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US Departmentof Transportation

Federal TransitAdministration

Project and ConstructionManagement Guidelines2003 Update

May 2003

Final eport

FT! Project and Construction Management GuidelinesFinal May 2003


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"#T$C%T&is document is disseminated under t&e sponsors&ip of t&e Department ofTransportation in t&e interest of information e'c&ange( T&e United StatesGo)ernment assumes no lia*ility for its contents or use t&ereof(T&e United States Go)ernment does not endorse products or manufacturers(Trade or manufacturers+ names appear &erein solely *ecause t&ey areconsidered essential to t&e o*ject of t&is report(

FT! Project and Construction Management GuidelinesFinal May 2003


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Technical Report Documentation PageForm Approved OMB No. 070!0"##

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irectorate for !nformation "perations and #eports, 1$1% &efferson avis Highway, Suite 1$'(, )rlington, *) $$$'$+

('$, and to the "ffice of -anagement and udget, Paperwor/ #eduction Pro0ect '2'(+'1334, Washington, 5 $'%'.

1. AGENCY USE ONLY6eaveblan/4

2. REPORT DATE

-ay $''

3. REPORT TYPE AND DATES"riginal September 177'

8pdated &une 17798pdated -ay $''

4. TITLE AND SUBTITLE

Pro0ect and 5onstruction -anagement :uidelines $'' 8pdate5. PROJECT ID NUMBER

IT-90-5002

6. AUTHOR(S

;homas 6uglio, #ic/ Halvorsen, edros ederal ;ransit )dministration

('' Seventh Street, S.W. Washington, 5 $'%7'

10. SPONSORING%MONITORING

AGENCY REPORT NUMBER

11. SUPPLEMENTARY NOTES

= )ssisted by attelle, -ultisystems, :5 ;ech

12&. DISTRIBUTION%A'AILABILITY STATEMENTA&)*&+*, "/ ?ational ;echnical !nformation Service@?;!S,

Springfield, *irginia $$191.Phone 2'.9'%.9''', >ax 2'.9'%.97'',


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A$%NO&'(D)(M(NT*

T&e 2003 Project and Construction Management Guidelines Update project ,assponsored and managed *y FT!-s #ffice of %ngineering( .ames /ang ,as t&eFT! Project Manager( Transportation esource !ssociates ,as t&e contractorresponsi*le for t&e Guidelines Update under contract to attelle 1Da)id /agner

Director( T&omas 4uglio ,as t&e Project Manager and ,as assisted *y Ga*rielTomp5ins( !dditional speciali6ed inputs ,ere pro)ided *y ic5 7al)orsen ofMultisystems in t&e areas of planning and financing and edros %nfiedjian ofGC Tec& in t&e areas of procurement and non8traditional project deli)eryapproac&es( attelle staff assisted in editing and document preparation(

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.o&n rac& Ur*an %ngineers

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FT! Project and Construction Management Guidelines 2003 Update

Final May 2003 Page )i


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'*T OF A$RON5M*

>31c Department of 4a*or egulation on Transit 4a*or Protection3C Continuous Compre&ensi)e and Cooperati)e Planning Process

!% !rc&itect1ure and %ngineer1ing!! !lternati)es !nalysis!!C% !ssociation for t&e !d)ancement of Cost %ngineering $nternational!D! !mericans ,it& Disa*ilities !ct!GT !utomated Guide,ay Transit!$M% !merican $nstitute of Mining Metallurgical and Petroleum %ngineers!$T !rts8in8Transit!PT! !merican Pu*lic Transportation !ssociation!%M! !merican ail,ay %ngineering and Maintenance !ssociation!SC% !merican Society of Ci)il %ngineers!TCS !utomated Train Control System!T# !utomated Train #peration!F# est and Final #ffer !T ay !rea apid TransitMF us Maintenance Facility#T uild #perate Transfer T us apid TransitSD! i8State De)elopment !gencyT# uild Transfer #perateC!DD Computer !ssisted Design and DraftingC!P! Capital eser)e !ccountCD Central usiness DistrictCCS C&ange Control SystemCCT Community Coordination TeamCCT: Closed Circuit Tele)isionC% Categorical %'clusionC%E Council on %n)ironmental EualityCF Code of Federal egulationC$$ Construction $ndustry $nstituteC$P Coordinated $nsurance ProgramCM Construction Manager=ManagementCM!! Construction Management !ssociation of !mericaCM!E Congestion Mitigation and !ir EualityCMC Construction Management ConsultantCM=GC Construction Manager=General ContractorConrail Consolidated ail Corporation

CPM Critical Pat& Met&odCPT%D Crime Pre)ention T&roug& %n)ironmental DesignC Constructa*ility e)ie,CSLT CSL Transportation CorporationCTD#T Connecticut Department of TransportationCUT Construction Users oundta*leD= Design=uildD== Design=id=uild


Final May 2003 Page )iii


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D% Disad)antaged usiness %nterpriseD$! Design uild $nstitute of !mericaD#M Design uild #perate MaintainD%$S Draft %n)ironmental $mpact StatementD#T Department of TransportationD Dispute e)ie, oard%# %rrors and #missions%! %n)ironmental !ssessment

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SSC Safety and Security CertificationSS# State Safety #)ersig&tSS#! State Safety #)ersig&t !gencySSMP Safety and Security Management PlanSSPP System Safety 1and=or Security Program PlanSSPS System Safety Program StandardsST$P State,ide Transportation $mpro)ement ProgramSTP Surface Transportation Program

SU% Su*surface Utility %ngineeringTM Time and MaterialTDP Turn5ey Demonstration ProgramT%!82> Transportation %st CenturyT%CP Ta' %'empt Commercial Paper T$F$! Transportation $nfrastructure Finance and $nno)ation !ctT$P Transportation $mpro)ement ProgramT#D Transit8#riented De)elopmentTPP Test Program PlanTEM Total Euality ManagementTS$ Transportation Safety $nstitute

TSM Transportation System ManagementUP Union PacificUSD#T United States Department of TransportationUT! Uta& Transit !ut&ority:% :alue %ngineering:T! Santa Clara :alley Transportation !ut&ority/!" /ide !rea "et,or5/S /or5 rea5do,n Structure/M!T! /as&ington Metropolitan !rea Transit !ut&ority/MD /eapons of Mass Destruction


Final May 2003 Page 'i


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PMO 'essons 'earned Re,erences in )uidelines

