Project Management View from Rail Transit Programs and Projects

A punchlist is most common in the construction industry.  But it may be an overused term on prime contracts between Buyers and Sellers - when a simple To-Do-List might be more appropriate description for a tool construction managers (CM) use to monitor contractor progress toward achieving contract milestones.  

Punchlist is not normally part of the definitions in the construction contract Form.   As a result, Punchlist means different things to Sellers and Buyers.

Definition

From various sources of expertise, punchlist is described as:

• American Institute of Architects (A201-2017):  @ Substantial Completion – a comprehensive list of items to be completed prior to final payment.
• Design Build Institute of America (535): @ Substantial Completion - (ii) the remaining items of work that have to be completed before final payment.  
• PMI PMBOK Construction: the work items that are identified during a final inspection that need to be completed.
• Construction Coverage (website):  is a document created in the final stages of a construction project to provide a list of items that must be addressed before construction is considered complete and payment is issued.
• Merriam-Webster (dictionary):  a list of usually minor tasks to be completed at the end of a project.

Punchlist is interdependent with the progress of work by the Seller and the milestones specified by the Buyer in the Contract.  The milestones are typically contained in the General Conditions/Provisions (GCs) of a contract document.  Punchlist creation is associated with substantial completion and punchlist completion is associated with construction completion.   

Work Flow

Punchlist work flow:

1. Seller and Buyer's CM confirm to Buyer Project Manager work is substantially completed
2. Buyer's CM/Project Manager coordinates inspections by the Buyer's project team members and other stakeholders and creates a punchlist
3. Buyer's CM submits the punchlist for review and final edits by the project team and stakeholders
4. Buyer's Contracting Officer acknowledges substantial completion to Seller, submits the punchlist for Seller's corrective action by the construction completion date 
5. Seller and Buyer's CM confirm to Buyer's Project Manager all work is completed and achieved construction completion
6. Buyer's CM/Project Manager coordinates final inspections by the Buyer's project team members and other stakeholders to verify all items on the punchlist are completed
7. Buyer's Contracting Officer acknowledges construction completion and instructs Seller to demobilize and perform site restoration by the final completion/contract completion milestone.

Most US standard contract Forms, cite the requirements for substantial completion and construction completion in the General Conditions/Provisions regarding section related to Performance Schedule and Payments.   

Punchlist Content

The content of a punchlist should contain only minor touch-ups and repairs to installed/constructed work that is described by specific in-scope observations and the locations to be corrected for completion.   A punchlist that contains base scope items not yet installed or tested and operational is not acceptable and not suitable for meeting the completion milestone.   Items observed that are not in-scope will be deleted from the punchlist and be addressed by the Buyer through other project processes for changes to work. 

In addition to contract milestones and payments, an acceptable punchlist that the Buyer determines meets the substantial completion requirements is often tied to incentives and liquidated damages.   Meeting substantial completion is also related to other contract requirements. 

Punchlist Interfaces

Interfaces with other contract requirements in the work flow include:  Item 4-After substantial completion, Seller and Buyer can initiate reconciliation of incentives and liquidated damages.  Buyer can suspend consideration of all potential changes, instruct Seller to demobilize and to perform site restoration by the final completion/contract completion milestone, request Seller to submit deliverables such as O&M Manuals, As-Built Drawings Package and Warranties, and if applicable, release performance bonds.   Item 5-After construction completion, Seller and Buyer can initiate the contract closeout.  Item 7-After demobilization, Seller can reduce insurance coverage.

TIP:   A punchlist should only be submitted once by Seller and reviewed by Buyer for completeness an accuracy.  Thereafter, it is locked down.  No items can be addressed.  Items can only be verified as completed and closed.  

TIP:  All items on the punchlist should be addressed and closed by the Sellers within a period that avoids the risk of further damage or new conditions that requires corrective action. 

TIP:    For Buyer’s, including their construction managers, that require in-progress punchlists to assess the contractor’s physical work relative to the construction substantial completion milestone, a more granular definition of punchlist may be needed.  Here are some proposed definitions that can provide guidance to Buyer and Seller as the punchlist changes with the progress of construction.

• In-Progress/Preliminary Punchlist:   List of remaining work and corrections prepared and submitted prior to the milestone for substantial completion, and it may contain items that are part of the base scope but not yet installed and tested.  This Punchlist is submitted as information, and it represents Buyer and Seller  in-progress inspection observations from multiple parties.   This Llist is monitored until substantial completion is achieved by the Seller.   
• Formal Punchlist:  List of remaining work and corrections is mutually prepared by the Buyer, Buyer’s construction manager, and Seller after substantial completion, which represents the work is ready for it intended use, all tests are completed and all work is operational.   This Punchlist is submitted for review and comments by Buyer.   Concurrently, Buyer will schedule a walkthrough inspection by the Buyer and all end user representatives to compile a complete punchlist.  This List with comments resolved will be the official list of remaining work.
• Final Punchlist:  List of items confirmed completed by the Seller and confirmed completed by Buyer or Buyer’s construction manager.  This Punchlist is submitted for Buyer Sign-Off along with a request by Seller  for final walkthrough.   The Buyer arranges for all parties to attend for sign-off that all items on the punchlist.    Sign-off of this Punchlist is the predecessor to Buyer’s acceptance of the Seller’s work, which is an interdependency of criteria for completing the contract closeout.   

