appropriate.

4.5 Office of the Assistant Commissioner of Capital Program Management Tasks

Review the Construction Change Request and dispose of it by approving it in whole or in part, with or without additional comments or conditions, or rejecting it. If approved, sign on the designated concurrence line and return it to the CCB Administrator for distribution. If rejected, indicate as such including the reason for rejection and return to the CCB Administrator for distribution.