FTA Construction Management Handbook 2016

Construction Project ManagementHandbookFEBRUARY 2016

COVER PHOTOEdwin Adilson Rodriguez, Federal Transit AdministrationDISCLAIMERThis document is intended as a technical assistance product. It is disseminated under the sponsorship of the U.S. Department ofTransportation in the interest of information exchange. The United States Government assumes no liability for its contents or use thereof.The United States Government does not endorse products of manufacturers. Trade or manufacturers’ names appear herein solely becausethey are considered essential to the objective of this report.This Handbook is intended to be a general reference document for use by public transportation agencies responsible for the managementof capital projects involving construction of a transit facility or system.This document is disseminated under the sponsorship of the U.S. Department of Transportation in the interest of information exchange.The United States Government and the Contractor, Gannett Fleming, Inc., assume no liability for the contents or use thereof.The United States Government does not endorse manufacturers or products. Trade or manufacturers names appear herein solely becausethey are considered essential to the objective of this report.

METRIC CONVERSION TABLESYMBOLWHEN YOU KNOWMULTIPLY BYTO mVOLUMEfl ozfluid ubic feet0.028cubic metersm3yd3cubic yards0.765cubic metersm3NOTE: volumes greater than 1000 L shall be shown in short tons (2000 lb)0.907megagrams(or "metric tons")Mg (or "t")TEMPERATURE (exact degrees)oFFahrenheit5 (F‐32)/9or (F‐32)/1.8CelsiusoC

REPORT DOCUMENTATION PAGEForm ApprovedOMB No. 0704-0188Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewinginstructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collectionof information. Send comments regarding this burden estimate or any other aspect of this collection of information, includingsuggestions for reducing this burden, to Washington Headquarters Services, Directorate for Information Operations and Reports, 1215Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302, and to the Office of Management and Budget, Paperwork ReductionProject (0704-0188), Washington, DC 20503.1. AGENCY USE ONLY2. REPORT DATE3. REPORT TYPE AND DATES COVEREDFebruary 2016September 2008 - February 20165. FUNDING NUMBERS FL-26-71104.TITLE AND SUBTITLEConstruction Project Management Handbook: February 20166.AUTHOR(S) *Kam Shadan and William Plumpton (Gannett Fleming), Michael Eidlin (Kal Krishnan Consulting Services), David Sillars (Sillars), PaulKrogh (K2 Construction Consultants), Dain Pankratz (Boyd Caton & Grant), and Robin Hazy (Raul V. Bravo Associates)7.PERFORMING ORGANIZATION NAME(S) AND ADDRESSE(ES)Gannett Fleming, Inc.San Bruno Office Park881 Sneath Lane, Suite 210San Bruno, California 940668. PERFORMING ORGANIZATIONREPORT NUMBERFTA Report No. 00159.SPONSORING/MONITORING AGENCY NAME(S) ANDADDRESS(ES) U.S. Department of TransportationFederal Transit AdministrationEast Building1200 New Jersey Avenue,SE Washington, DC 2059010. SPONSORING/MONITORING AGENCYREPORT NUMBERFTA Report No. 001511. SUPPLEMENTARY NOTES*Assisted by Lee Hamre (H.C. Peck & Associates) and Kate Berrigan (Gannett Fleming).Document replaces previous editions dated August 2007, September 2009, May 2011, and March 2012.12A. DISTRIBUTION/AVAILABILITY STATEMENTAvailable online at http://www.fta.dot.gov12B. DISTRIBUTION CODETRI-2013. ABSTRACTThe purpose of the FTA Construction Project Management Handbook is to provide guidelines for use by public transit agencies(Agencies) undertaking substantial construction projects, either for the first time or with little prior experience with constructionproject management. It provides a comprehensive introduction to construction project management, including the applicabilityof the principles of project management and of all phases of project development – from project initiation through planning,environmental clearance, real estate acquisition, design, construction, commissioning, and closeout. This Handbook providesguidance similar to that in earlier documents but tailored more to agencies that are constructing maintenance and operationalfacilities, intermodal terminals, park-and-ride stations, and other similar supporting transit facilities. Throughout the sections,project management concepts are illustrated with the use of a hypothetical example, a typical project to plan, design, and builda new bus maintenance facility.14.SUBJECT TERMSConstruction project management, guidelines, checklists15. NUMBER OF PAGES17816. PRICE CODE17. SECURITYCLASSIFICATION OFREPORTUnclassified18. SECURITYCLASSIFICATION OFTHIS PAGEUnclassified19. SECURITYCLASSIFICATION OFABSTRACTUnclassified20. LIMITATION OFABSTRACT None

CONTENTSSection 1.Introduction. 1Purpose of the Handbook . 1What is a Project? . 3Principles of Project Management . 10Section 2.Capital Projects Planning . 12Purpose of this Section . 12Integrate Agency Goals into Capital Improvement Plan . 14Evaluate and Select Capital Assets for Capital ImprovementPlan . 16Where to Find Additional Help and Resources . 19Section 3.Project Initiation . 20Purpose of this Section. 20Defining the Project . 21Planning the Project . 22Contract Management Planning . 32Safety and Security Management Planning . 33Other Requirements . 35Where to Find Additional Help and Resources . 37Section 4.Planning, Environmental Clearance, Real EstateAcquisition . 38Planning Studies . 40Environmental Compliance . 43Real Estate Acquisition and Relocation . 53Entitlement . 54Where to Find Additional Help and Resources . 54Section 5.Design . 56Purpose of this Section. 56Design Phases . 58Design Management . 62Design Reviews . 63Third-Party Coordination . 65Value Engineering . 66Peer Reviews . 68Constructability Reviews . 68Risk Assessment . 69Quality Assurance and Quality Control . 72Sustainability (Green Building) Standards and Design . 73Sustainability (Green Building) Certification . 75Where to Find Additional Help and Resources . 76FEDERAL TRANSIT ADMINISTRATIONi