TIP:   An observation listed on the punchlist should identify the inspecting agency/inspector name and date, cite the specific location (s) and the drawing/specification/code, and describe the needed correction to meet with the contract requirements, approved shop drawings or other industry standards for the type of work.

TIP:  The punchlist observations should be actionable and the description begin with words such as repair, replace, adjust, touch-up, polish, remove, rebalance and clean.  Items with words such as install, test, paint, fill, energize, backfill and connect may indicate that base scope is not yet completed. 

At the expenses of Buyer’s input regarding comments, clarifications, and managerial integration, the mantra on Mega Projects – many that include Design Build (DB) delivery, is to stay out of the Seller’s way, reinforce the risk owned by the Seller and avoid negatively affecting the Seller’s Production, Schedule Progress and End Date.  

Projects using DB are also more susceptible to Buyer’s tendencies that replace the planned flexible collaboration with practices that minimize or soften Buyer’s feedback and that base decision making almost solely driven by perceived impact on Seller’s production metrics.  All while the Buyer retains the position that the Seller is proceeding at its own risk regardless of the Buyer’s review of submittals, schedules and execution plans.

Additionally, Mega Projects by virtue of size, cost, duration and impact to a community or region become highly influenced by executives, funding agencies, government officials, communities and advocacy groups.  The influencers may have their own biases and self interests to inject into the project environment through continuous affirmations on performance, such as “The project is on-budget, ahead of schedule and we are doing more work.”

Under this environment, managing projects or a program of projects will test the Buyer’s project management oversight and the strength of the Buyer’s project team and its strategy in managing the Seller.   The strength and resourcefulness in the management strategy will affect the Seller’s compliance with the contract and in meeting the Buyer’s quality expectations for the products and deliverables at project completion.

It may not be what you want but it’s on time and on budget

Metrics are tools for assessing progress and for determining areas at risk for compliance with requirements for scope, cost, schedule, quality and safety.  In order to implement project management plans, project teams identify and monitor Key Performance Indicators (KPIs.)   This is no different than the tools and techniques in Project Management Institute’s (PMI’s) Project Management Body of Knowledge (PMBOK.)   However, a large volume of metrics can distract teams from the main KPIs.  Additionally, it also absorbs scarce resources and time to report, explain variances and develop actions for correcting under-performance or for making decisions from over-performance.    

More so than any other project delivery method, DB projects are executed because of the benefits to the Buyer from the Seller’s use of innovative designs, alternative materials, unique means and methods, innovative use equipment and techniques, and the continuous implementation of aggressive scheduling for maximizing progress.   However, DB projects are dependent on minimal input from the Buyer and the Project Manager (PM.)   DB requires the Buyer to optimize basic management practices to avoid disrupting the Seller’s schedule.   This may limit PM’s time and actions from thorough assessments of the Seller’s submittals, work progress and KPI trends.  As a result, the focus on Production, Schedule Progress and End Date may overshadow the PMs diligent use of all the pertinent tools and techniques in project management including PMBOK knowledge areas and PMI’s practice standards.    

Its about the Project and the Buyer

Once this type modus operandi is demonstrated on a project, there is a high risk all silos in the Buyer’s project management organization will proceed in isolation and focus exclusively on their KPIs.   While Integration is an essential PMBOK Knowledge Area, it may be perceived as complicating processes and documentation, and therefore is a risk to scheduled progress by the Seller.   It also dilutes the PM’s role as known from PMI’s foundation standard and best practices for project management.   This creates an environment that works in favor of reporting uncontested metrics, and it ultimately fractures the Buyer’s authority and project management functions.  But it may benefit the influencers, stakeholders and political officials seeking to exclusively report  “The project is on-budget, ahead of schedule and we are doing more work.”

A PM’s assignment to a project includes a commitment to principles, due diligence and applying expertise to management processes and practices for all PMBOK Knowledge Areas:

Buyer’s, and their funding partners, expect PMs to be highly knowledgeable in project management and that he/she will oversee and continuously exercise effective managerial control, leadership and decision making across each Knowledge Area.   The ideal PM should have significant experience on similar projects and delivery methods and be highly aware of the interfaces and interdependencies between each area – aka Integration.    The Buyer must assure the selected PM is well rounded and highly skilled in adapting to the Buyer’s organization and the project business case   This avoids potential risks from limitations in the PM’s project experience and expertise, including familiarity with the delivery method and contracting approach.     