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D#M Contract9 Proper Delegation of Major Tas5s14esson A3(((((((((((((((((( 28>%n)ironmental emediation and Clean8Up14esson >A((((((((((((((((((((((((((((((( 2820Transit #riented .oint De)elopment #pportunities14esson >(((((((((((((((((((( 282?Grade Crossing Safety $mpro)ement Program14esson 2((((((((((((((((((((((((((( 283B;ey Factors of Successful Project $mplementation14esson 3@((((((((((((((((((( 38AManaging Multiple Consultants14esson >>(((((((((((((((((((((((((((((((((((((((((((((((((( 38Delegation of !ut&ority14esson >((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((( 38>0Staged $nfrastructure $mplementation $mpacts on #perations14esson >3(( 38>>Using a Consultant as Designer and Construction Manager14esson 2A(((( 38>2Control of Force !ccount Sc&edules and udgets14esson >@(((((((((((((((((((( 38>BFT! Procurement egulations !d)anced Program Payments14esson 30 382B

ailcar Procurement Sc&edule eco)ery 14esson >?(((((((((((((((((((((((((((((((((( 3830%arned :alue=Progress Measurement $ntegrated Cost=Sc&ed( 14esson 3? 383@Computeri6ed C&ange Control System14esson A((((((((((((((((((((((((((((((((((((((( 38A3E!=EC on a Design=uild Transit Project14esson 2B(((((((((((((((((((((((((((((((((( 38@BCo84ocation of Grantee Contractor Project elated Personnel14esson A0 38@$ncenti)e Fee for Performance in Pu*lic=Community $nterfacing14esson A> 38@Creation and enefits of Positi)e Pu*lic elations14esson >0((((((((((((((((((( 38@T&e Capa*ilities and :alue of %lectronic Communications 14esson 2?(((((( 38B0$nteragency Coordination14esson >B((((((((((((((((((((((((((((((((((((((((((((((((((((((((((( 38B>Pro*lems in !gency Coordination14esson 3(((((((((((((((((((((((((((((((((((((((((((((((( 38B2Modular Station Design14esson @(((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((( A8>A

!rts8in8Transit14esson B((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((( A8>AFour8Euadrant Gated Crossing14esson 3((((((((((((((((((((((((((((((((((((((((((((((((( A823Pu*lic #utreac& Program elated to ig&t8of8/ay !c A8A3UT! 4ig&t ail Construction in t&e Salt 4a5e CD14esson 33(((((((((((((((((((( ?8Team !pproac& to Euality !ssurance !udits14esson 22((((((((((((((((((((((((((((( ?8>0

Documentation for Design C&anges M!T!14esson ((((((((((((((((((((((((((((( ?8>2Configuration Management14esson >2((((((((((((((((((((((((((((((((((((((((((((((((((((((( ?8>3"e, or5 City Transit !ccident and Pre)ention Program14esson 2(((((((((( ?82Bus 8 ail $ntegration14esson ?((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((((( @8>>Commuter ail Safety8%ducating t&e Pu*lic 14esson 2((((((((((((((((((((((((((((( @8>2


Final May 2003 Page 'ii
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$onstruction Roundta+le Recommendation - &ashington6 D.$."/891:; Participation in Planning and Design

There is a need for transit construction staff to be involved in planning anddesign. This coordination is essential to ensure that plans are feasiblefrom a construction standpoint. Involvement by the local community also

is essential at every stage of project development, from planning throughconstruction.

$


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For completeness t&e operational or re)enue ser)ice p&ase is also presented toencourage a compre&ensi)e life cycle management approac&( T&is approac&systematically assesses t&e relations&ip *et,een t&e constructed transit capitalproject and operational realities to determine future system needs *ot&moderni6ation and e'pansion(

T&e Guidelines address t&e full range of issues and present managementprinciples applica*le to all FT!8funded capital projects( T&ese include projects

t&at could encompass a )ariety of modes 1e(g( rail *us ot&er fi'ed guide,ayOimpro)ement types 1e(g( e


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$nstitute-s Guide to t&e Project Management ody of ;no,ledge 2000%dition(

T&e update process also pro)ided an opportunity to re)ie, t&e structure andformat of t&e Guidelinesto impro)e its effecti)eness( T&e resulting c&anges aresummari6ed in t&e follo,ing section(

".1 Format and $ontent *ummar=

From a t&oroug& re)ie, of t&e pre)ious Guidelines t&e "T$ Management ofTransit Construction Projects course and suggestions made *y t&e $ndustry/or5group t&at FT! assem*led to pro)ide ad)ice and re)ie, of deli)era*les anoutline ,as de)eloped t&at includes t&e follo,ing c&anges from t&e pre)ious)ersion9

Discussion &as *een e'panded on t&e Planning P&ase in C&apter 2 t&eTransit Capital Project De)elopment Process to include managementtopics primarily addressed during t&at p&ase(

C&apter 3 General Project Management Principles &as *een modified to

address only t&ose topics t&at apply to se)eral project p&ases ,&ic& ismore consistent ,it& t&e *rea5do,ns suggested *y t&e !merican Pu*licTransportation !ssociation 1!PT! Construction Committee and t&estructure of t&e "T$ Course(

T&ere are only t&ree detailed p&ase8oriented c&apters9 Design 1C&apterA Construction 1C&apter ? and Testing Start8Up 1C&apter @( T&ePreliminary %ngineering 1P% and Final Design P&ases &a)e *eencom*ined to a)oid redundancy *ut transitional re


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$hapter /addresses transit capital project de)elopment ,it& emp&asis on FT!+sfunding process and grant re


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Financial e


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$


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Transit Capital Project Development Process

T&e degree of en)ironmental impact also affects t&e implementation process( !n"SP for instance &as numerous positi)e and negati)e impacts related to routealignment station locations relocations land use implications construction andtraffic generation( %ffecti)ely mitigating t&e ad)erse potential impacts of a projectre


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Proect Management Oversight PMO:; a continuous re)ie, ande)aluation of )arious processes to ensure9 compliance ,it& statutoryadministrati)e and regulatory re00million or more for constructionO

is not e'clusi)ely for t&e routine ac


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Figure 28> depicts t&e Transportation %st Century 1T%!82>Jef( 3K "e, Starts Planning and Project De)elopment Process t&at includesgrantee products FT! actions and decision points and PM# for applica*leproject p&ases( "ote t&at a 4etter of "o Prejudice 14#"P could *e an initial

alternati)e to an FFG!( !n 4#"P is issued in ad)ance of an FFG! as a ,ay ofpreser)ing t&e eligi*ility of certain long lead8time item capital costs( $t is noguarantee of FT! funding(

Figure /!". T(A!/" Ne@ *tarts Planning and Proect Development Process
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/."./ Other $apital Proects

T&e follo,ing su*sections descri*e t&e types of transit capital projects t&at arenot considered MCPs and t&us are not su*ject to continuous FT! o)ersig&t andPM# in)ol)ement( Grantees need to consider t&e uni> and Fle'i*le Funding Transfers(!dditional discussion of funding sources is pro)ided in Section 2(2((

/."./." Rail Modernization

ail moderni6ation is t&e process of implementing capital impro)ements tomaintain e'isting rail systems in a state of good repairN to pro)ide efficient andeffecti)e ser)ice( Projects can in)ol)e a )ariety of elements related to trac5structures stations traction po,er su*stations and distri*ution signalscommunications yards and s&ops(


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/."././ Bus Maintenance Facilities

T&e construction of completely ne, or major moderni6ation of e'isting *usmaintenance facilities can *e a comple' underta5ing due to t&e desire toorgani6e and optimi6e t&e *us operating and maintenance processes to producema'imum efficiency( /&en ne, facilities need to *e located t&e site ac


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include projects to impro)e t&e e'clusi)ity or priority of transit operationstec&ni


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state and pu*lic transit operators is reAJef( ?K(

%ac& state and MP# is re


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eflect consideration of t&e area+s long8range land use plan de)elopmento*jecti)es and social and en)ironmental goals(

$n addition T%!82> identified se)en factors for planning processes to consider inidentifying projects for inclusion in plans and programs9

