FTA Construction Management Handbook 2016

1 Construction project Management Handbook FEBRUARY 2016 COVER PHOTO Edwin Adilson Rodriguez, Federal Transit Administration DISCLAIMER This document is intended as a technical assistance product. It is disseminated under the sponsorship of the Department of Transportation 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 because they are considered essential to the objective of this report.

2 This Handbook is intended to be a general reference document for use by public transportation agencies responsible for the Management of capital projects involving Construction of a transit facility or system. This document is disseminated under the sponsorship of the 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 because they are considered essential to the objective of this report. METRIC CONVERSION TABLE SYMBOL WHEN YOU KNOW MULTIPLY BY TO FIND SYMBOL LENGTH in inches millimeters mm ft feet meters m yd yards meters m mi miles kilometers km VOLUME fl oz fluid ounces milliliters mL gal gallons liters L 3ft3 cubic feet cubic meters m yd3 cubic yards cubic meters m 3 NOTE.

3 Volumes greater than 1000 L shall be shown in m3 MASS oz ounces grams g lb pounds kilograms kg megagrams T short tons (2000 lb) Mg (or "t") (or "metric tons") TEMPERATURE (exact degrees) 5 (F 32)/9 oF oCFahrenheit Celsius or (F 32) REPORT DOCUMENTATION PAGE Form Approved OMB No. 0704-0188 Public reporting burden for this collection of information is estimated to average 1 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to Washington Headquarters Services, Directorate for Information Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302, and to the Office of Management and Budget, Paperwork Reduction project (0704-0188), Washington, DC 20503.

4 1. AGENCY USE ONLY 2. REPORT DATE February 2016 3. REPORT TYPE AND DATES COVERED September 2008 - February 2016 4. TITLE AND SUBTITLE Construction project Management Handbook : February 2016 5. FUNDING NUMBERS FL-26-7110 6. AUTHOR(S) * Kam Shadan and William Plumpton (Gannett Fleming), Michael Eidlin (Kal Krishnan Consulting Services), David Sillars (Sillars), Paul Krogh (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 Park 881 Sneath Lane, Suite 210 San Bruno, California 94066 8. PERFORMING ORGANIZATION REPORT NUMBER FTA Report No. 0015 9. SPONSORING/MONITORING AGENCY NAME(S) AND ADDRESS(ES) Department of Transportation Federal Transit Administration East Building 1200 New Jersey Avenue, SE Washington, DC 20590 10.

5 SPONSORING/MONITORING AGENCY REPORT NUMBER FTA Report No. 0015 11. SUPPLEMENTARY NOTES *Assisted by Lee Hamre ( Peck & Associates) and Kate Berrigan (Gannett Fleming). Document replaces previous editions dated August 2007, September 2009, May 2011, and March 2012. 12A. DISTRIBUTION/AVAILABILITY STATEMENT Available online at 12B. DISTRIBUTION CODE TRI-20 13. ABSTRACT The 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 Construction project Management . It provides a comprehensive introduction to Construction project Management , including the applicability of 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.

6 This Handbook provides guidance similar to that in earlier documents but tailored more to agencies that are constructing maintenance and operational facilities, 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 build a new bus maintenance facility. 14. SUBJECT TERMS Construction project Management , guidelines, checklists 15. NUMBER OF PAGES 178 16. PRICE CODE 17. SECURITY CLASSIFICATION OF REPORT Unclassified 18. SECURITY CLASSIFICATION OF THIS PAGE Unclassified 19. SECURITY CLASSIFICATION OF ABSTRACT Unclassified 20. LIMITATION OF ABSTRACT None CONTENTS Section 1.

7 1 Purpose of the What is a project ? ..3 Principles of project Management ..10 Section 2. Capital Projects Planning .. 12 Purpose of this Section ..12 Integrate Agency Goals into Capital Improvement Plan ..14 Evaluate and Select Capital Assets for Capital Improvement Plan ..16 Where to Find Additional Help and Resources ..19 Section 3. project Initiation .. 20 Purpose of this Defining the project ..21 Planning the project ..22 Contract Management Planning ..32 Safety and Security Management Planning ..33 Other Where to Find Additional Help and Resources ..37 Section 4. Planning, Environmental Clearance, Real Estate Acquisition .. 38 Planning Environmental Compliance ..43 Real Estate Acquisition and Relocation ..53 Entitlement ..54 Where to Find Additional Help and Resources.

8 54 Section 5. Design .. 56 Purpose of this Design Phases ..58 Design Management ..62 Design Third-Party Coordination ..65 Value Engineering ..66 Peer Reviews ..68 Constructability Reviews ..68 Risk Assessment ..69 Quality Assurance and Quality Control ..72 Sustainability (Green Building) Standards and Design ..73 Sustainability (Green Building) Certification ..75 Where to Find Additional Help and Resources ..76 FEDERAL TRANSIT ADMINISTRATION i Section 6. Construction .. 77 Purpose of this Section ..77 Construction Management ..79 Third-Party Coordination ..88 Quality Management ..89 Safety Management During Construction ..91 Where to Find Additional Help and Resources ..92 Section 7. Commissioning .. 93 Purpose of this Section.

9 93 The Commissioning Plan ..96 Owner-Furnished Equipment ..98 Integrated Testing and Start-Up ..99 Safety and Security Certification ..99 Operational and Maintenance Manuals .. 101 Training and Transition to 102 As-Built Documentation .. 102 External Stakeholder Reviews .. 103 Post-Delivery Audit for Rolling Stock .. 103 Warranty 103 Where to Find Additional Help and Resources .. 103 Section 8. project Closeout .. 104 Purpose of this Section .. 104 Contractual Closeout .. 104 Administrative Closeout .. 106 Where to Find Additional Help and Resources .. 107 Section 9. project 108 Purpose of this Section .. 104 project Control .. 104 project Administration .. 104 Procurement and Contract Administration .. 104 project 104 Records 104 Section10. Appendix A: FTA Office Locations.

10 129 Appendix B: Checklist - Readiness to Enter Engineering .. 132 Appendix C: Checklist -Readiness to Execute SSGA/FFGA .. 140 Appendix D: References .. 156 Appendix E: 164 Index .. 166 FEDERAL TRANSIT ADMINISTRATION ii FIGURES Figure 1-1 project without a project Manager .. 4 Figure 1-2 project with a project Manager .. 5 Figure 1-3 Typical project Life Cycle Traditional Design/ Figure 2-1 Capital Improvement Planning Process .. 13 Figure 2-2 Capital Improvement Plan .. 14 Figure 2-3 Components of a Capital Improvement 17 Figure 2-4 Financial Plan Balance Funding Sources to Capital Improvement Plan Capital Expenditures .. 18 Figure 3-1 project Requirements Definition .. 22 Figure 3-2 Typical Engineering and Construction project Resource Needs .. 23 Figure 3-3 project Delivery Strategies.