Section 6.Construction . 77Purpose of this Section . 77Construction Management . 79Third-Party Coordination . 88Quality Management . 89Safety Management During Construction . 91Where to Find Additional Help and Resources . 92Section 7.Commissioning . 93Purpose of this Section . 93The Commissioning Plan . 96Owner-Furnished Equipment . 98Integrated Testing and Start-Up . 99Safety and Security Certification . 99Operational and Maintenance Manuals . 101Training and Transition to Operations . 102As-Built Documentation . 102External Stakeholder Reviews . 103Post-Delivery Audit for Rolling Stock . 103Warranty Administration . 103Where to Find Additional Help and Resources . 103Section 8.Project Closeout . 104Purpose of this Section . 104Contractual Closeout . 104Administrative Closeout . 106Where to Find Additional Help and Resources . 107Section 9.Project Support. 108Purpose of this Section . 104Project Control . 104Project Administration . 104Procurement and Contract Administration . 104Project Communications. 104Records Management . 104Section 10.Appendices . 129Appendix A: FTA Office Locations . 129Appendix B: Checklist - Readiness to Enter Engineering . 132Appendix C: Checklist -Readiness to Execute SSGA/FFGA . 140Appendix D: References . 156Appendix E: Acronyms . 164Index . 166FEDERAL TRANSIT ADMINISTRATIONii

FIGURESFigure 1-1Figure 1-2Figure 1-3Figure 2-1Figure 2-2Figure 2-3Figure 2-4Figure 3-1Figure 3-2Figure 3-3Figure 3-4Figure 3-5Figure 4-1Figure 4-2Figure 4-3Figure 4-4Figure 5-1Figure 5-2Figure 5-3Figure 5-4Figure 6-1Figure 6-2Figure 6-3Figure 6-4Figure 7-1Figure 7-2Figure 7-3Figure 9-1Figure 9-2Figure 9-3Figure 9-4Figure 9-5Project without a Project Manager . 4Project with a Project Manager . 5Typical Project Life Cycle – Traditional Design/Bid/Build.9Capital Improvement Planning Process . 13Capital Improvement Plan . 14Components of a Capital Improvement Plan. 17Financial Plan – Balance Funding Sources to Capital Improvement Plan CapitalExpenditures . 18Project Requirements Definition . 22Typical Engineering and Construction Project Resource Needs . 23Project Delivery Strategies . 25Sharing of Control and Risk Between Owner and Contractor for AlternativeDelivery Strategies. 26Project Management Plan Outline . 28Typical Project Development Process Overview . 43Information Required for Probable Categorical Exclusion Projects (23 CFR Section771.117(d)) . 44NEPA Process: An Overview . 45Acquisition Process . 55Design Criteria Document Online . 60Design Review Comment Register . 64Value Engineering Study Task Flow Diagram . 67Example of a Risk Register . 70Project Organization, Assigned Authorities, and Lines of Communication forConstruction . 79Agency and Construction Manager Functions During Construction. 81Changes During Construction/Contractor Compensation . 85Guidelines for Managing Communications . 87Typical Responsibility Matrix for Commissioning Tasks (Design- Bid-Build Delivery). 95Typical Equipment Commissioning List . 96Typical O&M Manual Content . 101Project Control Triangle. 108Work Breakdown Structure, Maintenance Facility Project. 110Cost Control Report, Maintenance Facility Project. 113Precedence Diagram and Critical Path, Maintenance Facility Project . 115Typical Baseline Documents . 127FEDERAL TRANSIT ADMINISTRATIONiii

FOREWORDThe Federal Transit Administration (FTA) sponsored and developedthe Construction Project Management Handbook to provideguidelines to public transit agencies undertaking substantialconstruction projects either for the first time or with little experiencein construction management. Gannett Fleming, Inc., a nationalengineering and construction firm, developed this Handbook undercontract to and with guidance from the FTA Office of Technology.Project managers consisted of Dale Wegner of FTA and Kam Shadan,P.E., of Gannett Fleming, Inc.This Handbook provides comprehensive coverage of constructionproject management, including the applicability of the principles ofproject management and of all phases of project development insequence and in separate sections – from project initiation throughplanning, environmental clearance, real estate acquisition, design,construction, commissioning, and closeout. The Handbook will be ofuse to transit agencies and their consultants, the FTA Regional Offices,and others responsible for the management of capital projectsinvolving construction of transit facilities or systems. The study isorganized to provide the transit agency and the project manager with aclearer understanding of the applicability of the structures andprinciples of construction project management.ACKNOWLEDGMENTSThe FTA Construction Project Management Handbook update wassponsored and managed by FTA’s Office of Technology. The leadauthor for the update was Kam Shadan of Gannett Fleming, Inc., anational engineering and construction management firm withspecialized expertise in transit project planning, design, andconstruction. Others providing specialized input included: WilliamPlumpton (Gannett Fleming), Michael Eidlin (Kal Krishnan ConsultingServices), David Sillars (Sillars), Paul Krogh (K2 ConstructionConsultants), Dain Pankratz (Boyd Caton & Grant), Robin Hazy (RaulV. Bravo Associates), Lee Hamre (H.C. Peck & Associates), and KateBerrigan (Gannett Fleming), technical editor.Throughout this update, FTA’s Dale Wegner provided significantreview and content modifications. Selected FTA subject matterexperts were asked to review various sections of the initial draft of theHandbook and offer comments, and did so to varying degree withcomments taken into consideration.FEDERAL TRANSIT ADMINISTRATIONiv