For the role of the project manager, PMI lists the following for knowledge and skills:

“The project manager is not expected to perform every role on the project, but should possess project management knowledge, technical knowledge, understanding and experience.  The project manager provides the project team with leadership, planning, and coordination through communications.  The project manager provides written communications (e.g. documented plans and schedules) and communicates in real time with the team using meetings and verbal or nonverbal cues.”

A PM that is a great communicator without strong experience of Integration with the other PMI Knowledge Areas may create blind spots.   If the PM exclusively focuses on particular areas, shortfalls in management effectiveness will quickly manifest in poor KPIs and missed milestones.  

On Mega Projects, the complexity of the Project team organization may create numerous dashboards and KPI metric tracing.  While an effective tool, the volume of dashboards may obscure critical information on project performance and critical factors and issues.  As a result, there is risk that project leadership misses trends in KPIs, which could otherwise be identified and managed with less dashboards but more targeted dashboard.           

If you see a performance shortfall do something

ANSI – American National Standard complements PMI-PMBOK:

“In addition to any specific technical skills and general management proficiencies required for the project, project managers should have at least the following attributes:

• Knowledge about project management, the business environment, technical aspects, and other information needed to manage the project effectively,
• Skills needed to effectively lead the team, coordinate the work, collaborate with the stakeholders, solve problems and make decisions,
• Attributes to develop and manger scope, schedules, budgets, resources, risks, plans, presentations and reports, and,
• Other attributes required to successfully manage the project, such as personality, attitude, ethics and leadership.

On the other hand, if trends are not recognized, PMs need to diligently review and monitor underperforming, high performing or stagnant KPIs, be prepared to decide on recommendations for action, and to executive implementation plans.   Eventually, PMs and project leadership will need to execute actions to improve poor and stagnant performance and to make decisions on opportunities from high performance.   

PMs have a unique role and set of competencies that are attained through education, life time learning, project experience, job responsibilities, and certifications and licenses. Cumulatively, the quality of the PM’s services and deliverables has a direct impact on project performance, including Production, Schedule Progress and End Date.   PMs and project teams with gaps in PMI Knowledge Areas will create unneeded risk throughout the project life cycle.  

Credibility and Obligation to Buyer and Profession

Regardless of the project delivery method, PMs that do not recognize the interfaces and interdependencies between PMI knowledge areas may create unnecessary risk to project success.   Project professionals are obligated to recognize shortcomings and plan accordingly to counter-balance the project team with needed Subject Matter Experts.  As project management professionals, Project Managers and team members must understand the standards for their performance on projects.  

PMI Code of Ethics for project practitioners is a global standard for project, program and portfolio management.  The Code, which applies to all practitioners including those that do not have PMI Certification, is available at PMI.org.

Below is an excerpt of the relevant sections:

2.1 Description of Responsibility

Responsibility is our duty to take ownership for the decisions we make or fail to make, the actions we take or fail to take, and the consequences that result.

2.2 Responsibility: Aspirational Standards

As practitioners in the global project management community:

2.2.1 We make decisions and take actions based on the best interests of society, public safety, and the environment.

2.2.2 We accept only those assignments that are consistent with our background, experience, skills, and qualifications.

2.2.3 We fulfill the commitments that we undertake – we do what we say we will do.

2.2.4 When we make errors or omissions, we take ownership and make corrections promptly. When we discover errors or omissions caused by others, we communicate them to the appropriate body as soon they are discovered. We accept accountability for any issues resulting from our errors or omissions and any resulting consequences.

2.2.5 We protect proprietary or confidential information that has been entrusted to us.

2.2.6 We uphold this Code and hold each other accountable to it.

3.1 Description of Respect

Respect is our duty to show a high regard for ourselves, others, and the resources entrusted to us. Resources entrusted to us may include people, money, reputation, the safety of others, and natural or environmental resources. An environment of respect engenders trust, confidence, and performance excellence by fostering mutual cooperation—an environment where diverse perspectives and views are encouraged and valued.

3.2 Respect: Aspirational Standards

As practitioners in the global project management community:

3.2.1 We inform ourselves about the norms and customs of others and avoid engaging in behaviors they might consider disrespectful.

3.2.2 We listen to others’ points of view, seeking to understand them.

3.2.3 We approach directly those persons with whom we have a conflict or disagreement. 3.2.4 We conduct ourselves in a professional manner, even when it is not reciprocated.

4.1 Description of Fairness

Fairness is our duty to make decisions and act impartially and objectively. Our conduct must be free from competing self interest, prejudice, and favoritism.

