Version 1.

0 Date: 12/26/2006

Construction Management System (CMS)

Master Use Case Diagram

TEST PRODUCTS & MATERIALS

ID of Test/ Inspection/ Equipment Resources Input from Testing Authorities Standard Specifications and Special Provisions Table of Materials/ Items and Associated Testing Updated District Resource Pool Identified Equipment and Labs Resources Certification Requirements

CONTRACT CHANGE ORDER

Initial List of Materials/Items Maintain List of Materials/Items [UC 8.1] Approved List of Materials/Items Maintain Test Plan [UC 8.2] Approved Test Plan Verify Resource Certification/ Calibration/ Accreditation [UC 8.3] Contract is Awarded

DISPUTE RESOLUTION
Designated parties are notified as necessary throughout the process Enter Initial Dispute [UC 14.1] Create Dispute Tracking Template and Update [UC 14.2] Tracking Template with Data to Date in CMS Associate Documentation with Dispute [UC 14.3] Documentation to Date Associated with Dispute

Ongoing Through Life of Dispute/Claim and Can be Performed with Proper Access.

Updates from the Contractor

Notification to Stakeholders

Notification to Stakeholders Contract Deficiency Identified CE Initiates CCO Request [UC 5.0] CCO is prepared for routing Route CCO for Concurrence [UC 5.1] CCO/CCO Memo/ Backup recommended for approval CCO Approval/ Acceptance Process [UC 5.3] Executed CCO/ Updated Contract

Initial Dispute in CMS

Enter Dispute or Specific Deliverable Comments [UC 14.4]

Comments to Date Associated with Dispute or Specific Deliverable

Awarded Contract

Completed Test Plan Identified Certified Resources Identified Necessary Additional Resources Assign Tests/ Inspectors to Resources [UC 8.4] Resources Assigned/ Scheduled to Perform Tests/ Inspections Notification to Resources of Assignment Responsibilities Notification to Stakeholders Request/Perform Tests and Inspections [UC 8.5]

Approved Contract Change Order

Contract items in CMS Close Out Material/Item [UC 8.6] Record of Test and Inspection Results Notification of Deficiencies in Test Results Identified need for Rework or Rejection Notification to Stakeholders of Status of Test Plan

Obtain Prior Authorization [UC 5.2]

CCO work is started

Buy America Data

Dispute Accepted (CCO), Dropped, or To Claims

Contractor can Drop Dispute/Claim or Accept Caltrans Decision/CCO Anytime in Process. Contractor Can Also Exhaust Dispute Resolution Process and Proceed to Claim Process.

Sourcing Data and Certification

Notification to Stakeholders

Record of Materials/Items Final Status

Enter Dispute Deliverable [UC 14.X]

Dispute Deliverable in CMS Includes Use Cases 14.5,-14.8, 14.1114.13, 14.15-14.18

Enter DRB Meeting Request [UC 14.9]

DRB Meeting Request in CMS

Enter DRB Meeting Schedule [UC 14.10]

DRB Meeting Schedule in CMS

At any point in the process the dispute item can be resolved by CCO, payment, or dropped by the contractor and closed.

START-UP ACTIVITIES
New CMS User identified Create and Modify Users [UC 1.1] CMS Users with appropriate authority

BILLING & PAYMENTS

Item Quantity Calculation
Materials On Hand Invoice Data & Certifications

Pay Est Data Available to Contractor If PFE letter to Contractor For PFE notification voucher sent to DOA

IFMS is currently: PETS for Withhold Data TRAMS for Payment Data Rejected

Enter DRB Determination and Ruling Clarification Request [UC 14.14]

DRB Determination and Ruling Clarification Request in CMS

CLOSE-OUT ACTIVITIES
Payment retentions available for release / payment

Work on project is completed

Payment Estimate
Payment Estimate Request [UC 11.1] [UC 11.2] Input Data to determine Pay Est in CMS Complete Pay Est. Data in CMS CE or District Office Reviews / Approves and Routes Report [UC 11.3] Approved Pay Est Data in CMS HQ Review / Approve / Route Pay Est, EFT Report [UC 11.4] Pay Est Data in CMS Maintenance / other divisions agree that work is complete Project Acceptance [UC 4.1] Permits in CMS with Valid Dates

