Project Management View from Rail Transit Programs and Projects

While it may seem obvious, records management is critical for day-to-day project management as well as post-project completion data mining for contract claims and closeout processes, and for post-project Lessons Learned for planning future projects. The content and format for records management and retention is determined by a combination of sources including: A) Organizational internal policies and procedures, including contracting and legal requirements. B) Project management office requirements and processes. C) Funding source and partner requirements. D) Contract requirements. E) Professional Engineering License requirements

Electronic medium for files has all but replaced hard-copy printed on paper documents, which not too long ago. Paper copies of project documents – contracts and correspondence, drawings, specifications, calculations, schedules, estimates and monthly reports, were the standard medium used for program/project central file systems. As noted in PMBOK, records management is a system that provides an organized mechanism for storing and retrieving project documents. It may also be coordinated with a project information system. Whether manual or automated, paper or electronic medium, the system used must capable of integrating several forms of documents and software applications used throughout the project.

Emails continue to be the most used form for receiving or sending project documents. As a result, the records management system must integrate Emails.

Establishing an integrated system for project documents is essential for managing day to day work but it is used across all areas of PMBOK and Construction Extensions. Project documents are used also for accessing and retrieving project records for validating scope, assembling data for progress reports, calculating earned value, verifying and authorizing changes and payments, assessing quality compliance, closing procurements, and resolving claims. Based on my experience, here are the good practices for several types of records on a project.

Project files should be aligned with the topics contained in the Project Management Plan/Charter or the Owner’s Project Plan. Typical topics include scope/project plan, project changes, division of work, contract (s), overall schedule and milestones, budget and expenses, estimate and task breakdown, project invoices, monthly project reports, procurement and materials, public affairs/presentations, risks, quality control and quality assurance, safety/security, and community outreach. Here is a top-level framework of folders:
1. Project Development and Requirements
2. Standards, Regulations, Code Compliance
3. Project Scope/Plan Book
4. General Project File
5. Schedule
6. Budget
7. Progress Reports
8. Contracts
9. Material Procurement
10. Project Invoices
11. Quality
12. Drawings and Specifications
13. Safety/Security
14. Risks

Contract files for each contract should be aligned with the topics and performance indicators in the Monthly Progress Report. Typical topics cited include contract changes, invoices and payments, schedules, progress reports and photographs, correspondence, submittals and deliverables, test and inspections, quality control and quality assurance, safety/security, Request For Information, and contract claims. Here is a top-level framework of folders:
8.1.1 Contract Development
8.1.2 Contract Documents
8.1.3 Invoices
8.1.4 Schedule
8.1.5 Progress Reports/Schedule Updates
8.1.6 General/Request For Information
8.1.7 Submittals
8.1.8 Deliverables
8.1.9 Meetings
8.1.10 QA Manual
8.1.11 Safety Manual
8.1.12 Daily Reports

Email files should be consistent with at least the first level of topics on the Project and Contract files. Here is a framework of folders:
4.0 Project
4.1 General
4.2 Scope/Changes
4.3 Invoices
4.4 Schedule
4.5 Reports
4.6 Contract 1
4.7 Contract 2
4.8 Contract n

Electronic files are the business standard. This enables organizations to eliminate storage of paper files, which can take up significant floor space in the office. While this works well on documents that are needed a minimal number of times, it offers extensive challenges to project teams that need to retrieve numerous documents required to complete internal and external management and quality audits, scope verifications, contract closeouts, contract claims research, and project closeouts or contract claims research.

TIP: Due to the significance, the Project Manager should take an active role in establishing the system before delegating the records management task to other staff.

TIP: Code each document with the file folder number (s).

TIP: The detail and sophistication of records management should be balanced with the manpower required to store and retrieve the records.

TIP: The hierarchy of records is the project files, contract file and Email file.

TIP: To mitigate the risk of computer or network downtime, always be prepared with an alternate source for project records.

TIP: Organizational policies, procedures and corporate IT systems must account equally to storage and retrieval of Emails.

One of the most obvious and far reaching arteries in the body of the project Communication Plans are the reports from the project team and contractors. The content of these reports is the life blood of the communication network to provide readers with objective information on the health of the project and individual contracts contributing to project realization.