Support economic )itality

$ncrease safety and security

$ncrease access and mo*ility options for people and freig&t

Protect and en&ance en)ironmental


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!dditional guidance regarding t&e relations&ip *et,een Capital Program grantsand t&e metropolitan and state,ide planning process is pro)ided in FT! Circular300(>! Capital Program9 Grant !pplication $nstructions !ppendi' ! Jef( @K(

/././ Alternatives Anal=sis Maor nvestment *tud=:

/&en t&e metropolitan transportation planning process identifies t&e need for amajor transportation in)estment an !! is underta5en( T&e !! process includes,&at ,as pre)iously 5no,n as a Major $n)estment Study 1M$S( !t t&e discretionof local aut&orities t&e !! may also include t&e underta5ing of a Draft %$S 1D%$Sor %n)ironmental !ssessment 1%!(

!! e)aluates an appropriate num*er of mode and alignment alternati)es foraddressing a transportation pro*lem( /&en decision ma5ers at t&e state or localle)el ,is& to initiate an !! t&e specific scope ,ill *e determined cooperati)ely *yt&e MP#O t&e state D#TO pu*lic transit operatorsO en)ironmental resource andpermit agenciesO local officialsO t&e F7/! and t&e FT!O and ot&er related

agencies as may *e impacted *y t&e proposed scope of t&e analysis( T&iscooperati)e process ,ill determine t&e range of alternati)es to *e studied1including alternati)e modes and tec&nologies general alignment policies andnon8capital strategies(

T&e alternati)es e)aluated in t&e !! must include a no8*uild alternati)e aTransportation System Management 1TSM alternati)e and an appropriatenum*er of *uild alternati)es( $f t&e local sponsors and FT! agree it isappropriate t&e no8*uild alternati)e may also ser)e as t&e *aseline alternati)e(T&e !! de)elops information on t&e *enefits costs and impacts of t&esealternati)e strategies( Factors considered in t&e !! must include mo*ilityimpro)ementsO social economic and en)ironmental effectsO safetyO operatingefficienciesO land use and economic de)elopmentO financingO and energyconsumption( T&e conclusion of t&e !! process is mar5ed *y t&e formaladoption of a 4ocally Preferred !lternati)e 14P! ,&ic& must *e one of t&ealternati)es analy6ed in t&e process and its inclusion in t&e MP#s financiallyconstrained long8range regional transportation plan(

Pu*lic re)ie, and participation is an important part of an !!( !lso carefulattention s&ould *e de)oted to defining grantee roles and responsi*ilities( T&e,or5 conducted in an !! is performed locally *y t&e transit operator MP# andagencies of municipal and state go)ernment ,or5ing in colla*oration ,it& eac&ot&er( $n addition en)ironmental agencies at all le)els and local officials s&ould

*e in)ol)ed( ! local lead grantee must *e defined and t&e roles andresponsi*ilities of ot&er agencies and consultants clearly esta*lis&ed(Participating local and state agencies are responsi*le for ensuring t&at t&e studyis conducted in a tec&nically sound manner( FT! and F7/! are also participantsin t&e process along ,it& ot&er affected agencies suc& as U(S( Department of7ousing and Ur*an De)elopment 17UD and ot&er community de)elopment and&ousing agencies(
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/./.1 Proect Management Plan PMP:

Project management concepts are de)eloped initially during t&e !! and s&ould*e documented in t&e PMP( FT! re0(>CJef( K(

FT! re and *efore ad)ancing tosu*se


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"" criteria and procedures to (e used for testing the operational

s$stem or its major components)

"/ periodic updates of the plan& especiall$ related to project (udget

and project schedule& financing& ridership estimates& and thestatus of local efforts to enhance ridership #here ridershipestimates partl$ depend on the success of those efforts)

"1 the recipient/s commitment to ma+e monthl$ su(mission of

project (udget and project schedule to the 0ecretar$1

T&e PMP s&ould demonstrate t&at all p&ases of t&e project &a)e *een t&oroug&lyconsidered gi)ing t&oug&t to t&e met&ods to *e used to e'ecute t&e project andt&e interfaces t&at ,ill *e created *et,een )arious participants( $t s&ould definet&e o*jecti)es of t&e project t&e met&ods and resources proposed to *e used inmeeting t&ose o*jecti)es t&e o)erall management strategy including projectcontrol and t&e responsi*ilities aut&orities and measures of performance for all

parties in)ol)ed( Ta*le 28> is an e'ample outline of a PMP(T&e PMP s&ould recogni6e t&e role of FT! in t&e o)ersig&t and independentre)ie, of t&e project( PM# contractors are assigned *y FT! to MCPs as ane'tension of t&e regional office staff to monitor and assess t&e tec&nical aspectsof t&e project( FT! also &as FM# contractors a)aila*le to re)ie, issues offinance and accounting related to a grantee or a project including specificmet&ods and systems( T&ese resources s&ould *e utili6ed as appropriate *y t&egrantee+s project team(

T&e PMP ,&ile su*mitted initially prior to entering t&e P% P&ase is intended to*e a dynamic document t&at s&ould *e e'panded and updated as necessaryt&roug&out project implementation( Suc& updates s&ould include *ut not *e

limited to project *udget project sc&edule financing riders&ip estimates and,&ere applica*le t&e status of local efforts to en&ance riders&ip ,&en estimatesare contingent upon t&e success of suc& efforts( T&e PMP s&ould *e updatedas a minimum prior to ad)ancing into t&e Final Design and Construction P&ases($t is suggested t&at for large multi8segment projects a program PMP *ede)eloped and modified for eac& p&ase of eac& major segment( T&e modifiedPMP ,ould reflect t&e uni


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t&e e'act scope of ,or5 and specific resources e(g( project staff *udget andsc&edule(


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T&e issue of standards for design s&ould *e addressed in t&e PMP(e


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Su*system planning in)ol)es assessment of condition esta*lis&ingmoderni6ation goals and performance specifications performing economic trade8off analyses in)ol)ing life cycle costing principles and de)eloping implementationpriorities( !ssociated ,it& t&is process may *e t&e need to perform somead)anced engineering to support su*system de)elopment( For e'ample t&is

could in)ol)e analysis to determine capacity re


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Design8id8uild 1D== H t&ere are separate contracts and procurementprocesses for design and construction often ,it& numerous primecontractors t&at re


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"%P! regulations conformity regulations related to air 2K(

T&ree types of en)ironmental actions &a)e *een defined eac& ,it& separatere actions normally &a)e a significant impact on t&e en)ironment andt&us re>B1c(!dditional projects can also fall ,it&in t&is category if suita*ledocumentation is pro)ided pursuant to 23 CF BB>(>>B1d(

Class 3 actions are t&ose in ,&ic& t&e significance of t&e impacts on t&e

en)ironment are not clearly esta*lis&ed and for ,&ic& an %! is prepared todetermine t&e pro*a*le impacts( $f significant impacts are unco)ered an%$S ,ill t&en *e re


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/it&in t&e "%P! process ot&er applica*le en)ironmental la,s and regulationsare complied ,it& including t&ose related to &istoric preser)ation and protectionof pu*lic lands( %arly in t&e planning process it s&ould *e determined if t&ereare any en)ironmental issues( Coordination ,it& FT! planning anden)ironmental specialists to de)elop and carry out t&e scoping process outlined

in Section >?0>(B of t&e Council on %n)ironmental Euality 1C%E egulations*efore t&e "%P! process formally *egins ensures t&at all significanten)ironmental issues are addressed(