DAILY DIARY / INSPECTION

Tentatively Assigned Resources Manage Resources [UC 1.2] Updated District Resource Pool An Awarded Contract Establish Project [UC 1.3] Awarded Contract Assigned Inspection Work Standard Specifications and Special Provisions Load and Categorize Submittals [UC 1.8] Assign Resources [UC 1.4] Assigned RE Maintain Project Contacts List [UC 1.5] Project Contacts List

Notification of Non-Compliant Work or Product

Test Plan materials for testing

Item Qty Calc Sheets Data

Approved ARE Daily Diary Record

RE ARE Daily Diary (ready for CE review)

RE / ARE Daily Reports Data Materials on Hand Calculation [UC 10.2] Accounting Processes Payment [UC 11.5] Quantity Calculation Emergency / Minor B Invoice Data [UC 10.1]

Establish Escrow Account Vouchers in CMS/IFMS SCO Generates Warrant/EFT EFT Report [UC 11.6] CASPAY

Warrant Data / Report to IFMS / CMS

CLAIM PROCESS
Enter Contractor Exceptions to PFE [UC 15.1] Contractor Exceptions to PFE in CMS Create Dispute Tracking Template and Update [UC 15.2]

(A) Contractor Can Drop Dispute/Claim or Accept Caltrans Response. If Accept, to CCO Process

Safety Review Complete

Contract Items

Assign Inspection Work [UC 3.0]

Inspect Work / Product [UC 3.1]

Enter / Update ARE Diary Report [UC 3.2]

Review ARE Diary Report [UC 3.3]

Enter / Update RE Diary Report [UC 3.4]

File RE / ARE Diary Reports [UC 3.5]

Allotment Approval Data (i.e. Funds Management) [from UC 2.7] Approved EWBs

Check Payment / EFT Voucher to Contractor from SCO

Tracking Template with Data to Date in CMS

Enter Overhead Claim Audit Analysis [UC 15.3]

Overhead Claim Audit Analysis in CMS

Enter Initial Claim Findings Report [UC 15.4]

Minor B & Emergency Contract Close Out [UC 4.3]

Accepted and Approved Contact

Close out Utilities & Permits [UC 4.2]

Notice of Completion

Enter Initial Claim Findings Report in CMS

Relief of Maintenance Letter Accepted and Approved Payment Method Completed Diaries Solid Waste Report Complete Post Submittals complete and tracked in CMS

Equipment List Weekly statement of working days Filed Daily Diaries

Monthly CPM and two week look ahead

Other Assigned Resources

Conduct/Capture Data for Meeting Data [UC 1.6]

Observation of Quantity and Quality of Work or Product

Notification of Diary Record Completion

LCVs, other withholds, Stop Notices Data in CMS

Ongoing Through Life of Claim and Can be Performed with Proper Access. EFT Payment to Contractor from SCO

Steps are Required if Claim for Overhead Post-Submittals [UC 4.4] Deductions returned to Contractor

Meeting Data

Established Work Categories

Active project determined unnecessary before start of work

Deactivate a Project [UC 1.9]

Observation of Labor and Equipment Hours

ARE Daily Diary Record

CCO data / including adjustments

Enter Initial Claim Findings Report Comments [UC 15.5]

Enter Initial Claim Findings Report Comments in CMS

Enter BoR Meeting Request [UC 15.6]

BoR Meeting Request in CMS

Update Initial Claim Findings Report [UC 15.7]

Updated Initial Claim Findings Report in CMS

Enter BoR Recommendation [UC 15.8]

BoR Recommendation in CMS

Reconciled Contract Items Complete Final Records [UC 4.5] Project / History File Created and Stored

Required Pre-Job and other required meetings

Discussion of activities and issues

Notes of Discussions and Conversations

Notification of ARE Diary Record Rejection EWB is Created in CMS Identified ARE Diary Revisions Necessary [UC 13.1]