From my experience on design and construction projects in the rail transit industry, the progress reports issued by the Project Manager (PM) will define current status and identify key performance indicators throughout the project life cycle. In addition to management accountability, the reports become the historical records for future use in planning projects and contracts. The reports provide data that can be used for estimates, schedules, production rates, and durations for design and construction processes as well as other qualitative project management knowledge areas such as risk management, quality, safety, procurement planning and contract administration.

Depending on the targeted audience, the monthly progress reports by the PM can have many formats, varied levels of content detail and different publishing and distribution dates. Reports may be tailored for internal customers, funding partners, executive management and oversight consultants. However, it is imperative that published reports use the same data base so that metrics match from report to report for the same reporting period.

Project Monthly Report content may include categorized topics such as: A) Project Scope/Description of Work/Project Changes. B) Summary Schedule/Project Milestones. C) Project Progress – Planned and Actual, Intermediate (Contractor) Milestones. D) Current Status-Reporting Period. E) History of Completed Work Milestones. F) Financial – Budget and Expenses. G) Other: Contingency Management, Contract Management, Risk Management, Resource Management.

Contractor Monthly Progress Report content may include categorized topics such as: A) Executive Summary, Contractor PM Assessment, and Issues Affecting Progress. B) Contract Scope/Description of Work. C) Summary Schedule/ Contract Milestones. D) Contract Progress – Planned and Actual. E) Subcontractor Milestones. F) Current Status-Reporting Period. G) Status Section – Critical Issues, Correspondence, Submittals, Deliverables, Contract Changes, Invoices. H) Financial Summary – Contract Amount, Payments, Proposed Changes. I) Other: Resource Management, Quality, Safety, Materials Management, Code Compliance. J) Attachments: Progress Photographs, Schedule, Logs, Certifications.

Good Practices for Monthly Reports
• Identify Project report requirements in the Project Management Plan (PMP)-Communication Plan, and in Project Management Office (PMO) procedures
• Specify Contractor report requirements contract documents
• Assure Key Performance Indicators (KPI) complement all type reports and supporting data is available to PMO and PM
• Ensure content, format, and language is consistent across all reports
• List contact information for PM and other primary content contributors

Good Practices for Distribution and Review
• Use a standard list of recipients including all project team members, designated PMO officers, and other targeted audience
• Distribute in a format that is readable across electronic medium such as tablets, and iPhone
• Discuss monthly reports at project/progress meetings
• Transmit reports with cover letter that summarizes PM cursory comments and assessments, items of interest, and items requiring project team action

TIP: KPIs that reflect unfavorably for multiple reporting periods and across significant number of projects in a program should be re-assessed against original assumptions.

TIP: PMO procedure should identify variance thresholds for KPI and planned/actual metrics where reports are required to specify PM project performance assessment and corrective action.

TIP: Photographs should integrated in reports and they should be updated for each reporting period, captioned, and reasonably reflect field conditions - no more than one month earlier.      

NEW TIP:   Report format, content and distribution cycle should be aligned with the client’s unwritten expectations.

NEW TIP:    Distribution cycles should be timed to allow the readers to assess project health, undertake action and initiate decisions with the best data available.    Some reports are published 10 calendar days after the reporting period (Best), while others may be up to 10 weeks after the reporting period (Worst).  

NEW TIP:   Metrics and content should be rigorously tested and validated against leading indicators such as:  A) % Earned Value Remaining VS % Project Duration Remaining.   B) Manpower Headcount Available VS Manpower Headcount Required.    C)  % Budget Remaining VS % Project Duration Remaining. 

By following an established plan, project managers routinely communicate with the team, stakeholders, contractors, consultants, technical contributors, projects sponsors and funding partners. In rail transit projects there is added consideration to the system users/pre-paid customers, system operating personnel, agency oversight, public officials, and communities that are served and impacted by the system.

Most rail transit agencies have a Community Affairs/Government Relations Department or assigned designee that is responsible for dealing with external entities. As part of the communications plan, project managers will be assisted by the in developing letters, press releases, newspaper ads, posters, brochures, and videos that will targeted to specific audiences and timed for issuance with critical milestones of the project. While these communications are normally tied to the project schedule, project managers will also need to respond to complaints or inquiries at any given time.