T&ere are t,o options for de)eloping an %$S or %!( $n t&e first option an !! ,illpro)ide sufficient en)ironmental information and in)estment analyses to supportt&e selection of a preferred alternati)e( $n t&is case t&e !! pro)ides input into

su*se3K FT!continues to encourage project sponsors to fund "SPs ,it& t&e &ig&est possi*lelocal s&are( T&e Conference eport t&at accompanied t&e F 2002 Departmentof Transportation !ppropriations !ct re


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Starts s&are o)er @0 percent &a)e *een gi)en a lo, rating for local financialcommitment ,&ic& results in a "ot ecommended rating o)erall( $n additiont&e !dministration is see5ing legislation t&at ,ould limit t&e Federal "e, Startss&are to no more t&an ?0 percent *eginning in F 200A(

!s t&e ma'imum Federal s&are decreases alternati)e funding sources *ecome

increasingly important( T&ose sources can include ta'es assessments feesnegotiated in)estments pri)ate donations joint de)elopment and ot&er types ofpu*lic8pri)ate cooperation(

Section 31a12 of t&e Federal Transit !ct states t&at "o grant or loan s&all *epro)ided under t&is section unless t&e Secretary determines t&at t&e applicant&as or ,ill &a)e t&e legal financial and tec&nical capacity to carry out t&eproposed project(N T&e *asis upon ,&ic& t&e FT! ma5es determinations offinancial capacity is set fort& in FT! Circular B00(>! Financial Capacity PolicyJef( >AK( T&e FT! also &as pro)ided guidance regarding t&e content and layoutof a financial plan t&at accomplis&es t&e o*jecti)es of t&e legislati)e mandateplaced upon t&e FT! and encourages all transportation agencies to preparefinancial plans consistent ,it& t&is guidance 1Guidance for Transit FinancialPlans .une 2000 Jef( >?K(

! financial plan is intended as an integral component of t&e planning andde)elopment of transit projects( ! financial plan s&ould include information ont&e current financial &ealt& of t&e grantee suc& as e'isting #M costs andfunding e'isting and forecast capital spending and anticipated capital fundingsources( T&e financial plan s&ould also include data on specific ne, projectst&at are in planning or de)elopment( T&e details of t&e project financialinformation ,ill necessarily c&ange and *ecome more relia*le as projects

ad)ance t&roug& planning and de)elopment(! project financial plan is re


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/./.9./ 2ther Re%uirements

Circular 300(>!Jef( @K pro)ides guidance regarding all capital program grantapplications( e


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Coordinate t&e site and functional plans particularly in relations&ip totransit facility operation and maintenance so as to a)oid non8incidentaluses(

Design transit and related ser)ices in an integrated manner(

Determine t&e mar5et and financial feasi*ility of t&e transit8relatedcomponents(7a)e supporti)e land use policies ur*an design guidelines andtransportation management strategies to increase transit riders&ip(

%sta*lis& a joint de)elopment agreement to address specific issues andinstitutional arrangements(

Comply ,it& statutory and regulatory re Jef( @K(

!ppendi' specifically relates to joint de)elopment(

/./."" *a,et= and *ecurit= Management Plan **MP:

/./.""."3ntroduction and 00MP Content

ecent re)isions to FT! Circular ?200(>! FFG! GuidanceNJef( >K re


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Section B9 Construction safety management acti)ities

Section 9 $mplementation sc&edule for meeting State Safety #)ersig&t1SS# reK

7a&ard !nalysis (uidelinesJef( 22K

Guidelines for Managing Suspected C&emical and iological !gent $ncidents inail Tunnel Systems Jef( 23K
http://www.access.gpo.gov/nara/cfr/waisidx_99/49cfr659_99.htmlhttp://transit-safety.volpe.dot.gov/Publications/safety/SafetyCertification/pdf/SSC.pdfhttp://transit-safety.volpe.dot.gov/Publications/Safety/NewStarts/NewStarts.pdfhttp://transit-safety.volpe.dot.gov/Publications/Safety/Hazard/HAGuidelines.pdfhttp://www.access.gpo.gov/nara/cfr/waisidx_99/49cfr659_99.htmlhttp://transit-safety.volpe.dot.gov/Publications/safety/SafetyCertification/pdf/SSC.pdfhttp://transit-safety.volpe.dot.gov/Publications/Safety/NewStarts/NewStarts.pdfhttp://transit-safety.volpe.dot.gov/Publications/Safety/Hazard/HAGuidelines.pdf


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The ublic Transportation *ystem *ecurity and >mergency reparednesslanning (uideJef( 2AK(

FT! &as also sponsored t&e de)elopment of a course on Crime Pre)entionT&roug& %n)ironmental Design 1CPT%D t&at is a)aila*le t&roug& t&eTransportation Safety $nstitute 1TS$ 1,,,(tsi(dot(go)=(

! typical process of ad)ancing safety and security issues t&roug& t&e P% andFinal Design P&ases includes t&e follo,ing acti)ities and products9

Concept e)ie,s and Preliminary Design

PMP SSMP Certification Program for Safety and Security Safety and Security Policy and Sc&edule Control Preliminary Safety and Security Certifia*le %lements and $tems Preliminary 7a6ard 4ist Preliminary :ulnera*ility 4ist

%'isting Safety and Security Design Criteria=Tec&nical Specifications !pplica*le Codes Standards and egulations Safety and Security Design e)ie,s and !ppro)als

Complete Preliminary %ngineering

Update PMP SSMP and Safety and Security Certification Program Update Safety and Security Certifia*le %lements and $tems Preliminary 7a6ard !nalysis

Figure /!/. *a,et= and *ecurit= $ore Management Functions
http://transit-safety.volpe.dot.gov/Publications/security/PlanningGuide.pdfhttp://transit-safety.volpe.dot.gov/Publications/security/PlanningGuide.pdfhttp://www.tsi.dot.gov/http://transit-safety.volpe.dot.gov/Publications/security/PlanningGuide.pdfhttp://transit-safety.volpe.dot.gov/Publications/security/PlanningGuide.pdfhttp://www.tsi.dot.gov/


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T&reat and :ulnera*ility !nalysis Preliminary Safety and Security Design Criteria 1or Manual Preliminary Safety and Security Performance e


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Testing=$nspection :erification H to ensure t&at t&e as8*uilt 1or deli)eredconfiguration contains t&e safety and security related re


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T&e re> Major Capital$n)estment Projects Jef( 2?K(T&e project justification criteria are9 mo*ility impro)ements en)ironmental*enefits operating efficiency cost effecti)eness and transit8supporti)e land use(

Federal statutes pro)ide t&at t&e FT! may only appro)e t&e ad)ancement of aproposed project to P% if it meets t&e statutory project e)aluation criteria and isli5ely to continue to do so( 7o,e)er t&e FT! rule states t&at t&e standards onspecificity costs and *enefits are lo,er at earlier stages of t&e process( T&e rulepro)ides an e'ample of local financial commitment ,&ic& for entry into P% mayonly need to demonstrate a reasona*le financial plan t&at identifies proposedsources of local funds for *ot& capital and operating costs ,it&out &a)ing *allotmeasures passed and funds programmed(

