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National Roads Authority

2010 Project Management Guidelines

Document Control Sheet

Working Document Page 1 of 343 Version 1.0 January 2010

2010 NRA Project Management Guidelines

Document Control Sheet

Document Ref:2010 NRA Project Management Guidelines - Introduction

Revision No. Description of Revision Approved By Issue Date

01 Initial Issue Working Document for Consultation P. Moran Jan 2010


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Foreword



Foreword

The last decade has seen in excess of 10 billion invested in thenational road network. The lessons learned in carrying out that workare reflected in these 2010 Project Management Guidelines.

The Project Management guidelines are complimentary to therecently published Project Appraisal and Cost Managementguidelines, and also reflect the recently updated Department ofFinance guidelines on the management and delivery of CapitalWorks in the public sector.

The level of investment in the National Road Network in the comingdecade will continue at a high level, even if perhaps below the levelof recent years. It is vitally important that we continue to manage ourprojects well, and these guidelines, which are in force as of February2010, will help us achieve that ambition.

Any current commissions should reflect the intentions of theseguidelines insofar as is possible and practical, and this should be

agreed with the NRA Regional Managers in each specific case.

I wish to thank the staff of the NRA, who together with the assistanceof the Kerry National Roads Design Office, prepared theseguidelines.

Fred Barry

Chief Executive



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Table of Contents



Table of Contents

No. Description Page

Introduction 9

i Purpose 11

ii Definitions 12

iii Interaction with Other NRA Guidelines 13

iv Interaction with Departmental Guidelines 13

v Mandatory Elements & Advisory Elements 17

vi Project Management Guidelines Applications 17

vii Publicity 18viii Management Structure - Roles & Responsibilities 19

ix Meeting Types 36

x Fast-tracking Schemes 38

xi Contract Types 39

xii Decision Register 39

xiii Document Register 40

xiv Funding 40

xv Overview of the 7 Phases of Development 40

Introduction Appendices 45

Phase 1 Scheme Concept & Feasibility Studies 63

Phase 1 Scheme Concept & Feasibility Studies - Process Map 65

1.0 Purpose 66

1.1 Assessment of Project Need, Scope and Extent 66

1.2 Project Management 67

1.3 Project Initiation 68

1.4 Project Programme & Objectives 69

1.5 Project Execution Plan 70

1.6 Appointment of Service Providers 71

1.7 Health & Safety 73

1.8 Scheme Feasibility Report 74

1.9 Feasibility Working Cost 74

1.10 The Project Brief & Procurement Strategy 75

1.11 Deliverables & Approval to Proceed 76

Phase 1 Appendices 77


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Phase 2 Route Selection 107

Phase 2 Route Selection - Process Map 109

2.0 Purpose 110

2.1 Previous Studies 1102.2 Project Set-up Workshop 110

2.3 Publicity Requirements 111

2.4 Dealing with Landowners / Members of the Public 112

2.5 Constraints Study 112

2.5.1 Definition of the Study Area 112

2.5.2 Mapping 113

2.5.3 Identification of Constraints 113

2.5.4 Health & Safety 114

2.6 Route Selection Process 1142.6.1 Consideration of Do-Nothing and Do-minimum Alternatives 115

2.6.2 Development of Feasible Route Options 117

2.6.3 First Public Consultation 117

2.6.4 Stage 1 - Preliminary Options Assessment 118

2.6.5 Second Public Consultation 120

2.6.6 Stage 2 - Project Appraisal of Route Options 120

2.6.7 Stage 3 - Selection of a Preferred Route Corridor 122

2.6.8 Walkover of Preferred Route Corridor 123

2.6.9 Route Selection Report 1232.7 Value Engineering & Value Management 123

2.8 Route Selection Peer Review 124

2.9 Public Display of Preferred Route Corridor 124

2.10 Health & Safety Risk Assessment of Preferred Route Corridor 125

2.11 Planning Implications 125

2.12 Project Appraisal Guidelines Deliverables 126

2.13 Audit Requirements 127



Phase 3 Design 143

Phase 3 Design - Process Map 145

3.0 Purpose 146

3.1 Review of Outputs from Phases 1 & 2 146

3.2 Mapping & Surveys 146

3.3 Ground Investigation Works 148

3.4 Environmental & Archaeological Considerations 150

3.4.1 Archaeology 150

3.4.2 Other Environmental Considerations 150

3.5 The Design - Compliance with the Design Manual for Roads & Bridges 151


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Phase 3 Design (continued)

3.6 Planning Control - Protection of the Preferred Route Corridor 152

3.7 Dealing with Landowners / Members of the Public 152

3.8 Approvals & Consents 1533.8.1 Local Authority Section 85 Agreements 153

3.8.2 An Bord Pleanla EIS Direction (Sub-threshold Schemes) 154

3.8.3 OPW Consents 154

3.8.4 NRA Approval of Structures 155

3.8.5 Iarnrd ireann Initial Acceptance of Structures at Railways 156

3.9 Design Working Papers 157

3.9.1 Traffic Modelling, Road Type & Road Safety Audit 157

3.9.2 Geometry (Horizontal & Vertical Alignments) 159

3.9.3 Relaxations & Departures 1603.9.4 Strategy for Junctions & Side Roads 161

3.9.5 Ground Investigation, Soil Classification & Earthworks Balance Optimisation 161

3.9.6 Drainage, Structures & Pavement 163

3.9.7 Services, Land Use, Accommodation Works & Maintenance 164

3.10 Value Engineering & Value Management 165

3.11 Additional Public Consultation 166

3.12 Design Peer Review 166

3.13 Scheme Cost Estimate 167

3.13.1 Preliminary Scheme Base Cost 1673.13.2 Preliminary Risk Assessment Meeting 167

3.13.3 Preliminary Scheme Target Cost and Total Scheme Budget 168

3.14 Design Report 168

3.15 Dealing with Late Changes to Scope 169

3.16 Health & Safety Design Risk Assessment 169

3.17 Updated Project Appraisal Guidelines Deliverables 169



Phase 4 EIA/EAR & The Statutory Processes 189

Phase 4 EIA/EAR & The Statutory Processes - Process Map 190

4.0 Purpose 192

4.1 Land Acquisition Mapping 192

4.2 Procurement of Property Valuation & Legal Service Providers 193

4.3 Updated Land Cost Estimate 193

4.4 Duties of the Project Liaison Officer 194

4.5 EIA / EAR 195

4.5.1 Screening & Scoping 195

4.5.2 Design Report Information 196

4.5.3 Protected Sites - Licences and Appropriate Assessment 197


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Phase 4 EIA/EAR & The Statutory Processes (continued)

4.5.4 Additional Surveys - Time Limits 198

4.5.5 Schedule of Environmental Commitments 199

4.6 Preparation of CPO/MO Mapping, Order, Schedule & Notices 2004.7 Dealing with Late Changes to Scope 200

4.7.1 Revised Target Cost & Total Scheme Budget 201

4.7.2 Revised & Updated PAG Deliverables 202

4.7.3 Programme & Design Changes 202

4.8 Approvals 203

4.8.1 NRA Approvals 203

4.8.2 Local Authority Approvals 204

4.9 The Statutory Processes 204

4.9.1 Part 8 Planning Process 2044.9.2 Cross-Border Schemes 205

4.9.3 EIS (Strategic Infrastructure) 205

4.9.4 CPO/MO 207


4.11 The Oral Hearing 211


4.13 An Bord Pleanla Decision 212

4.14 Report on Land Agreements / Updated Schedule of Commitments 212

4.15 Approval to Proceed to Phase 5 212Phase 4 Appendices 213

Phase 5 Advance Works & Construction Documents Preparation, Tender & Award 233

Phase 5 Advance Works & Construction Documents Preparation, Tender & Award - Process Maps 235

5.0 Purpose 237

5.1 Confirmation of Lands to be Made Available to the Contractor 237

5.1.1 Review of Design Report / EIS / ABP Scheme Confirmation 237

5.1.2 Review of subsequent Design Changes 238

5.1.3 Review of Land Agreements / Accommodation Works 239

5.1.4 CIE/IE Consent for Railway Structures 239

5.1.5 Other Consents 240

5.2 Advance Works Contracts 241

5.2.1 Service Diversions / Fencing / Hedge Clearing 242

5.2.2 Environmental Advance Works 243

5.2.3 Archaeological Services 243

5.2.4 Topographical Proof Survey 245

5.2.5 Additional Ground Investigation Contract 246

5.3 Value Engineering & Value Management 246

5.4 Revised & Updated Total Scheme Budget (incl. Pre-Tender Estimate) 246


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Phase 5 Advance Works & Construction Documents Preparation, Tender & Award(continued)