4.2 Fairness: Aspirational Standards

As practitioners in the global project management community: PMI Code of Ethics and Professional Conduct

4.2.1 We demonstrate transparency in our decision-making process.

4.2.2 We constantly reexamine our impartiality and objectivity, taking corrective action as appropriate.

4.2.3 We provide equal access to information to those who are authorized to have that information.

4.2.4 We make opportunities equally available to qualified candidates.

5.1 Description of Honesty

Honesty is our duty to understand the truth and act in a truthful manner both in our communications and in our conduct.

5.2 Honesty: Aspirational Standards

As practitioners in the global project management community:

5.2.1 We earnestly seek to understand the truth.

5.2.2 We are truthful in our communications and in our conduct.

5.2.3 We provide accurate information in a timely manner.

5.2.4 We make commitments and promises, implied or explicit, in good faith.

5.2.5 We strive to create an environment in which others feel safe to tell the truth.

TIP:  Buyer’s Standard Division 1 contract specifications for consultant services and for contractor products include Quality Management as a standalone requirement.   No less important are the requirements for project management by consultants and contractors.   Buyers should add specifications for project management requirements in contract documents.

TIP:   Project Management Institute (PMI) is a standards, education and certifying organization that was created to advance the profession of project management throughout the globe.  It is a primary source for project management requirements.   Its standards and practices are developed by professionals with a wealth of project experience throughout the globe and across all industries.

TIP:   Most Buyer’s contract proposal requirements provide a specific list of key persons and their respective qualifications and minimum experience on projects similar to the scope, value and duration of the contract scope.  During the Buyer’s evaluation of proposals, the Seller’s PM should be evaluated and followed by an interview along with other key persons. 

TIP:  Ignorance and poor project management skills are not against the law. But it may affect the Buyer’s future access to government and private funding for the project,   It is an obligation of the Buyers or their designee to adequately and diligently check qualification of companies and key personnel, and to diligently monitor the performance of consultants and contractors on projects.   Buyer’s can not be silent to consultants and contractors that do not meet the performance standards and technical requirements in the respective contracts.

TIP:  Projects will always have challenges.   Not all of them may be resolved and end with Buyer’s satisfaction to scope, schedule and budget – PMI Triangle.  During Lessons Learned processes, oversight consultants and project forensic professionals will focus on the adequacy, competence, and managerial effectiveness of the project management team, which can be the Buyer’s personnel or hired consultants.  

On a recent bridge project, the infiltration of water through the decking to the roadway underneath was obvious.   A field visitor to the bridge after a heavy rain expressed dissatisfaction and suggested the bridge was like a car wash.   Another stakeholder sent a terse Email indicating an inspection was wasting people’s time because the waterproofing non-conformance was not corrected.   

Here is a project manager’s perspective on the three primary steps in the non-conformance process: 

Opening:         At this step, the contractor and quality group determined there is a non-conformance of the product/deliverables to meet the contract requirements.   A Non-Conformance Report (NCR) is created and distributed for engineer and quality group review.  (This can be preceded by an Observation, which is reviewed and confirmed to be a non-conforming condition.) 

Pending:          At this step, the contractor, engineer and quality groups agree on the required corrective action to resolve the described non-conformance.  Procedures and as needed, updated drawings or sketches are approved and ready for execution.    

Closing:           At this step, the contractor and construction manager agree the corrective action is completed and after testing, it is confirmed the work product/deliverables meet the contract.  Quality records are available to substantiate closing the NCR.

The NCR is an output for controlling non-conforming conditions on projects, which are based on contract requirements as well as industry standards by International Organization for Standards (ISO) and Project Management Institute (PMI).  The NCR is an integral part of a Project Quality Management System Plan (QMS) and the project approved Quality Manual from each consultant, contractor, vendor, manufacturer and independent testing agency. 

A sample contract might include the following QMS attributes, which can be customized to the contract scope such as design, construction, construction management and testing agency:

• Management Responsibilities
• Design [and/or Construction] Control
• Document Control
• Purchasing
• Supplied Items
• Product Identification and Traceability
• Process Control
• Inspection and Testing
• Inspection, Measuring and Test Equipment
• Inspection and Test Status
• Non Conformance
• Corrective Action
• Quality Records
• Quality Audits
• Training

While an NCR was written and the corrective action was agreed upon by the Engineer and product manufacturer regarding the bridge, there were delays in arranging the required work conditions for completing the corrective action.  Subsequently, the repair to the bridge waterproofing was not successful in resolving the drainage problem.  As a result, the same repair was scheduled for the future, which further increased the overall process duration.

There were no contract requirements or project level plans containing performance goals/durations for each step.    However, management for the contractor and PM oversight were questioning the number of open NCRs and the durations to closure.   Management perceived the durations for the NCRs were much too long.

The NCR process durations are a function of the work hours and conditions for each contract in a project.   As a result, each project and each contract may have different durations for the optimum project processes including NCRs. 