Public outreach plans and deliverables for project will likely follow the agencies standard format and contents, and include contact information for a designated representative – not necessarily the project manager. The content and purpose of each deliverable will be targeted to the audiences, such as Community, Public officials, Customers, and On –Site visitors. Each deliverable may have unique content. The core topics may consist of project description, overall schedule and milestones, benefits to the community and customers, impacts to customers and the community during work periods, and contact information for corporate spokespersons.

Good Practices for Outreach
• Create a strategic plan for creating and distributing deliverables that allows adequate time for development and issuance that is timed with project milestones
• Ensure project records are collected to support outreach content with photographs
• Collect quotations from project team members, stakeholders, contractors, consultants, technical contributors, projects sponsors, funding partners, Subject Matter Experts and oversight consultants
• Consider other topics such as innovation methods implemented by the project, such as a contracting process, goals/opportunities for minority or disadvantaged business, resiliency feature in the project design, and benefits to the local construction industry
• Coordinate content with other corporate plans and content for marketing and sales
• Assure project team members are trained in effective communications and situational techniques for speaking with the public.

TIP: While mega-projects are most likely to have an extensive outreach even small projects may need outreach.

TIP: Treat your project as a brand for the Client, consultant, contractor and individuals involved.

Good Practices for Deliverables
• Assure content is consistent with other project documents such as Project Charter, Project Management Plan and external project reports
• Ensure deliverables indicate a data date so the content is time scaled
• Cite statements from Subject Matter Experts and oversight consultants
• Have copies of deliverables at work locations for project team designee distribution to visitors.

TIP: Have a one-page sheet of Frequently Asked Questions and Answers available on-site so the project designee is prepared to discuss the project with visitors.

TIP: While mega-projects are most likely to have an extensive outreach even small projects may need a internal/external website to share information with internal customers and interested parties and with external public customers and interested parties, oversight and government officials, transportation advocates and politicians.

TIP: On a daily basis, ensure there is a project representative designated on-site to address visitor comments, questions or complaints.      

Based on my experience in project management on rail transit projects, here are my best practices on field monitoring construction, which were compiled from work on capital projects for railroad infrastructure.

More often than not, most rail transit projects include multiple construction contracts and the use of railroad construction trades (referred to as Force Account - FA) to perform work over a vast project site. The work locations will change as work progresses and there not always barricades or work zone fences to protect the work site nor is there an on-site project office. All work is performed on the Right-Of-Way (ROW) with train service maintained for customers. Each active work location will be controlled by the individual FA work crews or by Contractors with appropriate railroad construction managers, protective services for track outages and power outages, safety escorts and/or flag protection services where sites have moving trains or on-track vehicles.

Contractors and FA will provide full supervision on site to create and safe and secure environment and to assure work performance meets schedule, work quality and safe work practices. Additionally, Contractor’s will submit a Safe Work Plan and detailed site specific work plans for each work location, and as specified by contract or purchase order, will assign Safety and Quality Managers to supplement supervision and project management. FA will establish a dedicated Safety Manager, and assign FA Managers accountable for monitoring of quality and safe work practices of in-house forces. FA will also assign personnel for inspection and acceptance of work performed by Contractors.

While contracts include Monthly Progress Reports and Meeting Minutes, these documents alone do not provide a continuous daily record of project work. Although there may be no fixed office, contractors maintain on-site logs and records of construction activities. However, these documents are not always available or accessible to project managers and other team members, who may be located at a project office miles from the work location. As a result, the daily construction oversight by project management (PM) personnel (or designated staff and GEC consultants) is critical to filling communications gaps and providing the project management staff with daily reports on activities in the field. The field activities will consist of:
• Reviewing Daily Field Reports from contractors and FA
• Visiting active work sites to observe safe work practices, signage and safety equipment, and to assess work means and methods
• Inspecting and recording contractor or FA compliance with construction documents
• Submitting field reports and coordinating observations with project controls and quality personnel
• Assuring controls for the entry and exit of personnel, equipment and materials at each work location
• Supervising activities of all visitors to site, including Independent Testing Agencies (ITA), mark-out contractors, safety officers/inspectors, code compliance officers, and FA/owner inspectors

Plan for Field Conditions
Field work on railroad construction project can vary greatly as will conditions regarding field offices and access to equipment and facilities for monitoring activities. For work on train stations, shops and yards and electrical substations, the site can usually be a fixed area where a fence can be erected to secure and control the work zone. The area will also allow for project offices, employee facilities, parking, and storage for materials, tools, and equipment.