5.5 Revised & Updated PAG Deliverables 247

5.6 Construction Documents Preparation 247

5.6.1 Health & Safety Plan 248

5.6.2 Tender Drawings 249

5.6.3 Tender Documents 249

5.7 Due Diligence Check on Draft Tender Documents 250

5.8 NRA Approval of Tender Documents / Approval to Proceed with Tender Process 250

5.9 Tender Process 251

5.9.1 PIN / Contract Notices in OJEU 251

5.9.2 Pre-qualification of Tenderers 252

5.9.3 Tender Queries / Tender Bulletins 252

5.9.4 Meetings 253

5.9.5 Review of Consolidated Outline Proposals 254

5.9.6 Departure Applications 254

5.10 Tender Assessment & Award 255

5.10.1 Assessment of Non-Compliant, Conforming & Variant Tenders 256

5.10.2 Independent Arithmetical Check 256

5.10.3 Post-Tender Clarification Meeting 256

5.10.4 Confirmation of Insurances, Resources, Pension & Pay 257

5.10.5 Impact on Scheme Base Cost & Total Scheme Budget 257

5.11 Preparation of Tender Report 258

5.12 Approval of Deliverables & Approval to Proceed 258

5.13 Letter of Intent & Letter to Apparently Unsuccessful Tenderers 259

5.14 Letter of Acceptance 259

5.15 Health & Safety 259

5.15.1 Appointment of PSCS & PSDP 259

5.15.2 Transfer Safety File to PSDP 260

5.15.3 Notification to HSA of Works Commencement 260

5.16 Appointment of Employers Site Supervisory Team 260

5.17 Confirmation of Lands Made Available 261

5.18 Contract Signing & Publicity Requirements 261



Phase 6 Construction & Implementation 287

Phase 6 Construction & Implementation - Process Map 289

6.0 Purpose 290

6.1 NRA Construction Contract Administration Manual 290

6.1.1 Construction Stage Monitoring Meetings 291

6.1.2 Monthly Reports / Financial Reports / Payments 291


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Phase 6 Construction & Implementation (continued)

6.1.3 Risk Management 292

6.1.4 Change Orders (Requests & Approvals) 292

6.1.5 Departures from Standards / Specification 2936.1.6 Claims / Compensation & Delay Events 293

6.1.7 Value Engineering 294

6.2 Updated Target Cost (TC3) 295

6.3 Land & Property 295

6.3.1 PLO, Contractor and Landowner interaction 296

6.3.2 Land Agreements & Accommodation Works 296

6.3.3 Property Arbitration (if required) 297

6.4 As-Built Document Requirements 298

6.5 Archaeology 298

6.6 Official Road Opening 299

6.7 Final Account 300

6.8 Final Account Report 301


6.10 Deliverables & Requirements for Closeout 302


Phase 7 Handover, Review & Closeout 313

Phase 7 Handover, Review & Closeout - Process Map 315

7.0 Purpose 3167.1 Handover of As Built Drawings and Safety File to the Employer 316

7.2 Environmental Requirements 317

7.2.1 Confirmation of Implementation of Schedule of Environmental Commitments 317

7.2.2 Completion of Landscaping Contract 317

7.3 Defects Period / Defects Certificate / Retention Monies 318

7.4 Residual Network 319

7.4.1 Sign Declassification 319

7.4.2 Old National Road Rehabilitation 319

7.4.3 Per Cent for Art Scheme 320

7.5 Land & Property 321

7.5.1 Completion of all Outstanding Payments 321

7.5.2 Closeout & Completion of Land Acquisition Summary Sheet 321

7.5.3 Land Disposal Strategy 321

7.6 Scheme Final Outturn Cost 322

7.7 Phase 7 Cost-Benefit Analysis 323

7.8 Project Closeout Report 324

7.9 Post-Project Review 324


7.11 Deliverables & Closeout of Project 325



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Phase 1

Phase 3

Phase 2

Phase 4

Phase 5

Phase 6

Phase 7

N

2010

SCHEME

DESIGN

ROUTE S

EIA/EAR

ADVANCE

PREPARA

CONSTRU

HANDOVE

TIONAL

ROJECT

I

ONCEPT &

LECTION

& THE ST

WORKS &

ION, TEND

CTION & I

R, REVIEW

ROADS

MANAGE

NTROD

FEASIBILIT

TUTORY P

CONSTRU

ER & AWA

PLEMENTA

& CLOSEO

AUTHO

ENT GUI

CTION

Y STUDIES

ROCESSES

TION DOC

RD

ION

UT

ITY

DELINES

MENTS


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Introduction


Notes


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Introduction



Introduction

i Purpose

These Guidelines outline a framework for the phased approach to the development,management and delivery of Major National Road Schemes in Ireland. TheGuidelines are structured so as to ensure consistency in this approach throughoutthe entire National Road Network.

The Guidelines divide the evolution and progression of the Scheme into 7 Phases asillustrated in Figure A below:

Figure A 7 Phases of NRA Project Management.

Each phase is presented in a step-by-step manner, with Mandatory and AdvisoryElements of the Guidelines clearly outlined (refer to Section v Mandatory Elements &Advisory Elements of this Introduction). Important Milestones and StatutoryProcesses requiring Local Authority action, Public Consultation or NRA approval are

indicated in the Guidelines, so that the Local Authority, the National Road DesignOffice and any Consultant Design Teams involved, can plan each phase in terms oftime, resources and cost.


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Introduction


Checklists and Sample Deliverable Document Templates are included asAppendices, where appropriate. Reference to other NRA Guidelines are also madewhere appropriate, in particular to the NRA Project Appraisal Guidelines, the NRACost Management Manual, the NRA Construction Contract Administration Manual

and the NRA Environmental Assessment & Construction Guidelines. TheseGuidelines also have regard to the Capital Works Management Framework inparticularGuidance Note GN 1.1 Project Management.

It is anticipated that the use of these guidelines will ensure best practice in theProject Management of Major Road Schemes.

The Project Management Guidelines 2010 are a guideon how a scheme should

develop and progress. Projects vary in length and complexity and schemes

such as a junction improvement for example may not require a route selection

phase. Therefore any deviations should be discussed with the NRA to ensure

that the best method of progressing the scheme is identified.

It should be noted that these Guidelines do not purport tobe a full statement of the duties and statutory obligationsof the Project Team. Responsibility for ensuring that thescheme is progressed in accordance with applicablelegislation, standards and guidelines remains with theProject Team.

These Guidelines supersede the previous version of theNational Roads Project Management Guidelinespublishedby the National Roads Authority in March 2000.

ii Definitions

A List of Definitions and Acronyms for words and phrases referred to in theseGuidelines in contained inAppendix A0.1.It should be noted that certain words andphrases have been omitted from this List as they are more appropriately definedelsewhere (e.g. Project Brief is defined in the NRA Project Appraisal Guidelines,

Environmental Impact Assessment is defined in the NRA EnvironmentalAssessment & Construction Guidelinesetc.)

In addition, detailed descriptions of the principal NRA Service Units and keystakeholders are contained in this Introduction (Section viii Management Structure Roles & Responsibilities)

2000


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Introduction


iv Interaction with Departmental Guidelines

The Department of Finance established the Capital Works Management Framework(CWMF) in order to deliver the Governments objectives in relation to Public SectorConstruction Procurement Reform. As NRA-funded Schemes constitute Public

Sector Procured Construction Projects, they are subject to the requirements of theCWMF.

The CWMF comprises 4 pillars, namely:

Pillar 1 Public Works Contract

Pillar 2 Conditions of Engagement

Pillar 3 Cost Planning & Control

Pillar 4 Guidance Notes

It should be noted that: In relation to Pillar 1, all Tenders for Road Schemes will utilise one form or other

of the Public Works Contracts, and associated Model Forms, Instructions forTenderers etc.

In relation to Pillar 2, all external consultancy services required for a road schemewill be procured using the Standard Conditions of Engagement.