Factors affecting NCR durations:

• Proximity and access to the work location
• Priority of work by the Engineer and Quality team representatives
• Prescribed durations for response dictated by project document control goals
• Schedule for successor activities using the product and deliverable cited in NCR
• Conditions, including temperature, weather, and safe work environment, required for implementing the corrective action
• Availability of Independent Testing Agencies to physically confirm and generate a Report the corrective action are complete, successful and meet contract requirements.

Management of NCR performance should be based on historical data from previous experience with the process lifecycle provided by the Buyer’s organization on completed projects similar in scope, cost, schedule, complexity, contract types, and document control methodology.   Without prior experience, performance metrics may need to go through several trial periods based on the best estimate of the NCR work flow.

The estimated work flow should be developed, vetted and tested by the Buyer and Seller before implementing performance management/measurement of NCR durations.  An example for the NCR work flow and optimum activity timeframes for a rail transit project is below.  The process includes Field personnel identifying variances to requirements and  overseeing site work, Engineer to evaluate the NCR/Observation and determine the corrective action, Contractor to perform the corrective action and the Field personnel to confirm the corrective action meet requirements.  This example may be a useful framework across several industries.

Opening:         The activities in this phase are:

• Report observation to Quality group-Day 1
• Evaluate observation and determine if corrected by Construction group-Day 7 (NCR not required)
• Determine work was completed without correcting the variance to requirements-Day 14
• Initiate and complete NCR-Day 21

Pending:          The activities in this phase are:

• Submit NCR to Engineer for review-Day 22
• Conduct field inspection of conditions-Day 29
• Develop corrective action/contract change-Day 59
• Submit corrective action for Buyer review-Day 58
• Obtain Buyer approval on corrective action-Day 72

Closing:           The activities in this phase are:

• Notify Construction group to implement corrective action-Day 73
• Obtain materials and equipment for work-Day 87
• Complete corrective action work-Day 101
• Issue NCR confirming completion-Day 108
• Obtain Buyer approval on completion or work to requirements-Day 122

Accounting for the established review goals, processing time for document control, and the limited access to site locations, the optimum duration for NCR process = 122 days from initial Observation.   The potential metrics for monitoring performance are:   OPENING = 21 days from Observation.   PENDING = 51 days from NCR start.    CLOSING = 50 days from approval of NCR corrective action.

TIP:    PM should balance the work flow and activity timeframe to the specific project scope and durations common to the industry, the Buyer’s standard organization processes, and the review duration goals for document control/production.

TIP:    PM should evaluate the managerial and administrate effort by the Buyer and contractor to explain performance variances to goal durations, which may already be monitored and measurable by other means such as achieving contract and forecast milestones.  Typical milestones, including Substantial Completion, Construction Completion and Final Completion/Acceptance are dependent on closing NCRs and Observations. 

TIP:    Metrics and dashboards are proven management tools for monitoring project performance as well as organizational silos.  PM should assess the totality of the management dashboards so that the team, stakeholders, funding partners, community and political influencers remain focused on critical goals without distraction to tie up managerial resources explaining variances to goals on items that do not directly affect progress and achieving goals. 

TIP:    The performance on NCRs may not be as critical as other key indicators that more directly affect interdependencies on achieving operational use and final acceptance of the project product/deliverable by hard schedule dates and milestones.

TIP:   Project QMS and contractor/consultant Quality Manuals should clearly define the attributes for an Observation and Non Conformance.  Both work flows should provide checkpoints to eliminate nuisance and trivial items identified during routine in-progress inspections of work.  These items should be resolved by the Buyer’s and Seller’s supervision on-site.    

S.R. Covey’s Habit 2 from The Habits of Highly Effective People is -  Begin With the End In Mind.   This habit in personal effectiveness can be equally applied to project management inputs, tools and techniques, and outputs. 

For an experienced rail transit project professional, the path to the project success can appear very obvious.  However project professionals with less experience, and lesser familiarity with the business responsibilities of an Owner in the transport industry, may not recognize the connections between project management silos, the needed coordination with adjacent projects, or the Owner’s managerial approaches, decision making and performance metrics.  

Due to the scope, size and complexity of mega projects, many construction managers and project management consultants supplement services with software tools to manage the volume of records and knowledge created by contracts.   Some project management software tools allow project professionals to separate management functions into silos and segregate the silos for efficiency in executing project processes and deliverables driven by established performance metrics.   While this may help to organize the project work, responsibilities and personnel assignments, and to expedite production, it will need to be aligned with the Owner’s means, methods, organizational operating assets and processes used for the transport business.   