However, for infrastructure systems such as track, power, signal and communications, the work area can cover miles of ROW. With the work zone and access changing daily with progress, there is no fenced work zone or offices available for meetings, administrative work and employee lockers. As a result, contractors, ITAs, construction managers and project oversight need to adapt. This typically means carrying the essential contents of the project office with them in vehicles, such as contract documents, safety equipment, telephones, test equipment, and outreach information. All other project offices activities will be performed at home office locations or designated headquarters.

Good Practices for Field Activities
• Conduct site walkthroughs at the start and end of the workday
• Observe and assess safe work practices and site housekeeping
• Verify work activity comply with the contract requirements
• Participate in job briefing and safe work meetings
• Assure work activities respect and minimize inconvenience for the day to day interaction with parties outside the work area
• Take and transmit photographs to main offices throughout the workday showing progress, field conditions, safe work practices and quality checks
• Submit Daily Field Reports to main offices by close of business or before next day start-up
• Notify the PMO and as needed, local authorities of any vandalism or stolen property

TIP: Always have access to the contract documents, approved work plans, and utility mark-outs, and use them while observing work. As needed, cite them in verifying compliance or providing field direction.

TIP: To aid in reporting of vandalism and stolen property, contractors should maintain descriptions and serial numbers of equipment and tools stored at the site.

TIP: Conduct telephone status meetings with main office at the start and end of workday.

Good Practices for Field Reports
• Document Timeline of progress throughout the work period
• Identify all subcontractor and visitors to the work site
• Record verbal reports from conducting special inspections by ITAs or Owner/FA representatives
• Correlate observations to specific contract requirements
• Indicate results from pre-construction field surveys and mark-outs

TIP: Record field direction to contractor from differing field conditions, including underground utilities not shown on mark-outs by in-house asset management or by outside “One Call” contractors hired on behalf of outside utilities/companies with assets in the construction work zone.      

From other discussions in November 6, 2016, my Project Management .com colleagues provided constructive feedback on best practices centered on communications. The feedback, paraphrased below, was in response to best practices for project/progress meetings and they reflected a focus on expectations for project team member performance.

If they stay silent at the meetings, they don’t need to be there.

We don’t need another checklist, we need a list of good skills and examples.
 

Project performance can be measured by various project metrics.  But the realization of the project is dependent on the Project Manager (PM) and the project team working to achieve the project goals.   Whether assigned or selected specifically by the PM, team members need to understand, buy into, and commit to striving to meeting the expectations of the PM, other team members and program management.   Depending on the organization, the PM's expectations may need to be balanced with functional managers, who may have their own expectations for the team members with dual project and operational roles and responsibilities.  

Prompted by the feedback,  here are some good practices for project team members:
• Commit to the Project, the Project Charter and the Project Management Plan
• Demonstrate core values and competence for your assigned role and responsibilities
• Lead by example and develop a positive reputation centered on teamwork and professionalism
• Acquire and share knowledge on the business of the group you represent
• Attend, be prepared to report progress, and contribute at all meetings
• Undertake and follow-up on action items assigned from meetings or other project team requests
• Communicate proactively during and in between scheduled meetings, and coach less experienced team members
• Update your supervisor on project progress and share project documents within your organizational silo
• Provide timely feedback and comments as requested on submittals and deliverables
• Take responsibility for actions, deliverables and decisions assigned to the group you represent
• Send updates to the project team for meetings you are unable to attend
• Thoroughly review all correspondence before sending replies

Practices to avoid:
• Arriving late to meetings
• Going off-topic at meetings
• Failing to respond to requests by due dates
• Ignoring voice mails from team members
• Sending replies to Emails with “Sent by IPhone”