In relation to Pillar 3, the NRA Cost Management Manualwill generally be usedfor Cost Planning & Control while Suitability Assessments will utilise the Standard

Suitability Assessment Questionnaires. In relation to Pillar 4, these NRA Project Management Guidelines will have due

regard to the Guidance Notes produced by the CWMF.

Further information, including downloads of these documents, is contained in thewebsite www.constructionprocurement.gov.ie.

Both the Department of Finance and the CWMF have developed Stages ofDevelopment for Public Sector Procurement projects.

The interaction between these Stages of Development and the 7 Phases of NRA

Project Management are illustrated in Figure C.The interaction between the CWMF - Project Review Requirements, as outlined inGN1.1 Project Management, and the 7 Phases of NRA Project Management areillustrated in Figure D.

Other Departmental Guidelines that are of relevance to these Guidelines include:

Guidelines for the Appraisal and Management of Capital Expenditure

Proposals in the Public Sector, Department of Finance, 2005

Guidelines on a Common Appraisal Framework for Transport Projects and

Programmes, Department of Transport, 2009.


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Introduction


Stage 1

Planning

(Initial)

Stage 2

Planning

(Developed)

Stage 3

Implementation

Appraisal

Approval in Principle

Stage 4

Review

Phase 5

ADVANCEWORKS & CONSTRUCTIONDOCUMENTSPREPARATION,

TENDER & AWARD

Phase 7

HANDOVER, REVIEW& CLOSEOUT

Phase 6

CONSTRUCTION &

IMPLEMENTATION

Phase 4

EIA / EAR

& THESTATUTORYPROCESSES

Phase 3

DESIGN

Phase 2

ROUTESELECTION

Stage I

Feasibility Study /

Preliminary Report

Stage II

Design

Stage III

Tender

Stage IV

Construction

Stage V

Handover of Works

2010 NRA

PROJECTMANAGEMENT

GUIDELINES

DEPARTMENT OFFINANCE

CAPITALWORKS

MANAGEMENTFRAMEWORK

GCCC

STANDARDCONDITIONS OF

ENGAGEMENT

Phase 1

SCHEMECONCEPT

&FEASIBILITYSTUDIES

Figure C Interaction between the Stages of Development within the

Capital Works Management Framework, the 2010 NRA Project Management

Guidelines and the GCCC Standard Conditions of Engagement.


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Introduction


Figure D Interaction between Capital Works Management Framework

Project Review Requirements, as per GN 1.1 Project Management, and the 7Phases of Development of the 2010 NRA Project Management Guidelines.


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Introduction


v Mandatory Elements & Advisory Elements

Throughout these Guidelines reference will be made to both Mandatory and AdvisoryElements of the Guidelines. These Mandatory and Advisory Elements are describedfurther in Figures E and F hereunder.

Figure E Mandatory Elements of the Project Management Guidelines.

Figure F Advisory Elements of the Project Management Guidelines.

vi Project Management Guidelines Applications

These Guidelines primarily target the planning, development and construction ofMajor Road Schemes on behalf of the National Roads Authority.

A Major Road Scheme is as defined bythe Major Projects Unit of the NRA.

Improvements to the NationalSecondary Network may havesignificant lengths of the proposedimprovements on-line and therefore itwill be at the discretion of the NRA as towhich parts of these Guidelines apply tothe Scheme in question. The NRAInspector will advise accordingly.

For other projects outside of Major Schemes, elements of these Guidelines may berelevant to projects within these categories and it is advisable that a TechnicalMeeting is held early in the development process to ascertain the aims and goals of

Advisory Elements

Certain items presented in the NRA Project Management Guidelines areconsidered Best Practice Advice and should be complied with, wherepracticable. Such items are classified as Advisory Elements and arepresented in a text box shaded blue and accompanied by the symbol on theleft.

!

Mandatory Elements

Certain items presented in the NRA Project Management Guidelines mustbe complied with. Such items are classified as Mandatory Elements andare presented in a text box with black border and accompanied by thesymbol on the left.


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Introduction


that specific project. The NRA Inspector will advise of the requirements of theguidelines.

It should be noted that in certain circumstances, the NRA may assume the role ofdesign lead for the Scheme rather than the Local Authority and in these

circumstances, the role of the Project Manager and other Local Authoritystakeholders will be carried out by the NRA and their Consultants directly.

In relation to Public-Private Partnership (PPP) Schemes, specific guidance in relationto the development of these schemes through Phases 5 to 7 will be provided directlyby the NRA PPP Units.

vii Publicity

All Road Schemes will be required to provide information to the general public at

certain stages during development. The National Roads Authority has protocols thatmust be followed when submitting information about a Scheme into the publicdomain. The Project Manager should liaise with the NRA Communications Unit inorder to comply with these protocols.

It is expected that the NRA will receive many queries from members of the publicand from the media in relation to the Road Schemes under its control. However,during the day-to-day operation of individual Schemes, the NRA will rely upon theindividual Design Team and/or Project Manager to assist in dealing with thesequeries. In this regard, the Project

Manager should liaise with the NRAInspector and NRA CommunicationsUnit in order to provide a coordinatedresponse to such queries during allphases of a Schemes development.

A newsletter / progress update shouldbe prepared for each scheme andsubmitted to the NRA and intervals to beagreed with the NRA Regional Manager.

The following Road Scheme Documentswill be published both in Irish and in English:

Scheme Information Leaflets/Brochures

Public Consultation Documentation, including Questionnaires.

All other Road Scheme Documents will be published in English only.


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Introduction


viii Management Structure Roles & Responsibilities


The National Roads Authority (NRA) was established in 1994 and has responsibilityfor the provision of a safe and efficient network of national roads as provided for in theRoads Act 1993. This includes the planning and construction of new roads and theimprovement and maintenance of existing roads within the entire National RoadNetwork. The NRA is comprised of many Service Units and details of the NRAOrganisational Structure is illustrated in Figure G hereunder.

Figure G NRA Organisational Structure.


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Introduction


The NRA has overall responsibility for the planning, construction, supervision andmaintenance of the National Road Network. Priorities within the Roads ImprovementProgramme are determined by the Authority, taking account of the overall policy forNational Roads as decided by Government centrally in programmes such as the

National Development Plan and Transport 21.Local Authorities, in their role as statutory road authorities, undertake the detailedplanning of individual road projects and are responsible for compliance with legalrequirements and procedures in respect of compulsory acquisition of land andenvironmental impact assessments.

In recent years, to bring greater efficiency to the process, the NRA, in conjunctionwith Local Authorities, has established National Road Design Offices (NRDOs)around the country with responsibility for the planning and delivery of Major RoadProjects. The NRA allocates funding to Local Authorities to meet the costs involved.

The purpose of this section is to set out the roles and responsibilities of both theNational Roads Authority and the various Stakeholders associated with the deliveryof Major Projects. The Key Stakeholders for a typical Major Project are shown inFigure H hereunder.

PROJECTMANAGER

CONSULTANTENGINEER

(IFREQUIRED)

SENIORENGINEERN.R.D.O.

DESIGNTEAM

LOCALAUTHORITY /

LEADAUTHORITY

DIRECTOR OFSERVICES

LOCALAUTHORITYLIAISONOFFICER

(IFREQUIRED)

NATIONALROADSAUTHORITY

Regional Manager (Majors)

Financial Control UnitEU / NDP Unit

Communications UnitArchaeology UnitEnvironment Unit

Planning UnitProgramme & Regulatory Unit

Land Acquisition Unit

Major /Special Projects / NRDOs UnitCost Estimation Unit

Administration / PRS Unit

Safety Engineering UnitEngineering Standards Unit

Procurement UnitStructures Unit

Network Operations UnitPavement & Maintenance Unit

Strategic Planning Unit

PPP Units

NRAENGINEERINGINSPECTOR

LEADENGINEER

PROJECTSUPERVISOR

DESIGNPROCESS

Figure H Key Stakeholders for a Major Project.

The National Roads Authority fulfils the role of Sanctioning Authority, SeniorResponsible Owner, Project Sponsor and, in certain circumstances, SponsoringAgency as outlined by the Capital Works Management Framework (CWMF). Itsfunctions shall include, but not be limited to, those outlined hereunder.


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Introduction


The Sanctioning Authority

The Sanctioning Authority is normally the Government Minister, Department or PublicBody with responsibility for implementing Government Policy and for providing financialassistance for capital programmes and projects. In the case of Major Road

Improvement Schemes, the NRA normally fulfils the role of Sanctioning Authority,subject to certain exceptions, where the role is retained by the Department of Transport.