Project Management Institute’s – Project Management Body of Knowledge (PMI-PMBOK) reminds project managers that the project is a temporary endeavor, and as so, project managers need to adapt and effectively use the organizations existing business structures, organizational process assets and organizational business systems.   Following the life cycle of processes, the integration management by the Project Manger (PM) consists of:

• Develop Project Charter
• Develop the Project Management Plan
• Direct and Manage the Project Work
• Manage Project Knowledge
• Monitor and Control Project Work
• Perform Integrated Change Control
• Close Project or Phase

In some software tools, the management functions include design, construction, safety, quality, commercial, operations, outreach and safety/security.   And the technical reviewer assignments are separated into broad scopes of expertise, such as civil and structures, track and systems, stations and garages, commercial, and safety and security.  The software can also allow for delegation to other reviewers as well as to the Owner’s technical representatives with organizational responsibility for the scope that is the subject of the submitted documents.   Based on the typical rail transit organization, this can create overlaps as well as gaps in resources to handle a large volume of work.  

Keep the End In Mind – All the project records and knowledge created by the PM, contractor and construction manager will be transferred to the rail transit company/Owner

In rail transit organizations, work on fixed assets is separated into track, power, communications and signals, and bridges, buildings and facilities.   Unless the software tools can be adapted to best align with the Owner’s organization and be accessible for all reviewers, the entire contract submittal and deliverables review processes will become more complex than intended as cross functions are determined or missed.  This may require unbudgeted resources to correct and make the process efficient and to assure the knowledge is usable for the Owner’s organization.   

Essentials for maximizing benefits from software tools:

• Administrators/Document Control Managers must be familiar with rail transit organization structures, division of work and the technical expertise within management silos
• Assigned leads using the software tools must understand their role as well as the scope jurisdiction of support staff for delegating reviews
• All reviewers must have direct access to the software tool and the digitized project documents
• All support reviewers must have dedicated hours to accomplish the assigned workload within performance criteria
• Coding and labeling of documents must align with the organization’s system for storing and retrieving project records.

Introducing the organization to the software tools used by consultants and contractors requires an understanding of the rail transit operating structure, division of responsibilities, labor jurisdictions for work, and how it fits into the established groupings of technical experts. 

The civil and structure scope encompasses facilities, buildings and bridges that support rail transit infrastructure such as employee facilities, station buildings, platforms, parking areas, signage, fire protection, vertical transport, landscaping, and safety and security.  This infrastructure directly and indirectly supports and integrates with the operation of rail transit systems contained in the track and systems.

The track scope encompasses constructing track, track foundation, sub-ballast and ballast and special trackwork, such as switches that form interlockings for crossing trains from one track to another.   The systems’ scope, which is significantly larger and involves more complex technology, encompasses constructing equipment and interconnecting infrastructure forming assets for operations including communications, signal, power, supervisory control, operation center integration, security, fire protection and passenger information.  

The stations scope encompasses constructing buildings and waiting rooms, platforms and shelters, pedestrian overpasses and elevators, grade level parking, passenger information systems, and plazas, seating, walkways and landscaping.   The garage scope encompasses constructing multi-level parking, administrative offices, employee and equipment rooms, signage, fare collection, and landscaping.  

The safety scope encompasses constructing assets to mitigate job hazards and monitoring the means and methods used by consultants and contractors in performing the project work.   The security scope encompasses constructing assets with appropriate features, such as CCTV, intrusions alarms, structural barriers and hardening, to address threats and vulnerabilities from potential exposure to political and cultural environment in the area. 

Keep the End In Mind – PM's execution and delivery of assets and records must satisfy the rail transit company/Owner

The fixed assets in the rail transit projects are constructed, operated and maintained to support the operation of rolling stock, especially passenger cars and locomotives, for the movement of passengers between departing and destination train stations.  The fixed infrastructure and the rolling stock are interdependent to each other for moving customers safely, efficiently and comfortably, while meeting expectations for security, reliability and on-time performance.     

Good Practices for PMs to Improve Managerial Performance:

• Monitor and assess the quality of transactions from using the Document Control and  Project Management software tools, and undertake actions for improvements
• Review, identify improvements and actions based on published monthly, periodic and adhoc reports from Project Management Office (PMO), Consultant(s), Contractor(s), Oversight Consultant(s) and independent advocacy experts 
• Conduct and document monthly PMO/Project Quality Management System meetings
• Conduct and document monthly PMO performance meetings with the Owner
• Evaluate Lessons Learned for edits/improvements to existing Plans, Procedures/and Requirements
• Update/reaffirm Project Plans/Procedures on a semi annual or annual basis
• Monitor and undertake actions on recurring Non-Conformance Reports issued under the Quality Program.

TIP:   PMOs and Project Managers should continuously monitor processes and procedures, address inefficiencies, and reduce complexities that create avoidable delays in progress to production metrics and shortfalls in quality to requirements. 

TIP:   The quality of labeling and coding on contract submittals and deliverables directly influences the success for storing, searching and retrieving project records.   

TIP:   A comprehensive list of reviewers by technical scope should be consistently used to create primary and secondary assignments and work flows for commenting on the project documents.    

