Project Management View from Rail Transit Programs and Projects

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.

I recently witnessed several project executives show body language displaying complete shock over a project schedule update that indicated unanticipated delay.   For the rest of the observers, it was more a surprise that it was not recognized by them earlier.  

Managing projects from a distance or from a desktop that is not near the project activities requires some added techniques and tips for recognizing, understanding and assessing project health.   It is particularly applicable to executives responsible for overall management effectiveness and for critical decisions affecting the ability to achieving project goals for scope, schedule, cost, quality, safety and security.    

Early in my career, my job positions included Draftsman and Jr. Engineer with a railroad in the Maintenance of Equipment department.   The position responsibilities included design of components to replace obsolete materials, detailing modifications to implement product improvements, and defining overhaul projects to rehabilitate passenger cars and locomotives.   While a significant part of the work was based on as-built and record drawings, there was the risk that the paper products may not reflect the actual conditions.  As a result, all of my work products required field inspection to verify actual conditions were consistent the drawings and that the designed product was compatible with a range of conditions. 

Later in my career, I held numerous roles in project management on rail transit design and construction projects.   As part of the roles, it was instilled by management leadership and my supervisors, peers and mentors that there is a need to understand the process of writing and reading progress reports, to conduct field verification of reported progress, and to assess first hand the actual site conditions.

Whether an executive, program manager, project manager or an oversight consultant, it is essential to diligently review and assess verbalized status reports and published progress reports and progress, and to thoroughly review and promptly respond to Emails and other correspondence.    In the project environment, attention to these items is essential for verifying actual progress, assuring feedback is provided to maintain progress on scheduled work, and for initiating corrective action to manage risks and issues.   However, the managerial skill required to evaluate the information must be complemented with a corresponding amount of experience on similar projects within the same industry domain. 

Here are some tip-offs for recognizing and interpreting the actual conditions and challenges on projects.      

Progress Reports:

Projects and individual contracts typically include deliverables for monthly progress reports.   The scope and content of the reports may vary but the purpose is consistent – to provide the client with a summary of the work completed, earned value/physical progress to plan, key performance indicators for cost to budget and progress to schedule, changes and issues/concerns.   Tips-offs in content or observations include:

• Physical progress shows a large differential to actual planned progress without indication of action to recover.   This indicates there is a pending change in critical dates or that there is excessive float with predecessor and successor projects/contracts.  This may be resolved by explaining the variance, describing recovery actions and by obtaining executive support.     
• Expenses are higher than physical progress without mention of corrective actions.    This indicates there is an advance payment for materials not installed or higher than planned expenses in support services.  This may be resolved by explaining the variance and confirming estimate at completion will be within budget.         
• Expenses are lower than physical progress without explanation.   This indicates there is a delay in processing of payment requests.  This may be resolved by explaining the variance and initiating expenses accruals in project accounting.
• Items “under review”.  This indicates a problem or risk is being mitigated and there are unspecified actions to determine if there are any impacts to project budget, schedule and quality milestones.  This is not uncommon, but it may overtly indicate that executive intervention on established time-consuming project and organization processes is required. 
• Mitigation actions on risks continue for months or years with no apparent resolution or initiation of response plans.    This indicates mitigation is not effective or actionable.   As a result, mitigation requires higher executive authority or political intervention to optimize actions to resolve the risk event or to accept the risk and resulting project changes. 
• Earned Value is based on actual invoice payments.  This indicates actual progress may be underreported.  This may lead to unnecessary managerial effort and decisions for corrective action that is not be required.  This may be resolved by assuring timely and effective processing of invoice payments.
• Remaining project duration requires production/month and expenses/month that have no historical backup.   This indicates that potential corrective actions may not recover progress from increased to increase production.  As a result, may lead to changes in schedules milestones and goals.
• Status on Submittal/RFI/Correspondence Logs show a large amount of open or late items.  This indicates that primary participants, stakeholders and oversight do not have the resources, expertise, knowledge or experience necessary to effectively complete these processes within established timelines.   Uncorrected, this may lead to delays in progress and requests/claims for time extension and changes in dates.
• Milestone dates frequently slip month-to-month.    This indicates there may be a systemic problem in estimating the durations of various project and organizational processes, which leads to specifying dates that are overly aggressive and not realistic for production in the industry domain of the project.     