The Sanctioning Authoritys functions shall include, but not be limited to, the following:

Evaluating Business Cases and Development Proposals, and giving projectsapproval to proceed (within specified budgets, standards and time limits etc);

Deciding whether a Steering Group isnecessary and, if so, clearly definingand communicating to all parties at

the start of the project, its role,composition, level of delegatedauthority, responsibilities, andstructure;

Considering major project changerequests for example, those arisingfrom unexpected events; and

Assessing project reviews and making decisions in a timely manner.

The Sanctioning Authority needs to be organised appropriately with sufficientresources to be effective in this role. For the purposes of these Guidelines, theSanctioning Authority is also deemed to be the Senior Responsible Owner (SRO).

Sponsoring Agency

The Sponsoring Agency is the Government Department, Local Authority or otherState body or agency that requires the project to be undertaken.

Note: In some cases, the Sponsoring Agency and the Sanctioning Authority can be

the same body, as in the case of the National Roads Authority. Where this arises,there needs to be a separation of responsibilities with clear demarcation linesbetween the two functions of that body.

Where Local Authorities assume the role of Sponsoring Agency, they will nominate aperson to act as Project Co-ordinator as defined in CWMF Guidance Note GN 1.1Project Management. In these circumstances, the Project Co-ordinator will also fulfilthe role of Project Manager with the exception of Fast-Track Schemes, where theroles will be fulfilled separately (See Section x of the Introduction for further details).

Where the NRA assumes the role of Sponsoring Agency, it will appoint a Lead

Consultant to fulfil the role of Project Co-ordinator and/or Project Manager asrequired.


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Introduction


It should be noted that, for ease of reference, the person fulfilling the combined roleProject Co-ordinator/Project Manager will be referred to as Project Managerthroughout these guidelines. Furthermore, these guidelines have been written on thebasis that the role of Sponsoring Agency is fulfilled by a Local Authority.

The Sponsoring Agencys functions shall include, but not be limited to, the following: Overall planning and management of the Project;

Gaining approval from the Sanctioning Authority for the original proposal and forany subsequent changes;

Nominating and appointing a Project Coordinator and/or Project Manager;

Sanctioning the appointment of the members of the Client Design Team includingConsultants;

Sanctioning the appointment of a Contractor for the Main Construction Contract Assuming the role of Employer and Contracting Authority during the execution of

Public Works Contracts.

To ensure a successful Project outcome, the Sponsoring Agency needs to ensurethat sufficient resources are made available.


The following is a list of the Service Units within the National Roads Authority whoassist in the management and delivery of Major National Road Schemes:

Major / Special Projects / NRDO Unit

The delivery of Major Road Improvement Schemes lies with the Major Projects Unitof the NRA. This unit reports to the Head of Engineering Operations and consists ofRegional Managers and Engineering Inspectors.

Regional Manager (Majors)The Regional Manager (Majors) has overall managerial responsibility within theNational Roads Authority for delivery of Major Projects on time and within TotalScheme Budgets. The time lines and budgets are identified and set by theProgramme Management Unit as necessary for the delivery of projects inaccordance with Government policy documents such as Transport 21 and theNational Development Plan. The Regional Managers (Majors) must takecognisance of NRA policies in delivery of the Major Projects. The RegionalManagers are also responsible for the NRDOs in their region. The Regional

Manager oversees and directs the Engineering Inspectors for their respectivefunctional areas which are assigned by the head of Major Projects.


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Introduction


The Regional Manager actively participates in the majority of specialist subgroupswhich are in operation on an ongoing basis within the Authority e.g. revisions to theDMRB, the Project Management Guidelines and updating of the model forms ofContract. Additionally the Regional Manager represents the NRA on external bodies

and provides input on behalf of the Authority into the deliberations and documentsproduced by these bodies e.g. the Traffic Signs Manual and the GCCC. TheRegional Manager is the primary contact between Senior Management and the LocalAuthorities, this involves regular ongoing communication at the highest level andensures efficient two way flow of information and views between the parties.

Engineering Inspector (Majors)

The NRA will nominate anEngineering Inspector who will assistin project decisions made by theSanctioning Authority such as thoserelating to delivery, quality andbudget.

The Engineering Inspector will dealwith all day to day issues on majorSchemes on behalf of the NRAincluding payments to Local Authorities, ensuring that all Project ManagementGuidelines approvals, expenditure monitoring and procurement procedures are incompliance with NRA Policies for Major Projects Delivery.

The duties of the Engineering Inspector shall include, but not be limited to, thefollowing:

Managing the Project Programme;

Agreeing the Project Execution Plan with the Project Manager;

Evaluating appropriate reports and ensuring that any project changes are reported;

Ensuring the development of the Project Brief;

Ensuring that claims for payments are submitted correctly through the ProjectReporting System (PRS);

Approving payments;

Ensuring that all stakeholders (including end users) are involved with andcommitted to the Scheme;

Managing project reviews and obtaining approval from the SanctioningAuthority where required;

Ensuring that the Sponsoring Agencys Health and Safety procedures areimplemented on the Scheme, if applicable (i.e. where the NRA is theSponsoring Agency);


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Introduction


Ensuring appropriate Risk Management and Value Management is carried out.

Report to, and assist, the appropriate Regional Manager on various aspects /decisions that are required in the delivery of the scheme.

Strategic Planning Unit

The Strategic Planning Unit is responsible for ensuring that decisions on road projectexpenditure are made taking account of the best possible information. The functionsof the Strategic Planning Unit include, but are not limited to, the following:

Ensuring compliance with Department of Finance Guidelines for capitalappraisal;

Developing and managing a Scheme prioritisation methodology;

Setting the framework, through the NRA Project Appraisal Guidelines, forassessing whether Road Schemes provide Value for Money;

Providing support services, in the form of training and advice, to thoseundertaking appraisal of Road Schemes;

Auditing Project Appraisal Deliverables;

Maintaining the National Traffic Model;

Ensuring that Lessons Learned from completed Schemes are documented aspart of Post Project Reviews and are fed back to NRA Standards andGuidelines via a national database;

Implementing strategic objectives (such as future road needs studies);

Liaising with other Transport State Agencies (e.g. RPA, DTO).

Engineering Standards Unit

The Engineering Standards Unit decides on therelevant standards to which projects are to be

constructed. The Unit provides guidance andassistance on all matters related to engineeringstandards and specifications. This functionincludes the co-ordination and approval of allDeparture Applications submitted under theDesign Manual for Roads and Bridges (DMRB),including Departure Applications relating tostructures. In this context, it is imperative that each NRDO co-ordinates effectivelywith the Unit regarding anticipated workload at the commencement of each year.

Submission dates should be agreed with the Engineering Inspector for the Schemeand forwarded to the Standards Unit.


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Road Safety Unit

The Road Safety Unit has an extensiveroad safety agenda aimed at reducingthe number of collisions occurring on the

road network. The Road Safety Unit hasresponsibility for approving Road SafetyAudit Teams and assessing the quality oftheir output, thus ensuring an acceptablelevel of competence. This Unit maintainsan archive of all Road Safety AuditReports for analysis and evaluation.

Cost Estimation Unit / Administration & PRS Unit

This Unit is responsible for the management of the NRA multi-annual fundingprogramme including the preparation of plans consistent with National Policy forapproval by the Chief Executive and the NRA Board. The functions of the CostEstimation Unit include, but are not limited to, the following:

Project/programme monitoring and reporting to the Chief Executive, NRA Boardand Government Department;

Preparing Multi-Annual Programme Funding Framework Plans;

Projecting Programmes and project costs and developing cost databasesincluding monitoring cost trends in road construction and implementation ofcorrective action as required;

Management of NRA Project Reporting System (PRS) and ensuring that ProjectExpenditure Reporting is carried out in accordance with the PRS Manual.

Procurement Unit

The NRA Procurement Unit is responsible for formulating NRA Procurement Policyfor Major Schemes and for ensuring that this policy complies with various legislativerequirements such as EU Directive 2004/18/EC Co-ordination of Procedures for theAward of Public Works Contracts, Public Supply Contracts and Public Service

Contracts. The objective of the NRA Procurement Unit is to implement controlmeasures which will ensure that all NRA-Funded Schemes are in compliance withthe various EU Directives and will also ensure a consistent approach to procurementon all Schemes. In this regard, a number of hold points have been developed whichrequire formal NRA Approval before the procurement can proceed further.