TIP:   Secondary assignments should include reviewers with technical jurisdiction on interdependent work and interfaces to the primary scope in the project documents.

TIP:   Document Control should monitor submittal content for correct titling and numbering convention to maintain threads on sequential iterations of documents from comment reviews and revision control on adjustments from new information during progress or changes in design and construction.

Since dirt roads with horse drawn carriages and wagons were replaced with rails, rail transit systems were built from the top of running rails (TOR) and centerline of rails (COR).  TOR is the interface for rails car vertical clearances with overhead structures, passenger car vestibule interfaces with station platforms.  COR is the interface for horizontal clearance between rail cars and structures along the Right Of Way (ROW.)

Rail transit industry evolved to steel rails and cars with steel wheels and axle sets.  From this foundation, operators continued to integrate technology and raise service standards by adding systems to improve the safety of train operations and comfort in passenger cars and fixed infrastructure.  Each improvement created more interfaces and the need for more extensive testing of interdependent systems assure operation to meet standards.    Some of the interfaces are:

• AC and DC electric motor propulsion and passenger HVAC comfort on rail cars
• 3^rd rail DC power and AC overhead catenary power to support passenger cars
• 110hz Ac powered signal systems for safest movement rail cars
• Communications systems for operations and customer information at stations and on-board rail cars.

As world events affected mankind, safety and security systems were incorporated for surveillance of employees, passengers and other customers in stations, terminals, facilities and passenger cars and monitor environmental conditions in terminals.  

The rail transit industry is always developing improvements for upgrading fixed assets and rolling stock systems.  The more recent improvements include providing real-time status on service on video displays and message signage in passenger cars, stations, and platforms.  Other improvements such as positive train control, and video monitoring of engineer status in the cab of passenger cars and locomotives are still being developed.  

Each subsequent improvement creates more interfaces and the need for more extensive testing of interdependent systems assure operation to meet standards.   

In rail transit – TOR and COR remain a constant datum for the interface between passenger cars and system infrastructure.    It is also a baseline criterion for developing scope, technical criteria, and design, construction and testing requirements for capital projects.   The project scope, execution method, cost and duration are a function of the business case category.  

Common business case categories are stated in the New York MTA Capital Program Plans for planning projects and they are:

• State of Good Repair (SGR) projects renew assets that have surpassed their useful life, to achieve SGR. 
• Normal Replacement (NR) projects renew assets that are nearing the end of their useful life, to preserve SGR
• System Improvement (SI) projects enhance the network, providing new capabilities and a better customer experience  \
• Network Expansion (NE) projects extend the reach of the MTA network, expanding the service offering

Unlike air travel, water travel and roadway travel, the rail transit passenger cars and infrastructure are always physically constrained by the characteristics and features of the fixed assets and the rolling assets.  As a result, the design, construction and testing for commissioning and use of projects require all the parts to be tested together after all tests are completed on individual systems.

Wayside systems and rail car interfaces include:

Track:              Rail gage – distance between rails and switches, COR spacing with adjacent tracks, and TOR and COR clearances with structures along the ROW need to align with spacing of axle wheels sets for movement of rail cars and on-rail vehicles.

Power:             Substation and signal power equipment, positive cables and negative return cables needs to supply adequate power for wayside and rail car propulsion and to supervisory monitoring system, and the 3^rd rail TOR and COR such as height needs to align with rail car contact shoe.

Signals:            Signal generators for coding running rails need to support rail car cab signals, wayside signals for aiding operating engineers in determining and controlling speed, and for correlating track conditions with scheduled train routing.                      

Structures:       Wayside structures need to provide proper vertical - TOR and horizontal – COR clearances for dynamic movements of rail cars at the maximum operating speed for the track geometry and topographic (civil) conditions.

Facilities:         Equipment and tools need to provide TOR and COR clearances matching the outline of rail cars and rail-borne vehicles for inspection, maintenance and repair.

But the linchpin interface for connecting the systems to form a fully integrated and functional transportation system is:

Communications:  

• Radio systems and network coverage throughout the system connecting qualified operating employees at train operation centers and local control towers, on rail cars and on-rail vehicles, and wayside facilities, including interfaces with positive train control.
• Cable network connecting telephone and data lines to substations and motor generators; signal huts, equipment and wayside signals; customer information service displays and signage
• Cable network connecting to traffic safety and security systems, including CCTV and other features for video analytics such as recognition technology for persons, idle packages, vehicle tags and crowding of persons
• Cable network and wifi equipment to connecting business operating systems, fare collection and ticketing systems, and mobile technology systems to customer cellular applications.