P% ta5es t&e project from a planning state to a le)el of design t&at defines allsignificant elements and allo,s a more accurate estimate of project costs andimpacts( T&e resultant tec&nical and financial information ,ill *e a *asis for

su*se


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t&e general process is applica*le to rail moderni6ation *us facilities and ot&ertransit projects( Some differences may e'ist &o,e)er suc& as t&e a*ility to *ee'cluded from t&e preparation of an %$S or t&e need to consider continuity ofoperations during construction( T&e inputs in Figure 283 are t&e direct result oft&e Metropolitan Planning process and t&e outputs *ecome t&e *asis for t&e ne't

p&ase H Final Design( ! major aspect and significant in assuring t&e success oft&e project de)elopment process is t&e continued refinement of t&e PMP(

Some rail moderni6ation su*system projects can *e pac5aged *y corridor railline or line segment to facilitate coordination in design and construction( T&esu*systems for ,&ic& t&is is most *eneficial are ci)il structures trac5 structuresutilities control and communications and po,er( T&is permits ,or5 on fourdifferent su*systems to *e accomplis&ed during a single trac5 outage minimi6ingoperational conflicts( Coordination is also re


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an FT! ecord of Decision 1#D F#"S$ or C% determination( $n addition FT!final design appro)al is necessary and currently t&e FT! must e)aluate t&eproposed project according to t&e same statutory e)aluation criteria used ,&enprogressing to P%( T&e FT! can only aut&ori6e t&e project progressing to finaldesign if t&e project meets t&ese criteria and is determined to *e li5ely to

continue to do so(FT! may issue an 4#"P to an applicant indicating a ,illingness to o*ligate fundsfor a project from future *udget aut&ority( #t&er instruments a)aila*le to FT! are%arly System /or5 !greements and FFG!s( T&e %arly System /or5

!greements allo, for reim*ursement of preliminary costs of projectimplementation including land ac(

Figure 28A depicts t&e process of final design including t&e typical inputs andoutputs( /&ile t&e figure esta*lis&es t&e re


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To a)oid delays and su*stantial added costs t&at are li5ely to accompanyc&anges in t&e detailed final design t&e project scope s&ould *e decided *y t&ecompletion of t&e P% and fro6enN at t&e initiation of final design( C&angess&ould *e permitted only for compelling reasons i(e( su*stantial economiesac&ie)ed t&roug& )alue engineering accommodation of c&anged conditions in

construction reduction in funds or c&anges in funding agency criteria and ot&erreasons for ,&ic& t&e conse


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Figure 28? depicts t&e process of accomplis&ing t&e Construction P&aseincluding t&e typical inputs and outputs( /&ile t&e figure esta*lis&es t&ere


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/.7 Revenue *ervice Phase

/.7." Operations and Maintenance

T&e e)enue Ser)ice P&ase is t&e period of normal system operations t&atoccurs after t&e transit capital project &as *een completed( $t s&ould *e *asedon t&e #perating Plan de)eloped pre)iously.

From t&e perspecti)e of effecti)e transit project management during t&ee)enue Ser)ice P&ase attention s&ould *e focused on t&e maintenance of t&efacility( !n ongoing process of planning and analysis of performance statistics

s&ould *e structured to define t&e need for future projects to moderni6e orsupplement t&e operating transit system( ! continuous 0K and is rele)ant to t&e considerations in t&is section(

PMO 'essons 'earned /;)rade $rossing *a,et= mprovement Program

T&e Metro lue 4ine 1M4 in 4os !ngeles County is a 228mile lig&t rail line,&ic& *egan operation in >0( $n its first four years of operation t&e M4,as trou*led *y t&e pro*lem of impatient motorists dri)ing around lo,ered

crossing gates designed to protect t&em from approac&ing trains( T&e 4!County Metropolitan Transportation !ut&ority 1MT! initiated t&e M4 GradeCrossing Safety $mpro)ement Program( T&e four elements of t&is programare engineering enforcement education and legislation( T&e success of t&eprogram &as *een e)idenced *y t&e fact t&at in t&e past >> mont&s t&ere&as *een only one train )s( )e&icle accident at a gated crossing ascompared to se)en per year for eac& of t&e pre)ious t&ree years(
http://www.fta.dot.gov/library/program/ll/safe/ll2.htmhttp://www.fta.dot.gov/library/program/ll/safe/ll2.htm


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$n particular t&e e'perience of t&e ay !rea apid Transit 1!T system in SanFrancisco is applica*le to ot&er ne,ly constructed fi'ed guide,ay transitsystems( Supported *y an effecti)e operational performance information system!T &as focused its planning and analysis efforts related to its e'isting systemon o)ercoming design deficiencies impro)ing system performance and

increasing capacity( T&is process in)ol)es periodically re)ising t&e organi6ation+sgoals and operating performance o*jecti)es de)eloping capital and operatingprograms to *est ac&ie)e t&e goals and o*jecti)es and monitoring ongoingsystem performance *ot& in general terms and against specific performanceo*jecti)es(

!T+s elia*ility $mpro)ement Program 1$P is a model process t&at ,asinstituted in t&e years after t&e system ,as originally constructed tosystematically impro)e system relia*ility and safety( T&e $P included adefinition of 5ey system pro*lems analysis of t&eir affect on ser)ice andmeasura*le performance units esta*lis&ment of performance goals carefulassessment of t&e primary causes of t&e unsatisfactory performance design and

implementation of t&e most potentially effecti)e projects to sol)e t&e pro*lemsand measurement of t&e impact of t&e c&anges(

/.7.1 $apital Replacement Planning

FT! &as sponsored t,o studies Jef( and >0K t&at address rail moderni6ationplanning and analysis issues( ecause of t&e FT! funding categori6ation t&eterm moderni6ation &as *ecome synonymous ,it& capital replacement t&atencompasses t&e follo,ing9

'efurbishment 8 T&e restoration of e


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and prioriti6ation *y s&o,ing t&e condition and costs of e'isting facilitiese


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$


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General Management Principles for Transit Capital Projects

T&e Construction Management !ssociation of !merica 1CM!!

B> .ones ranc& Dri)e Suite ?A0Mc4ean :! 22>021B03 3?@82@22

&ttp9==,,,(cmaanet(org=

T&e Design8uild $nstitute of !merica 1D$!

>0>0 Massac&usetts !)enue "/ T&ird Floor/as&ington DC >000>8?A021202 @280>>0&ttp9==,,,(d*ia(org=

T&e !ssociation for t&e !d)ancement of Cost %ngineering 1!!C%

$nternational20 Prairie !)enue Suite >00

Morganto,n /: 2@?0>130A 2@8AAA&ttp9==,,,(aacei(org

PM$ addresses project management topics in a generic manner not necessarilyrelated to capital projects ,&ile CM!! focuses on issues affecting t&econstruction of capital projects( D$! is a relati)ely ne, organi6ation andsupports design8*uild and ot&er alternati)e project deli)ery met&ods( !!C%$nternational ser)es cost management professionals9 cost managers andengineers project managers planners and sc&edulers estimators and *iddersand )alue engineers( !ll of t&ese organi6ations &a)e professional de)elopment

acti)ities and documentation resources t&at can *e used to en&ance t&ecapa*ilities of management personnel in)ol)ed in implementing transit projects(

T&e Construction $ndustry $nstitute 1C$$ ,as founded in >3 to impro)e cost8effecti)eness in construction *y identifying needs conducting researc& andpu*lici6ing remedies to construction pro*lems( C$$ is a consortium of leadingo,ners and contractors ,&o &a)e joined toget&er to find *etter ,ays of planningand e'ecuting capital construction programs( ! list of C$$ pu*lications can *eo*tained from9