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The NRA Procurement Unit also has responsibility for ensuring that all Works andService Contracts are prepared in accordance with the Department of FinanceCWMF Standard Forms of Contract for Public Works (PW-CF1 to PW-CF9) and theStandard Conditions of Engagement for Consultancy Services (COE1 & COE2). In

this regard, the NRA Procurement Unit has developed generic worked examples ofContract Documentation and Support Information for use on all NRA Schemes. Thisinformation is available for download via a secure extranet. Standardised tenderdocumentation and guidance notes should be obtained directly from the CWMFwebsite (www.constructuionprocurement.gov.ie).

The Project Manager shall ensure that all Public Works Contracts and PublicServices Contracts for a Road Improvement Scheme are awarded in accordancewith the above-mentioned legislative and policy requirements and in accordance withthe Standard Forms of Contract and Conditions of Engagement.

Structures Unit

The purpose of the Structures Unit is to provide technical support to the RoadsInspectorate and NRDOs on all matters relating to bridges and other road structures,including retaining walls, culverts, overhead sign gantries etc. The functions of theStructures Unit include, but are not limited to, the following:

Liaising with consulting engineers andlocal authorities in the development of

Bridge Preliminary Reports; Implementing technical approvals

procedures for bridge structures;

Co-ordinating between Local Authoritiesand Iarnrd ireann where schemesinterface with the Rail network;

Approving relevant tenderdocumentation for conventional, Design

& Build and PPP forms of contract; Participating in tender process for D&B and PPP schemes including aesthetic review;

Monitoring of bridge structures during the construction phase.


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Communications Unit

The Communications Unit within the National Roads Authority implements aproactively based day-to-day communications plan that emphasises accountabilityand accessibility to the general public utilising all main communications channels

(Press, Web, Radio, TV, Signage, Public Events, Publications etc.).As an organisation the NRA continually offers a relevant flow of information to thegeneral public through specialised in-house representation (Engineering,Environmental, Public Policy, Archaeology, Planning, ITS, Safety, Research). Thisstrategy allows the general public to be reassured that the professionals within theNRA not only understand the issues at hand, but can effectively resolve the matter inquestion and achieve the greater organisational goals which are set out for the NRAby the Department of Transport.

The Communications Unit should be notified of upcoming key milestones such as:

Public Consultations;

CPO / MO and/or EIS Publications;

CPO Confirmations and EIS Approvals by An Bord Pleanla;

PIN Notices / Invitations to Tender / Contract Awards;

Contract Signings;

Official Openings.

The Communications Unit has developed Guidelines for Official Road Openings. TheProject Manager should obtain a copy of these Guidelines from the CommunicationsUnit in advance of a Road Opening Ceremony in order to comply with NRARequirements.

Archaeology Unit

Archaeology is a major component of any road scheme,and is directly managed by the NRAs Archaeology

section with a view to meeting statutory obligations,observing best practice, controlling costs, contributing tothe efficient delivery of road schemes and disseminatingthe results of NRA-funded archaeological investigations.

The Archaeology section is responsible for themanagement of the archaeological implications ofnational road projects. The management function isdictated by requirements in An Bord Pleanla approvals(including comprehensively reviewing EISs), as well as

environmental and national monument legislation; in particular, conditions(Ministerial Directions) imposed by the Minister for the Environment, Heritage andLocal Government as to how archaeological excavations are conducted and newly


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discovered sites and features are dealt with. These management functions areexercised through assisting in the procurement and management of archaeologicalconsultants and, where appropriate, the works are undertaken directly by the NRAArchaeological Unit.

The primary objective is to complete all archaeological works in advance of thecommencement of construction so as to minimise the Authoritys exposure to riskand to minimise the consequential exposure to costs. This is of particular relevanceto Design and Build contracts and Public-Private-Partnership (PPP) contracts.

It is also a key objective to ensure that the vast quantity of information created by theAuthoritys work can be realised to its full potential and that the knowledge generatedfeeds back not only into the decision making and project planning process, but alsothat this knowledge is disseminated to the general public.

Environment Unit

The Environment Unit is charged withthe responsibility of formulating theNRAs environmental policy for MajorRoad Schemes, ensuring that suchpolicy is in compliance with legislativerequirements and, where feasible,national and international policy.

The Project Manager is responsible forensuring the production of a satisfactoryEnvironmental Impact Statement (EIS)in compliance with statutory obligations, including comprehensively reviewing EISdrafts. This work involves the co-ordination of comments from the NRA EnvironmentUnit and the management of EIS revisions. In order to ensure the application of theAuthoritys policy and to assist NRDOs/Local Authorities in the preparation of aconsistent and comprehensive EIS, the Environment Unit now providescomments/feedback on final drafts of an EIS (see NRA Circular No. 05/2006).

The Environment Unit has produced a comprehensive suite of Environmental

Guidelines, collectively referred to as the NRA Environmental Assessment &Construction Guidelines, which should be used in the course of any environmental

Project Teams are reminded that responsibility remains on the team andexperts in the relevant areas to address the key environmental issuesidentified during planning and design of the scheme. The NRA EnvironmentUnit will raise issues that are pertinent to the scheme based on their collectiveexperience nationally but are not to be used as a substitute to the experts whohave responsibility for compiling the EIS.

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work to be carried out as part of the planning, construction or closeout of a MajorScheme.

Planning Unit

The NRA Planning Unit facilitates the NRAs role as a statutory consultee under thePlanning and Development Acts and associated Regulations for both thedevelopment management and forward planning processes.

Section 22 of the Roads Act, 1993, enables the NRA to make recommendations to aplanning authority regarding the content of that planning authoritys developmentplan. This is complimented by the requirement for Planning Authorities, underSection 11(3)(c) of the Planning and Development Act, 2000, to consult with theNRA in order to ascertain any long-term plans in respect of the provision and

upgrading of National Roads within their functional areas.This provides a valuable mechanism whereby potential routes for new roads orplanned significant improvements to existing roads can be notified to planningauthorities and appropriate provision made in development plans to facilitate thefuture delivery of these Schemes.

Other aspects of Development Plans which are of particular interest to the NRAinclude proposed changes to Land Use, including rezoning, with implications foraccess to National Roads and for the carrying capacity and operational efficiency ofsuch roads, including interchanges, as well as impact on the costs of Road Schemes

as a consequence of increased land values arising from rezoning. The LocalAuthority is obliged to consider any recommendations made by the NRA in thisregard.

The Authority has set out its policies and objectives in relation to planning control inthe NRA Policy Statement on Development Management and Access to NationalRoads.

The NRA also has the status of a Notice Party for development management underArticle 28 of the Planning and Development Regulations as amended. Local andPlanning Authorities must notify the NRA of planning applications which involve anew access or intensification of use of an existing access along existing or plannedNational Roads, or where the proposed development might give rise to a significantincrease in the volume of traffic using a national road, or accessing the NationalRoad via a Priority Junction. This referral shall be carried in accordance with, andwithin the timeframe specified in, the relevant NRA Circular.

In circumstances where a Planning Application is referred to the NRA as outlinedabove, the application should be accompanied by a Planning Application ReferralForm, a template for which is contained inAppendix A0.2.


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Regional & Local Roads Unit

The Regional & Local Roads Unit has responsibility for the management of theregional and local roads investment programme on behalf of the Department ofTransport. This includes the processing and administration of grant applications from

individual local authorities and the processing of claims and payments in relation tospecific grants. In the case of specific improvement schemes on the regional andlocal road network, the Project Manager should liaise with this Unit to determinewhat aspects of these guidelines, if any, apply to such schemes.

Land Acquisition Unit

The Land Acquisition Unit will provide guidance on a national basis to all projectdesign teams on matters associated with land and property issues and valuations.

The Unit has reporting requirements that are to be fulfilled before any scheme canprogress to the statutory procedures.

The Unit provides guidance on payments for land acquisitions, goodwill payments,and fees payable to legal and valuation consultants. The Unit also provides guidanceon rates of compensation payable for intrusive works such as archaeologicaltrenches or ground investigation works.

The Land Acquisition Unit should be consulted in instances where land acquisitionsare being referred to property arbitration as they will advise on the appropriatecourse of action to be taken on a case by case basis.