The International Council of Systems Engineers (ww.incose.org) describes the integrative approach through the engineering lifecycle as:

The integrative approach has long been used in systems engineering and usually involves either interdisciplinary (e.g.. integrated product teams) or multi-disciplinary (e.g.. joint technical reviews) methods. The integrative approach by itself can be adequate where the situation is not overly complex and there are smaller numbers of stakeholders potentially impacted. The integrative approach can be used when dealing with a highly precedented situation that has been encountered before and a path to the solution can be readily identified and understood (albeit there will still be many challenges along the way, technical and otherwise). The integrative approach includes the traditional multi-disciplinary and inter-disciplinary approaches commonly used in systems engineering practice. The transdisciplinary approach may be needed in unprecedented situations or where there is a significant degree of complexity involved. See Madni (2018).

System Integration Testing (SIT) commences after all the individual systems are tested and commissioned for alone operation.   The integration scope will encompass all wayside and rail cars working together in unison to verify that all systems are operating as designed and in accordance with Owner and regulatory requirements, such as Federal Transit Administration.  

Per Federal Transit Administration (FTA) Oversight Procedure 54:

System Integration Testing SIT validates that all fixed facilities, systems, and equipment perform as intended, both individually and as an overall system when integrated. The process also confirms that all personnel have the management capacity and capability to provide safe and dependable service, and that emergency drills have been completed prior to revenue operations. For a well-managed project, SIT is integrated into the project master schedule with time-phased activities showing the inter-dependencies between various activities and project milestones.

SIT for projects that are State of Good Repair and Normal Replacement (and some System Improvements) may be adequately covered by a series of Factory Acceptance Testing (FAT), and Site Acceptance Testing (SAT), which may include a burn-in period to monitor performance and compatibility.  Most of these type projects use the Owner’s existing and well proven specifications and approved products.  And many railroad systems, such as signals, require extensive pre-testing to support cutovers that are conducted with the system shut down for testing with trains operating without customers to run every possible train route.  As a result, the exposure to risks on these type projects is relatively low impact to the Owner’s existing system and operating plans.  These tests may be sequenced incrementally over several weekend outages to minimize impacts to weekday service plans.

SIT for projects that are System Improvements and Network Expansion, System Integration Testing is larger scope that builds upon FAT and SAT.  These projects can vary from first time applications of new systems or new technology, or are a completely new type infrastructure to the Owner’s existing system or new startup.  Each scenario presents exposure risks on practices and processes for operation, inspection, maintenance and repair.   As a result, SIT will require a larger testing scope.  These type projects have a larger exposure to risks with higher impacts on the commissioning and startup, operating processes, and manpower loading and skills.   This may require longer period of testing to assure all risks are mitigated

SITs will test, measure, analyze and verify compliance to expected results for a comprehensive list conditions that replicate all potential operating scenarios including train routes, train density and passenger car loading.  While dependent on project scope, below is a sample list of SIT test attributes:

Track:              Reliability and durability of switch operations

Power:             Third rail voltage drops and substation/motor generator breaker operation and trip setting

Signals:            Switch point and rod operation, switch position integrity, indications for wayside signal aspects and cab signal speed aspects, and positive train control

Structures:       ROW clearances with dynamic envelopes for rail cars and on-rail vehicles, and operations of vertical transport and building systems

CCTV:    Camera field of view, analytics and indications

Ops Center:     Remote operation of track switches, electrically operated power switches and breakers, camera panning, PA announcements, information message displays, intrusion alarm indications, radio communications with train engineer/conductors, towers, employee facilities, and ROW inspectors and maintenance work crews. 

TIP:    The scope, complexity and duration of SIT is a function of the project classification, scope, division of work between contractors and in-house forces, work conditions and the Owner's experience with similar FTA (government) funded projects.

TIP:    SIT processes, procedures and documentation should be tailored to the Owner's existing organization, quality management system, safety and security program plan and operating plans and procedures.   

TIP:    If the Owner has completed similar projects before, they will be a good source and judge on the SIT completeness and realism of the execution schedule.

TIP:    Owner’s input is essential to assure the SIT is not under-scoped on complex projects or over-scopes on projects that contain well documented and previously used testing processes, procedures and schedules. 

TIP:    SIT schedules need to be consistent with the work conditions in the Contract, which may restrict work hours, require services modifications and shut downs, and need protective services to support the testing.

TIP:    For work performed by in house forces, the SIT, final inspection and determination if the work is safe for service is designated to the on-site qualified and responsible person (s).  The processes, procedures and documentation is well established by the Owner and in compliance with Federal Railroad Administration (government) regulatory requirements for railroad operation.  

For more information, visit:

Procedure 54: https://www.transit.dot.gov/sites/fta.dot.gov/files/docs/OP54%20Readiness%20for%20Revenue%20Operations%20-%20Sept%202015.pdf

Lessons Learned – Sun Rail (New Start)

https://www.transit.dot.gov/regulations-and-guidance/implementation-systems-integration-testing

MTA Capital Program

https://new.mta.info/capital/2020CapitalProgram

International Council for Systems Engineers

www.incose.org