BoR Steps Required if Review of Claim Findings Report Warrants Them

Completed Item Adjustments

Special Provision Items are Completed

Forms routed to appropriate parties

Extra Work Bills

RE / Staff Reviews / Approves / Routes EWB [UC 13.2] Rejected to Contractor

Item Adjustment
Process Under / Over Run Data [UC 12.1]

Updated Item Under / Over Run Completed Final Payment Enter Determination of Claims Report [UC 15.9] Determination of Claims Report in CMS Enter Contractor Response to Determination of Claims Report [UC 15.10] Contractor Response to Determination of Claims Report in CMS (A) Enter Arbitration Hearing Request [UC 15.11] Arbitration Hearing Request in CMS Enter Arbitration Report [UC 15.12] Deferred Time Arbitration Report in CMS Resolved Claims

Post Submittal requirements in CMS

Inactive Project

Resources are released RE Pending File

Review and Establish RE Pending File [UC 1.7]

Contractors Work or Product Project File Established

Complete EWB Data

Item Under / Over Run Data from CMS

CCO / Memo

CONTRACT MANAGEMENT
Staffing budget plan is built PM estimates of resource requirements Build Staffing Plan and Compare to PM hours [UC 2.1] Resources are defined in CMS Change in time/ schedule/cost Update Staffing Plan [UC 2.2] Project is suspended Capital budget from eBID Change in project scope Timelines and milestones in CMS Load / Update / Record As-Built timelines [UC 2.5] Need for Survey Identified Manage Survey Requests and Falsework [UC 2.8] Survey Request Managed Contractor Payrolls Budget loaded/ updated PM Project Support estimates Updated Staffing Plan Load Project Budget & Update Project Capital Budget [UC 2.3]

DBE/DVBE

LABOR COMPLIANCE
Receive and Validate payrolls from Contractor [UC 6.1] Analyze Compliance Data [UC 6.3]

Notify Estimates Desk of Non Compliance

Validated payrolls in CMS Withhold release Resolved Compliance issue

Labor rates in CMS

Weekly Listing of Contractors / Subcontractors

Daily Diaries

Interview results

Form 2402 Form 2403

As-Built Timeline is recorded

PM develops timeline Major incident occurs Monitor and Track Actual Personnel Years (PY), Expenses, Time [UC 2.4] Project has actual data Budget variance report Need to cancel contract Cancel Contract [UC 2.10] Cancelled contract Managing a Major Incident [UC 2.9] Major incident is tracked

Validated payrolls in CMS

RE Receives Email or Fax of Non Compliance Contractor receives written notice of non compliance

Contractor in Compliance Form 1201 Contractor receives written notice of non Non compliance Track DBE/DVBE use on Contract [UC 7.2] Contractor responds to notice of compliance violation [UC 7.3] Contractor completes work and submits final report [UC 7.4]

Track Compliance and Respond to Compliance issues [UC 6.4]

Unresolved Compliance Issue DBE/DVBE commitment Pursue Labor Case [UC 6.5]

Labor rates in CMS

RE Receives Email or Fax of Compliance Complaint information

CMS retrieves DBE/DVBE data from EBID [UC 7.1]

DBE/DVBE commitment in CMS

Form 2401

Reporting to Civil Rights

Good faith effort documentation

Project is approved (after award) Supplemental allotment is posted to contract file

Manage Contract Budget and Contingency Balance [UC 2.7]

Contract Budget / Contingency Funds are Managed

Import Labor Rates [UC 6.2] Need to terminate Contractor Terminate Contractor [UC 2.11] Terminated Contractor

Employee Interview

Resolved labor case RE Receives Email or Fax of Non Compliance Notify Estimates Desk of Non Compliance

Contract commitment changed

Request for Additional Funds [UC 2.12]

Contract Item Data in CMS Agreement for Billing

Contract balances are updated Project requires additional funding

COZEEP/ MAZEEP Task Order Data

COZEEP [UC 2.6]

COZEEP request managed

DAS apprenticeship information

DIR Labor Rates For Contract

DOL Labor Rates Website