Financial Control Unit

The NRA Audit Unit carries out audits on all National Roads Projects. When theNRDO/Local Authority has been notified of such an audit they should preparerelevant documentation in advance of audit commencement and co-operate at alltimes with the requirements of the auditors. In particular, draft reports prepared bythe Audit Unit requiring comment, clarification or change to procedures should bedealt with in a timely manner allowing the closeout of the particular audit report.

Guidance on Audit Requirements is given throughout these Guidelines. Failure tocomply can result in further funding being withheld.

Reference should also be made to the Audit requirements outlined in the NRAChargeability of Expenditure to National Road Grants 2010

EU / NDP Unit

All Major Projects which are co-funded by the EU require certain documentation andforms to be completed for submission to the EU. The EU / NDP Unit deals with this

documentation. Requests will be received from time to time from this unit for thecompletion of documents. These documents should be completed and returnedwithin the time frame set out by the EU / NDP Unit. All documents completed and


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submitted should be electronically copied to the Engineering Inspector for the MajorProject. Failure to comply with EU requirements could lead to the EU funding beingwithdrawn.

The Department of Finance has particular requirements in relation to NDP-funded

schemes and the EU / NDP Unit should be consulted in order to comply with theserequirements.

Network Management Unit

The Network Management Unit is charged with the responsibility of the effectivedelivery of the Authoritys programme of works on the national road network in termsof its ongoing development, maintenance and operation in a safe, cost effective andsustainable manner, and in compliance with prescribed procedures, standards and

policy.The unit is currently divided broadly into two groups dealing with Pavement andMinor Improvement & Maintenanceand Network Operations.

Pavement, Minor Improvement & Maintenance has responsibility for Pavement,Minor Improvements, Routine Maintenance, Winter Maintenance, AssetManagement including Condition Surveys and Regional and Local Roads.

Network Operations has responsibility for Network Resigning and Signing and LiningProgrammes, Intelligent Transport Systems and Operations, Motorway ServiceAreas, Speed Limits, Planning, Incident Planning and GIS

Local Authority (Lead Authority)

In general the Local Authority in whose administrative area a major project issituated is deemed to be the Road Authority for that scheme. When a Schemecrosses a number of Local Authority administrative areas, it is a normal requirementthat an Agreement be made in accordance with Section 85 of the Local GovernmentAct 2001, whereby one Local Authority assumes responsibility for the entire Schemeand will be referred to as the Lead Local Authority. When it appears to the NRA that

such an agreement is necessary it may request the Local Authorities involved toenter into such an Agreement.

The Lead Authority will normally assume the role of Contracting Authority for allWorks and Services Contracts and the role of Employer in the case of the MainConstruction Contract, unless otherwise agreed by the NRA.

Director of Services

The Director of Services (DOS) is a member of the Steering Group for the Scheme.

The DOS of the Lead Authority is also a key coordinator between the NRA and theLocal Authority. The DOS of the Lead Authority is responsible for requestingapproval from the NRA to set the Local Authority Project Budget for each project


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within his/her remit. Once a Local Authority budget for a scheme is approved atcontract award, the Director of Service is responsible for ensuring that the projectremains within this approved budget on behalf of the Local Authority, and to approverequests for any changes to the approved budget. The Director of Service is also

responsible for Change Order Requests as part of the Main Construction Contract.

Project Liaison Officer

The Project Liaison Officer (PLO), whose appointment or nomination shall be agreedwith the NRA, acts as a liaison between the landowners, the Local Authority and theContractor. The PLO endeavours to ensure the early delivery of accommodationworks agreements so that these may be incorporated into the Contract in advance ofthe appointment of a Main Construction Contractor. The PLO also liaises with thelandowners during the course of the Contract. In cases where two or more LocalAuthorities are affected by a Scheme, the PLO will also act as liaison between theLead Local Authority and the other Local Authorities.

Further details on the role of the PLO are included in Appendix A4.3 of theseguidelines. Where a dedicated Project Liaison Officer is not appointed for a Scheme,this role shall be fulfilled by the Project Manager.

National Road Design Offices

The National Road Design Offices (NRDOs), were established in partnershipbetween the NRA and the Local Authorities to oversee the delivery of Major RoadImprovement Schemes as part of the National Roads Programme. In addition to thisrole, the NRDOs now provide services over a wide range of areas for the NRA suchas minor works design, pavement works design, road safety works, bridgemanagement, and network management (including signs and maintenance).

Each NRDO is managed by a Management Steering Group, which consists of theCounty Managers and Directors of Service from the relevant Local Authorities, theNRDO Senior Engineer, the Chief Executive of the NRA, Head of EngineeringOperations, the Regional Manager (Major Projects) and/or the Engineering Inspector(Major Projects). The following section outlines the key roles of NRDO personnel inthe delivery of Major Schemes.

Senior Engineer (NRDO)

The Senior Engineer (SE) of the NRDO has overall responsibility for theperformance and management of the NRDO. The Senior Engineers duties inrelation to Major Projects include, but are not limited to, the following:

Setting, in conjunction with the Regional Manager for specific projects, AnnualTargets (Time & Budget) for all major projects within the office at thecommencement of each year;


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Notifying Targets to the Regional Manager with overall responsibility for theparticular NRDO;

Setting out procedures within the NRDO to ensure that each Project Manager isaware of his/her responsibilities;

Setting out the NRDO procedures to deliver their schemes in accordance withNRA policies and guidelines;

Ensuring that all requests for project information received from the NRA isforwarded to the NRA within a reasonable or specified timeframe;

Ensuring that all information communicated to the National Roads Authority onmajor schemes is copied to the relevant Engineering Inspector. When requestedby the Local Authority for submissions on issues relating to National Roads, theSenior Engineer is responsible for ensuring that such submissions always reflect

NRA policies and guidelines on such issues, e.g. planning, signage, access, etc.

Project Manager

The Project Manager, typically a Senior Executive Engineer in the NRDO, will beassigned a project or projects by the Senior Engineer and will ensure that the Projectis delivered on time, within budget and to the required standards and specifications.The Project Manager is also responsible for managing the work of the in-houseDesign Team and/or external consultants and the site supervisory team, allocating

and utilizing resources in an efficient manner and maintaining a co-operative,motivated and successful team. The Project Managers duties in relation to MajorProjects include, but are not limited to, the following:

Proactively manage delivery of the project by meeting annual targets and trackingtime and costs;

Develop and maintain the Project Execution Plan as described in Section 1.5 ofthese Guidelines;

Oversee overall progress and use of resources, initiating corrective action where

necessary; Oversee the appointment of External Consultants, as required;

Monitor project progress and performance;

Manage Project deliverables in line with the Project Execution Plan and check alldocumentation produced for publication for compliance with NRA policies,guidelines and requirements in advance of submission to the NRA;

Produce and submit all deliverables in accordance with NRA Requirements;

Liaise with and provide status reports to the Sponsoring Agency / Steering Groupand Stakeholders and ensure the project meets their needs;


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Obtain NRA and Local Authority approvals, as necessary, to progress thescheme, such as approval to proceed to the next phase etc.;

Ensure compliance with public procurement requirements;

Ensure payments are made in accordance with the NRA Chargeability of Expenditureto National Road Grants 2010 and the Prompt Payment of Accounts Act;

Prepare Project Reporting System reports and payments in accordance with theprogramme set out by the NRA at the commencement of the project. Theaccuracy and details of such reports and payment requests shall be in accordancewith the PRS User Manual.

Take the lead in managing relationships including internal and external teammembers, stakeholders and Sponsors/Steering Group.

Develop contingency plans.

Encourage the identification of risks and issues and ensure that these areassessed and appropriately managed.

Manage project scope and change control and escalate issues where necessary.

Manage consultancy input and performance within defined budget.

Proactively manage delivery of the project construction, tracking time and costs;

Proactively manage delivery of the project construction within the approvedbudget, notifying the Senior Engineer as soon as he/she becomes aware of

difficulties in relation to Project construction delivery and budget and makingrecommendations to the Senior Engineer on the necessity to apply for a time-scale or budget review;

Prepare Change Orders in accordance with NRA requirements;

Deal with queries on the scheme from Local Authority Elected Members,members of the public and other interested parties;

Provide briefing material as requested by the NRA;

Manage the interface between the Client, monitoring staff and the Contractor; Manage dispute resolutions;

Deal with the Residual Network (Percent for Art, Old Road Rehabilitation, OfficialOpening etc.);

Ensuring that the Sponsoring Agencys Health and Safety procedures areimplemented on the Scheme, if applicable (i.e. where the Local Authority is theSponsoring Agency);

Ensure that a Post-Project Review is carried out to assess how well the project

was managed and prepare a Post Project Review Report including lessonslearned of any follow-on action recommendations as required by the NRA ProjectAppraisal Guidelines.