T&e Construction $ndustry $nstitute

32? /est ra5er 4ane!ustin TL BB?8?3>@1?>2 23283000&ttp9==construction8institute(org=

4ocal User Councils 14UCs t&at e'ist in most metropolitan areas gat&er data onlocal construction acti)ities and pro*lems pro)ide a forum for informatione'c&ange among agencies and contractors and sponsor educational programsfor project and construction managers( Mem*ers&ip and participation *y t&e
http://www.cmaanet.org/http://www.dbia.org/http://www.aacei.org/http://construction-institute.org/http://www.cmaanet.org/http://www.dbia.org/http://www.aacei.org/http://construction-institute.org/


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grantee in t&e nearest 4UC is &ig&ly desira*le( ! list of 4UCs and t&eir localcontacts is a)aila*le from9

T&e Construction Users oundta*le 1CUT

A>00 %'ecuti)e Par5 Dri)eCincinnati #7 A?2A>

1?>3 ?@38A>3>&ttp9==,,,(curt(construction(com=

MCPs are comple' and re


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*mall roject )anagement TeamH Cost8effecti)e use of consultants topermit simple=direct lines of communication timely=responsi)e decision8ma5ing and minimal interference ,it& contractors(

!ppropriate 'is" *haring H Clear identification and allocation of ris5s

t&roug& t&e grantee-s procurement=contracting policies and procedures( >arly '9@ %learance H T&e grantee responsi*ility eit&er directly or

t&roug& separate contracts for #/ ac


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!ppro)ing a,ard of contracts and contract c&anges

!c depicts a matri' organi6ation in ,&ic& line departments ,it& functionalresponsi*ilities are s&o,n )ertically and project organi6ations ,it& projectresponsi*ilities are s&o,n &ori6ontally( T&us a staff person &as dual reportingresponsi*ilities to t&e functional manager and to t&e project manager( Figure 382furt&er de)elops t&is concept to define t&e project office into ,&ic& staff can *eassigned on a temporary *asis ,&ile remaining functionally affiliated( T&is matri'organi6ation is utili6ed on finite duration projects suc& as MCP ,&ere dual focal

points of e


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Figure 1!/. Matri Organiation @ith a Proect O,,ice

Figure 1!". Matri Organiation


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!s a transit capital project e)ol)es t&roug&out its p&ases from planning toimplementation t&e o*jecti)es ,ill *ecome refined and t&e organi6ationalparticipation ,ill )ary greatly depending on t&e specific re


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T&e o*)ious *enefit of using contracted support ser)ices is t&e a*ility toimmediately terminate t&eir in)ol)ement and associated e'pense ,&en t&e needis fulfilled( %)en ,&en an outside organi6ation is used t&e grantee must &a)e inplace an organi6ation to maintain o)erall control of t&e project pro)ide for timely

decision8ma5ing and maintain appropriate communication c&annels ,it& allparticipants( Clearly any organi6ational arrangement t&at ,ould result induplication of effort or t&at ,ould tend to undermine aut&ority s&ould *ea)oided( T&e organi6ational structure and ,or5 scopes for *ot& grantee staff andoutside contractors must clearly define t&eir respecti)e responsi*ilities(

#rgani6ing and staffing during eac& of t&e project de)elopment p&ases s&ouldad&ere to t&e follo,ing guidelines ,&ic& s&ould *e addressed in detail in t&ePMP9

" .de%uate recipient staff organization& complete #ith #ell'defined

reporting relationships& statement of functional relationships& jo(descriptions& and jo( %ualifications1 C&arts s&ould *e de)eloped foreac& p&ase and s&ould co)er all project functions( ;ey personnel in allorgani6ations s&ould *e identified and t&eir principle duties reportingrelations&ips assigned responsi*ilities and delegated aut&ority s&ould *eclearly defined( Staffing le)els s&ould *e indicated and jo*


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Project management s&ould *e sensiti)e to t&e appropriate &uman resource andtraining needs of t&e project team mem*ers in t&e uni


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1./.1 &orE BreaEdo@n *tructure

!s a means of organi6ing t&e project to allo, for effecti)e control t&e grantees&ould esta*lis& a detailed /or5 rea5do,n Structure 1/S encompassing allof t&e ,or5 elements for a project( T&e /S represents t&e organi6ation of ,or5as it is di)ided in managea*le ,or5 pac5ages( $t displays and defines t&eproducts to *e de)eloped or produced and relates t&e elements of ,or5 to *eaccomplis&ed to eac& ot&er and to t&e end product( $t may identify projectp&ase contractor line segment and ot&er organi6ing information( $t is normallyprepared in a &ierarc&ical or multi8tiered fas&ion ,it& t&e lo,er tiers *eingdefined during design and project e'ecution( ! num*er or alp&a8numeric

identification is assigned to e)ery /S element( T&e /S s&ould *e de)elopedto meet t&e needs of project management not merely t&e needs of t&e controlfunctions or ot&er specialties( ! &ierarc&y of system p&ysical components s&ould*e esta*lis&ed &o,e)er eit&er ,it&in t&e /S or separately so t&at ,or5pac5ages applica*le to eac& configuration item can *e identified and follo,ed(Tas5ing in t&e PMP or ot&er project master or su*ordinate plans s&ould *e to/S elements( Figure 383 s&o,s t&e &ierarc&y of t&e /S used for a 4os

!ngeles Metro ail project(

$n construction t&e /S concept can *e applied to project tas5s *y consideringse)eral similar functions or a logical grouping of tas5s as a ,or5 pac5ageN t&at is

assigned to a management unit( ! management unit is t&e indi)idual or portionof t&e organi6ation responsi*le for super)ising design procurement andconstruction tas5s included in t&e ,or5 pac5age( y *rea5ing do,n ,or5 intopac5ages it *ecomes easier to manage a large comple' underta5ing suc& as atransit project( T&e grantee and t&e project manager must use care in applying/S tec&ni


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pac5age( !dditionally eac& ,or5 pac5age must *e priced and sc&eduled into t&eo)erall project sc&edule and *udget(

1.1 Financial Reuirements8Resources

For a project to *e )ia*le it is important t&at it *e *ased upon realistic costestimates and a realistic plan for financing *ot& t&e capital and #M costs(7istorically in many situations capital costs for transit projects &a)e *een fundedprimarily *y t&e Federal go)ernment 1FT! ,it& matc&ing funds pro)ided *y stateand local go)ernment sources( #perating costs &a)e traditionally *een funded*y fare*o' re)enues ,it& t&e support of Federal state and local go)ernments(

ecently t&e Federal s&are of funding for capital projects &as *een decreasing1see Section 2(2( and state and local go)ernments &a)e increased t&eir s&areof t&e funding for capital projects( FT! &as also encouraged a num*er of

creati)e financing arrangements including pri)ate sector participation to support*ot& capital and operating costs and in some cases project implementation ando,ners&ip( !s t&e funding sources for transit projects *ecome more numerousand comple' management of t&em *ecomes more important( Furt&ermore asFederal funding is su*ject to annual appropriations alternati)e plans need to *ede)eloped in case t&e Federal s&are is reduced or delayed(

Figure 1!1. (ample o, a &orE BreaEdo@n *tructure ,or the 'A Metro Rail Proect HRe,. /7I


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(uidance for Transit 4inancial lans Jef( >?K

FT! pro)ided t&e guidance referenced a*o)e regarding t&e de)elopment ofgrantee financial plans( T&ese plans are to ad&ere to t&e outline set fort& *elo,(;ey issues related to t&e elements of t&e financial plan are discussed in t&efollo,ing sections and included in Figure 38A(

1.1." $apital Plan

T&e first element of t&e financial plan is t&e capital plan ,&ic& documents t&egrantee+s capital spending plans and funding sources and descri*es in detail t&estrategy to fund t&e construction of t&e proposed project( T&e capital plan is

composed of t&ree elements9 1> t&e grantee+s 208year forecast capital spendingand funding sources 12 t&e proposed project cost estimates and 13 t&eproposed project funding sources( T&e capital plan documentation s&ouldconfirm t&e sta*ility relia*ility and a)aila*ility of all capital funding sources anddescri*e t&e grantee+s capital spending plans 20 years into t&e future(

1.1."." Project Capital Plan

! cost estimate and sc&edule are re


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eal estate=#/ acngineering News 'ecord and 4.@. $odge 'eports *ot& of,&ic& are pu*lis&ed *y McGra,87ill $nc( 4ocal cost data are typically pu*lis&ed*y )arious construction groups( State agencies and associations pu*lis& unitcost data for )arious construction items( T&ese data are *eneficial *ecause localla*or rates for )arious crafts are used toget&er ,it& la*or a)aila*ility in t&e area(7o,e)er in many instances t&ey fail to account for some of t&e cost line itemst&at are uni


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T&e capital cost estimates are initially produced in present day dollars andescalated to t&e year8of8e'penditure( Costs are typically escalated *ased ondistinct inflation forecasts for at a minimum material and e


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Cost sa)ings

%'clusi)e e'pertise

Safety and efficiency of operations

Union agreements

1.1.".1 0u(se%uent Modernization Cost

T&e estimated cost to periodically moderni6e and replace capital e


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#)erruns in items of time and cost in critical areas during projecte'ecution

Unforeseen or c&anged conditions design re)isions and estimatinginaccuracies

Useful information on cost escalation ris5s is contained in 'is"

!ssessment in 4i#ed (uideway %onstructionJef( 3>K(

!s a project mo)es t&roug& t&e engineering and design process cost increasesdue to t&e refinement of design are less li5ely and conse to 2? percent of project costs in t&eproject planning p&ase drop to >0 to >? percent of project costs at t&e P% p&aseand can *e reduced after t&at especially after construction contracts &a)e *eensigned( !fter an FFG! is signed t&e project sponsor is responsi*le for any costincreases and for fulfilling t&e terms of t&e FFG!( educed ser)ice delayed

construction or reductions in project scope are not accepta*le contingencyplans( $f concerned a*out project ris5s and t&e ade


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and are listed *elo, ,it& locations in ,&ic& t&eir application &as *een studied9

Ta'es State Sales Ta' and Sales Ta' on Fuel 1State of California Motor :e&icle %'cise Ta' 1State of /as&ington 4ocal #ption Transportation Ta'es 1State of Florida Sales Ta' 1Maricopa County !ri6ona eer Ta' 1irming&am !la*ama Payroll Ta' 1Portland #regon Ta' $ncrement Financing 1Prince Georges County Maryland 4ottery 1State of Pennsyl)ania

!ssessments Transit !ssessment District 1Den)er Colorado Special enefit !ssessment Districts 14os !ngeles and Miami

Fees

Transit $mpact Fee 1San Francisco California "egotiated $n)estments

De)elopment onuses 1"e, or5 "e, or5 System $nterface Program 1/as&ington DC Transfer Center $n)estment 1Portland #regon

Pri)ate Donations and $nitiati)es Merc&ant Su*sidy 1Cedar apids $o,a us S&elter De)elopment 1St( 4ouis Missouri Transportation Corporations 1State of Te'as ail Station Construction 1Secaucus "e, .ersey

Use of Property and Property ig&ts .oint De)elopment Program 1/as&ington DC .oint De)elopment of Transportation Center 1Cedar apids $o,a "egotiated 4and 4eases 1Tacoma /as&ington 4easing Facilities 1Santa Cru6 California

Pri)ate De)elopment and Pro)ision of Facilities and Ser)ices Pri)ately Financed People Mo)ers 1Tampa 4as :egas and $r)ing

Te'as Contracted us Ser)ice and Maintenance 1.o&nson County Te'as Contracted Transit Ser)ice 1Sno&omis& County /as&ington Transportation ones 1San Ga*riel :alley 4! County C!

Pu*lic Pri)ate Partners&ip in Fi'ed Guide,ay Corridor De)elopment ail Transit Corridor De)elopment 1Fairfa' County :irginia Corridor People Mo)er De)elopment 1#range County Florida(


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Follo,ing are some of t&e financial instruments a)aila*le to transit agencies for*orro,ing t&e funds needed for ad)anced construction or to &andle ot&er cas&flo, s&ortfalls9

6onds are relati)ely long term de*t of >3 mont&s or more( T&e issuer oft&e *onds agrees to pay t&e &older a specified rate of interest and t&e

principal on t&e *ond at a specified time(

Notesare relati)ely s&ort term 1>3 mont&s or less financial instrumentsand are issued in a )ariety of forms including9

6ond !nticipation Notesare issued to pro)ide an interim source offinancing for a project t&at ,ill e)entually *e financed t&roug& a *ondissue( Ta' and e)enue !nticipation "otes are issued in anticipation ofta' receipts and ot&er re)enues(

(rant !nticipation Notesare issued in anticipation of grant funds(

Ta# >#empt %ommercial apers 1T%CP &a)e a ma'imum maturity of

2B0 days and are generally used until permanent financing for aprogram can *e o*tained(

1.1.".# Funding 0ource Forecasts

For eac& funding source t&e capital plan must clearly indicate ,&et&er t&esource is an e'isting source suc& as an acti)e local ta' from ,&ic& re)enues arecurrently collected or a ne, source re


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e'penditures during a specific time period( $n addition t&e most recent *ondingprospectus is included as supporting documentation(

1.1."."0 Federal Funding 0hortfalls

$n some cases grantees may assume a specific le)el of Federal funding in P%

*ut recei)e less in t&e FFG!( Grantees s&ould *e prepared to mo)e t&e fullscope of t&e project for,ard e)en if Federal funds are less t&an e'pected(%)idence of financial capacity to pro)ide additional non8Federal funds could *e int&e form of cas& *alances additional de*t capacity or commitments of additionalfunds from ne, or e'isting funding sources( Ser)ice reductions and deferredmaintenance are not accepta*le met&ods of freeing up additional funds(

!fter an FFG! &as esta*lis&ed t&e Federal s&are Federal appropriations mayfall s&ort on an annual *asis( For instance t&e Federal commitment to t&e FFG!funding le)els may *e satisfied o)er si' years rat&er t&an t&e planned four8yearperiod( T&e capital plan presents strategies for implementing t&e project if t&eannual appropriations are less t&an planned including s&ort term financing toco)er annual funding s&ortfalls( T&e capital plan s&ould s&o, ade