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The Project Manager may, as agreed with the NRA Regional Manager and Directorof Services, delegate some or all of his/her functions to a Project Engineer for theConstruction Stage (PECS) during Phases 6 and 7.

Task Managers

The Project Manager will be required to appoint a number of Task Managers to theScheme who will assist in the design, development and implementation of theScheme through all Phases ofdevelopment. Task Managers willgenerally be divided into threecategories:

a) External Consultants

b) In-House Design Team

c) Site Supervisory Team

a) External Consultants

The duties of the External Consultants (including Lead Engineer) shall be set out intheir Conditions of Engagement. The consultants shall be responsible for the contentof all documentation they are required to prepare for a Scheme. Where required, andsubject to prescribed thresholds, External Consultants shall be appointed in

accordance with the Standard Conditions of Engagement for Consultancy Servicesas outlined in Section 1.6 of these Guidelines

b) In-House Design Team

For some Schemes, the Project Manager will have an In-House Design Teamavailable, comprising NRDO Engineers and Technicians, which will carry out someaspects of the Scheme Design and/or supplement the work of External Consultants.

The Project Manager shall ensure that the roles and responsibilities of the ExternalConsultants and the In-House Design Team are clearly defined in order to avoid anyoverlap or conflict between them.

c) Site Supervisory Team

During the course of the Main Construction Contract it will be necessary to appointan Employers Representative and Site Supervisory Team to monitor the Executionof the Works on behalf of the Employer. Further details on the Site SupervisoryTeam are provided in Section 5.16 of these Guidelines.

All communications between the Task Managers and the NRA and otherstakeholders shall be made through the Project Manager.


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2. Technical Meetings (Phase 1 to 4). The purpose of these meetings is todevelop and discuss issues that arise during the planning and design of thescheme. They are to be attended by the NRDO staff, the Consultants andrelevant sub-consultants. The NRA Inspector may also attend. The output of

these meetings will be put to the Steering meetings above. Minutes arerecorded and distributed as above. The frequency of these meetings shall beas required.

3. Co-ordination Meetings (Phases 1 4). These meetings may be betweenmultiple consultants and sub consultants working on a scheme and alsobetween Utilities and other third parties (e.g. Landowners) relevant to thescheme planning and design. Minutes should be kept of any meetings heldand issues agreed between parties. The frequency of these meetings shall beas required.

Phases 5-7 Construction

The meetings that take place will be as follows:

1. Tender Documentation Meetings (Phase 5 only): The purpose of thismeeting group is to guide the scheme through the development of the specificcontract documents in accordance with the relevant requirements and policiesthat pertain. It is generally chaired by the DOS of the Lead Authority andattended by the NRA Inspector and/or Regional Manager, the lead design

consultants (if applicable) and the Senior Engineer and Project Manager fromthe relevant NRDO. These meetings are held on a monthly basis or asotherwise agreed by the group. The minutes are recorded and distributed bythe Consultant or NRDO as appropriate.

2. Scheme Monitoring Meetings (Phases 6 and 7). This purpose of thismeeting group is to guide the Scheme through its construction in accordancewith the relevant requirements that pertain, in addition to progress,programme, health and safety, risk, claims management and finance. It isgenerally chaired by the DOS of the Lead Authority and attended by the NRA

Inspector and/or Regional Manager, the lead design consultants (if applicable)and the Senior Engineer and Project Manager from the relevant NRDO. TheContractor is not part of these meetings. These meetings are held on amonthly basis or as otherwise agreed by the group. The minutes are recordedand distributed by the Consultant or NRDO as appropriate. Supplementarymeetings may be held in the absence of the consultant to discuss broaderfinancial issues and to evaluate the performance of the consultant.

3. Site Progress Meetings(Phase 6 only). These meetings are attended by theLead Authority, the Employers Representative, Consultant and the Contractor

to discuss issues that affect progress, health and safety, quality control andother issues as they arise. These meetings are held monthly or as agreed


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between the parties concerned. Minutes to be taken and distributed by theConsultant or NRDO as appropriate.

4. Project Closeout Meetings (Phase 7 only). This purpose of this meetinggroup is to closeout matters and issues in accordance with the relevant

requirements and policies that pertain. It is generally chaired by the DOS ofthe Lead Authority and attended by the NRA Inspector and/or RegionalManager, the lead design consultants (if applicable) and the Senior Engineerand Project Manager from the relevant NRDO. These meetings are held asfrequently as agreed. The minutes are recorded and distributed by the NRDO.

x Fast-tracking Schemes

Certain Schemes, due to time constraints, will need to be fast-tracked. It is essential

that the appropriate processes that will be required, are thought out carefully beforeembarking on such an approach. The NRA has experience in this area and thefollowing need to be considered before the project strategy is agreed:

The requirement for a dedicated team from the service providers, i.e. teammembers working solely on the commission in hand, with commitment fromthe company senior management that the appointed staff will not beemployed on any other commissions for the specified period/delivery time.

Agreement, in advance, of the timeframe and sequencing for delivery ofproject management and project appraisal deliverables with the Strategic

Planning Unit.

Co-location offices/team for project, whether at a dedicated site office or at theclient offices.

Use of NRDO and Local Authority staff to supplement project tasks better placedwithin their remit.

Inclusion in the brief of other services required to save on procurementtimescales and overall programme impacts. These could include siteinvestigation, topographical surveys, valuation and legal services etc.

Use of a dedicated Fast-track Project Co-ordinatorto trouble shoot areas ofconflict in an effort to maximise time available. This would be in addition to theProject Management Team or indeed could be from that team, but would havespecific duties as outlined inAppendix A0.4.

Carrying out several tasks/phases/stages in parallel to assist in acceleratedprogramme delivery, such as commencing Phase 3 midway through Phase 2on the basis of analysis of risk on outcome of assessments yet to becompleted.

Use of advance feasibility studies to fast-track areas of difficulty envisaged atthe front end of the programme.


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Careful consideration of how the required Environmental Studies and Surveyswill be carried out in the timeframe that is available. Where applicable, therequirement to obtain licences/approvals from bodies such as NPWS, IrishRail and OPW need to be considered.

The decision to fast-track a Scheme requires the prior approval of the NRA RegionalManager as significant costs could arise in the delivery of same given the need toresource appropriately. Fast-tracking may apply to any scheme at any phase indevelopment should the need arise.

xi Contract Types

All Contract Types used on NRA-funded Schemes, where such contracts areadvertised by means of public tender, shall use the Department of Finance CWMF

Standard Forms of Contract for Public Works (PW-CF1 to PW-CF9) and theStandard Conditions of Engagement for Consultancy Services (COE1 & COE2).

Refer to the roles and responsibilities of the NRA Procurement Unit as outlined inSection viii of these guidelines for further details.

The Project Manager shall liaise with the NRA Inspector to ensure that theappropriate Form of Contract is used for all Contracts awarded on a particularScheme.

xii Decision RegisterAs a Scheme progresses through the 7 Phases ofdevelopment, decisions or milestones are reached,many of which may be recorded in the documentsapproved and listed in the document register (seeSection xiii). However as the full progression ofany road Scheme can take as much as 10 years tocloseout, the staffing and service providers may besubject to change during the scheme lifetime and a

record of key decisions is invaluable when certainissues present themselves, either at an OralHearing or an audit, several years later.

Therefore, a Decision Register should be producedfor each Scheme, recording the decision, therelevant dates and referencing any related issues in the making of that decision.Such a register will form part of the Project Execution Plan as described in Section1.5 of these Guidelines.

A Sample Decision Register is contained inAppendix A0.5.


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xiii Document Register

As part of a Quality Control System, a Scheme should maintain a record of allReports and documents produced during each phase identifying the Author, date ofproduction and the specific purposes of the report itself. This register can log all

other documented key aspects of the scheme/project as it progresses includingminutes of meetings with Third Parties such as NPWS or Utilities etc. which providebackup and understanding on how the scheme progressed. Such a register will formpart of the Project Execution Plan as described in Section 1.5 of these Guidelines.