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transit system( T&e cost estimation documentation pro)ides detail regardingoperating la*or maintenance la*or fuel supplies administration and ot&errele)ant cost categories used to calculate annual #M costs( T&e output of t&isplan is an estimate of operating statistics t&at include )e&icle8miles )e&icle8&ours pea5 )e&icles etc( ,&ic& *ecome inputs used to calculate #M costs(

/it& respect to ser)ice c&anges t&ere are t,o types of #M costs H fi'ed costsand )aria*le costs relati)e to ser)ice le)el( Fi'ed costs remain constant and are*ased on t&e p&ysical transit facility regardless of t&e ser)ice le)el( ! )aria*lecost item s&ould *e lin5ed to t&e ser)ice c&aracteristic to ,&ic& it is most closelytied( ! standard system of accounts s&ould *e used for t&e cost modelconsistent ,it& FT! "ational Transit Data*ase 1"TD re


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documented in t&e financial plan( #ften a source suc& as a local sales ta' t&at isused for local capital funding may also *e used for #M e'penses( T&e planincludes documentation pro)ing t&at t&e proposed operating funds are committedto t&eir intended purpose(

1.1.1 $ash Flo@ Anal=sis

T&e o)erall o*jecti)e of t&e grantee financial plan is to demonstrate t&at t&egrantee &as t&e financial resources to successfully construct t&e proposedproject ,&ile ade


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! CPM net,or5 diagram ser)es as a )isual presentation of t&e se


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rogram *cheduleH Maintained *y t&e local transportation aut&ority toreflect project milestones and de)elopment periodsO generally in a *arc&art formatO details all major projects in t&e systemO may *e *ro5en intooperating areas for comparison purposesO project manager e'ecuti)emanager of engineering or ot&er designated indi)idual ,it& o)erall system

engineering responsi*ility &as aut&ority to re)ise t&is sc&edule(

)aster roject *chedule H "ormally updated mont&ly includescompre&ensi)e CPM=P%T=Gantt or compara*le sc&eduling sc&ema andconstitutes t&e ,or5ing sc&edule for t&e projects1s( T&e project manager,it& t&e assistance of t&e resident engineer1s and t&e )ariouscontractors is responsi*le for its de)elopment and maintenance orupdating(

*pecial *chedules, roject >ngineering *chedule, roject %onstruction*chedule, and roject Training *cheduleH T&ese )arious sc&edules as

t&eir names imply accomplis& definiti)e sc&eduling functions and aretailored to guide specific acti)ities occurring during project e'ecutionOfre


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erformance measurement systemH Using t&e data from t&e monitoring=reporting system a means s&ould *e pro)ided for comparing actual ,or5performed ,it& t&e sc&eduled ,or5 to *e performed and for analy6ing any)ariances t&at may occur( T&is comparison s&ould result in t&esu*mission of timely status reports to responsi*le managers 1See C&apter3(A(@(

"/ Periodic updates of the plan& especiall$ related to project (udget and

project schedule& and"1 The recipient/s commitment to ma+e monthl$ su(mission of project

(udget and project schedule to the 0ecretar$are re


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official project sc&edule at any point in time is 5no,n as t&e Project MasterSc&edule(

1..1 Master ntegrated *chedule

T&e grantee must *e a*le to manage and control t&e Project Master Sc&edule(T&is sc&edule s&ould *e de)eloped in t&e early planning stages of t&e projectand s&ould include t&e )arious project p&ases culminating in re)enue ser)ice(More detailed sc&edules for eac& of t&ese s&ould *e de)eloped as t&e projectprogresses and t&e detailed sc&edules s&ould *e integrated into t&e ProjectMaster Sc&edule( !s t&e detailed sc&edules are integrated t&ey may s&o,,&ere t&e Project Master Sc&edule ,ill &a)e to *e c&anged to eliminate logicalinconsistencies and to ac&ie)e t&e e'ternal sc&edule re


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!ll acti)ities s&ould *e updated and reported on as of t&e same date(

T&e updated logic sc&edule report s&ould discuss completed acti)itiesany re)ision of t&e logical se


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are ,it&in t&e contract parameters and ,&et&er t&e dates sc&eduled areattaina*le *ased on t&e contract status(

Sc&edules are generally su*mitted in more t&an one part( #ne partconsists of a sc&edule indicating t&e ,or5 to *e performed during t&e first

@0 to 0 days of t&e contract( T&is su*mittal is usually re


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$t is a matter of grantee preference to a,ard contracts on a lump sum orunit price *asis( Cost loading a lump sum contract CPM re00 percentcompletion of acti)ities is also easier t&an estimating or measuringincremental portions t&ereof(

#n unit price contracts t&e acti)ities are tied to costs associated ,it& unitprice


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T&e appropriate met&odology for assuring t&e proper integration of sc&edule andcost is to relate cost control monitoring acti)ities to t&e /S8deri)ed ,or5pac5ages( esponsi*ility s&ould *e assigned for de)eloping *aseline cost*udgets to managers of ,or5 pac5ages to maintain t&ose *aselines consistent,it& t&e /S sc&edule and o)erall costs( !ut&ority to re)ise t&e *aseliness&ould *e identified( T&e ,or5 pac5ages s&ould *e assigned identification in acoding system compati*le ,it& t&e project accounting system( T&is procedure,ill facilitate esta*lis&ment of a computeri6ed cost trac5ing and reporting system(

e)ie,s s&ould also *e underta5en ,it& respect to t&e acti)ities t&at compriset&e critical pat&( Use of additional resources on critical pat& acti)ities may add tocosts *ut may also s&orten t&e project and lead to o)erall cost sa)ings due to

reduced o)er&ead *orro,ing and inflation costs(Special attention must *e paid ,&en Force !ccount acti)ities 1or supportacti)ities are on t&e critical pat& as management of t&ese acti)ities is generallyseparate from t&e management of contractor acti)ities( Separate managementmay result in separate priorities ,&ic& could in turn result in t&e sc&eduling ordi)ersion of t&e Force !ccount manpo,er to meet ,&at its managementconsiders a &ig&er priority suc& as maintaining t&e e'isting transit systemt&ere*y delaying critical pat& acti)ities( Suc& delays could result in e'posure toclaims for adjustments *y pri)ate contractors as ,ell as delays in t&e totalproject( T&e sc&eduling of Force !ccount acti)ities s&ould t&erefore *eintegrated into t&e total project sc&edule(

1.2.1 $ontrolling $osts

Proper cost estimating is 5ey to controlling costs( /&en t&e "ational esearc&Council ,as as5ed to researc& t&e causes of increases in costs in constructionprojects t&e Su*committee on Management of Major Underground Construction

PMO 'essons 'earned 12;

(arned ?alue8Progress Measurement6 ntegrated $ost6and *chedule $ontrol 9899:

@hen the 8os !ngeles %ounty Transportation %ommission +8!%T% too"control of the 8! )etro 'ail project in -, they saw merit in the >arned


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Projects 1Committee on Tunneling Tec&nology included in its recommendationst&e follo,ing9

ealistic cost estimates *ased on t&e *est a)aila*le informationmust *e used from project inception( ecogni6ing t&at earlyestimates are *ased on many uncertainties and )aria*les and

t&erefore t&at costs may *e o)erloo5ed or underestimated realisticfactors for uncertainties and contingencies s&ould *e ta5en intoaccount during early p&ases( Particular attention must *e g

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