A Sample Document Register is contained inAppendix A0.6.

xiv Funding

Funding is available to the National Roads Authority through Government on a yearly

basis and can be part of a programme of proposed transportation infrastructure overa defined period. Funding therefore can be on an individual annual basis or linkedinto a multi-annual programme of investment. As it is subject to change, the NRAcontinuously monitors its commitments to ongoing contracts in areas of construction,land acquisition, staffing/supervision and design.

The decision to proceed with (a) the design of a Scheme, (b) the serving of theNotice to Treat and (c) the award of the Main Construction Contract will bedetermined by the funding available. Due to the significant funding commitmentrequired, these are key decision milestones for the NRA and are accordingly

designated as NRA Hold Points throughout these guidelines.

In the event that a scheme cannot proceed further, the Project Manager shall ensurethat the deliverables completed to that point are available in both hard and softcopies and that all relevant data is stored for start-up at a future date. This meansclosing out and obtaining all relevant data from consultants and service providers.

xv Overview of the 7 Phases of Development

The NRA Project Management Guidelines were first published in March 2000. Since

then other NRA Guidelines and Manuals have been issued which have impacted onthe Project Management of Major Road Schemes. These include:

NRA Project Appraisal Guidelines

NRA Cost Management Manual

NRA Construction Contract Administration Manual

NRA Environmental Assessment & Construction Guidelines

The Department of Finance established the Capital Works Management Framework

(CWMF) in order to deliver the Governments objectives in relation to Public SectorProcurement Reform as outlined in Section iv of these Guidelines Interaction withDepartmental Guidelines.


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The 2010 NRA Project Management Guidelines incorporate the key requirements ofthese various Guidelines and Publications, together with Best Practice and LessonsLearned since the 2000 edition of the Guidelines.

The principal difference between the 2000 NRA Project Management Guidelines and

the 2010 Edition is the restructuring and renaming of the Project ManagementPhases, as illustrated in Figure I overleaf.

The former Phase 1 Overall Project Planninghas been renamed Phase 1 SchemeConcept & Feasibility Studies. It incorporates the introduction of a SchemeFeasibility Report for certain Schemes. It also incorporates the development of aProject Execution Plan into the Project Management Process to replace the PhaseQuestionnaires used in the 2000 Edition of the Guidelines, which are nowdiscontinued.

The former Phase 2 Constraints Studyand Phase 3 Route Selectionhave now beenamalgamated to form the new Phase 2 Route Selection. The former ConstraintsStudy Report is no longer a formal deliverable but instead forms part of the RouteSelection Report. The selection of the Preferred Route Corridor is now a three stageprocess:

Stage 1 Preliminary Options Assessment

Stage 2 Project Appraisal of Route Options

Stage 3 Selection of Preferred Route Corridor

The former Phase 4 Preliminary Design / Land Acquisition Procedureshas now beendivided into two separate Phases Phase 3 Designand Phase 4 EIA/EAR & TheStatutory Processes. The separation of the design from the Statutory Processesallows scope for greater progression of the Scheme design without initiating theStatutory Processes. The Review of Geometric Parameterswhich took place at theformer Phase 4 has been replaced by the Geometric Parameters Reportat Phase 3Design. The use of Design Working Papersare now required as part of the DesignProcess and these in turn form the basis of the Scheme Design Report. Provision isalso made for developing/progressing Phases 3 and 4 concurrently using the Fast-TrackProcess.

The former Phase 5 Construction Documents Preparation / Tender / Award has beenrestructured to include provisions for Advance Works Contracts and has due regardto the CWMF Standard Conditions of Engagement and Standard Forms of Contract.It has been renamed Phase 5 Advance Works & Construction DocumentsPreparation, Tender & Award.

The former Phase 6 Scheme Construction has been renamed Phase 6Construction & Implementation and incorporates the requirements of the NRAConstruction Contract Administration Manual and the role of the EmployersRepresentative under the CWMF Forms of Contract.


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Figure I Principal Differences between 2000 NRA Project Management

Guidelines and 2010 NRA Project Management Guidelines.


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The former Phase 7 Final Account / Closeouthas been re-structured to incorporatePost Project Reviewsand has been renamed Phase 7 Handover, Review &Closeout.

The purpose of each Phase is clearly outlined at the beginning of each chapter and a

logic diagram, referred to as a Process Map, is also provided at the start of eachchapter to summarise the key steps for each Phase. These logic diagrams arecolour coded to distinguish between Project Management (green), Project Appraisal(orange) and Cost Management (blue) requirements. The colour coding is similar tothat used in Figure J overleaf.

Each Phase requires a number of deliverables to be produced and approved beforethe scheme can progress further. Details of these deliverables are provided inSection 1.4 and are summarised in Figure J overleaf.


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2010 NRA

Project Management

Guidelines Deliverables

Phase 1

SCHEMECONCEPT

& FEASIBILITYSTUDIES

Phase 2

ROUTESELECTION

Phase 3

DESIGN

Phase 4

EIA / EAR &

THESTATUTORYPROCESSES

Phase 5

ADVANCEWORKS &

CONSTRUCTIONDOCUMENTS

PREPARATION,

TENDER & AWARD

Phase 6

CONSTRUCTION &

IMPLEMENTATION

Phase 7

HANDOVER,

REVIEW & CLOSEOUT

Scheme Feasibility Report

Route Selection Report

Public Consultations (Route Options)

Public Display (Preferred Route)

NRA

Project Appraisal Guidelines

Deliverables

Project Brief

Traffic Modelling Report

Project Appraisal Balance Sheet(Preferred Route Corridor Only)

Preliminary Business Case

Reviewed/Updated Project Brief

NRA

Cost Management Manual

Deliverables

Feasibility Working Cost (FWC)

Options Comparison Estimates (OCE)

Target Cost 1 (TC1)& Total Scheme Budget (TSB)



Target Cost Estimate 4 (TC4)& Total Scheme Budget (TSB)

Design ReportRevised Traffic Modelling Report

Revised Traffic Modelling Report

Updated Project Brief

Revised Project AppraisalBalance Sheet

Business Case

Post Project Review

EIS or EAR / Part 8 Documents

CPO / MO Documents

Project Closeout Report

Tender Documents(Main Construction Contract)

Tender Report

Monthly Progress Reports

Risk Assessment Report

Cost Benefit Analysis using OCE

Cost Benefit Analysis(using TC1/TSB)

Updated Cost Benefit Analysis

Phase 7 Cost Benefit Analysis

Using Final Outturn Cost (if required)

Project Execution Plan

Variation to County Development Plan

Update Target Cost 1 (TC1)& Total Scheme Budget (TSB)

Tender Documents (Advance Works)

As-Built Drawings & Documents

Final Account Report Value Engineering Register

2010 NRA

PROJECTMANAGEMENT

GUIDELINESPHASES

Value Decisions Tracking Register

Update

Value Decisions Tracking Register

Peer Review 2 Report

Quantified Risk Analysis ReportRevised Cost Benefit Analysis

Updated Project Brief

Updated Traffic Modelling Report

Updated Project AppraisalBalance Sheet

Final Business Case

Peer Review 1 Report

Figure J Summary of Key Deliverables for each Phase.


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Introduction


INTRODUCTION

APPENDICES


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Introduction


A0.1 List of Definitions and Acronyms

This is a List of definitions of words, phrases and acronyms as they relate to these Guidelines. Certainwords and phrases used in these Guidelines have been omitted from this List as they are definedelsewhere (e.g. Project Brief is defined in the NRA Project Appraisal Guidelines). Refer also toIntroduction Section viii for details of NRA Service Units and Office Holders

Item Definition

Definitions

Design Team The group of experts, including NRDO designers and/or external engineering,environmental, valuation and legal consultants, who are responsible for allaspects of the scheme design, up to and including the award of the MainConstruction Contract

Fast-tracking The accelerated and, in certain circumstances, concurrent progression of aScheme through planning and design phases up to and including the statutoryprocesses.

Fast-track ProjectCo-ordinator

A dedicated, scheme specific appointee whose primary role is to ensure thesmooth running of the fast-track approach and to facilitate conflict resolution asand when it arises.

Framework Matrix A Summary, in tabular form, of the Stage 1 Preliminary Options Assessment,under the assessment criteria of Engineering, Environment and Economy anda confirmation of the refined number of rou