Schedules:

Projects and individual contracts typically include deliverables for monthly schedule reports, which complement the progress reports.   The scope and content of the reports may vary but the purpose is consistent – to provide the client with a summary of the activities completed, changes in start and end dates for activities, and proposed actions to recovery from delays or to adjust work flows for better progress than scheduled.  Tips-offs in content and observations include:

• Updates break major portions of predecessor/successor activity links.   This indicates that activity dates are being forced to temporarily maintain milestone dates.  Links that are not restored will require changes to activity characteristics and attributes for new interdependencies.  
• Updates routinely adjust activity links and interfaces.    This indicates that continuous changes to activity relationships is being implemented to recovery progress and maintain critical milestone dates.  Links that continue to be adjusted may be the latest recovery actions prior to conceding to changes in project milestones. 
• Percent of remaining work exceeds the remaining project duration.    This indicates that recovery plans may require significant increases to manpower, materials and equipment to achieve original milestones.  
• Re-sequencing activities.   This indicates there are changes in project conditions to mitigate accelerated progress or delayed progress.   Re-sequencing work can affect the means and methods of work; availability of equipment, materials and labor resources; and change work periods and access constraints. 
• Re-sequencing interdependent contracts.   This indicates there are significant changes that affect execution of work on predecessor, successor or interdependent contracts.  This may be the latest mitigation action prior to implementing changes to original milestone dates.

Meeting Minutes:

Meeting Minutes are deliverables from project management processes at the project and contract level.  Minutes record the discussions, document critical decisions, and highlight the action items, responsible person(s) and the action completion dates.  Tip-offs in content and observations include:

• Action items open longer than established timeframes for decision making.   This indicates that higher level management and authority is required to complete the needed action on the topic. 
• Topics listed without actions and with potential to impact to scope, schedule, budget and quality.    This indicates team members do not have authority or resources to commit to a completion date. 
• Poor attendance by team members.   This indicates that team members have more responsibilities that restrict support to the project, or there is a lack of interest due to poor leadership, low team coherence or from failing to adhere to the project charter.
• Topics do not include risks or coordination of work by other projects or contracts within or adjacent to the work boundaries.   This indicates that integration processes needs to be reviewed and evaluated to determine adequacy of support for identifying and mitigating events that could affect execution plans.  

Contract Submittal and RFI Logs:

Submittal and RFI Logs are created and maintained at a project and individual contract level.  The Logs, which can be part of meeting minutes discussions and monthly progress report, record item description, date received, date response required, date response received, and disposition.   Tip-offs include:

• Resolution of submittal comments remain open as corresponding contract activities progress as scheduled.   This indicates that corrective actions are required by the PM/CM team to assure submittal requirements are met before deliverables arrive at the project site.   
• RFI processing is too close to scheduled contract activities.   This indicates the PM/CM team needs to improve advanced planning and execution of administrative processes ahead on scheduled activities.    

Oversight/Independent Engineering Consultant Reports and Presentations:

Many government funded projects involve management oversight consultants (MOC) and independent engineering consultants (IEC) to provide subject matter expert analysis of the project and contract performance.  Without replacing or undermining client governance or the project team leadership, the MOC and IEC provide supplemental technical expertise for the project deliverables as well as managerial expertise for executing the project and contracts in the specific project environment.  The MOC and IEC prepare and submit monthly or quarterly reports on project team performance.  Tip-offs include:

• Observations are routinely described by consultants to pursue opportunities or avoid threats to project performance.    This indicates that the consultant acknowledges the team’s focus on attributes that can affect overall performance on the project or on contracts in the project.
• Recommendations are cited for implementation by project team.    This indicates that the consultant has attempted to mentor the project team on actions required to improve performance but action is not yet undertaken.        
• Concerns are cited regarding the project progress and conditions.   This indicates that the consultant previously reported conditions that if not addressed by the project, the consultant (aka - subject matter expert) will advise funding agencies or project governance that formal corrective action is required. 

What are other tip-offs? 

Basic Management Fundamentals

Owners’ upper management and project governance, and Project Management Offices’ (PMO) leadership are always looking for the single biggest issues that can be resolved to remove impediments to project progress and performance, and to get a stagnate project back on track.   But sometimes it is the smallest most basic activities that create the largest issues for maintaining proactive management on a project.

Recently, a new management team was introduced on a mega project to convert the contract management centric approach to a PMO centric management approach.   This change was understandable and foreseen as beneficial to improving the overall management on the project.   While this was aligned with the standards and practices defined by the global professional organization Project Management Institute (PMI), there was Owner oversight, construction management, contract management, project controls, quality management and risk management – but no defined project management roles in the organization’s management structure.  

As expected, the new PMO team focused on analytics and decentralized management into specific physical asset project boundaries that will be managed independently to meet goals within a segmented territory of the project.   The basis of this approach was adopted from a predecessor review by an industry management consultant that assured the Owner that the approach, which worked in 2001 on a major European project, would do the same for a 2018 project in North America. 

While understandable in its presentation to the Owner’s Board, it did not resolve the root cause of the performance attributes affecting overall project progress.   Hidden in plain site were common management interactions between project participants that deteriorated the work environment required for effective project management.   Some of the typical factors negatively affecting project performance, included:

• Failing to respond to Letters from consultants and contractors
• Continuously submitting Cost Recovery Letters to consultants and contractors
• Ignoring requirements in contracts with consultants and contractors
• Demonstrating distrust of hired consultants for design, project management and construction management services
• Disregarding expert judgment from consultants with valuable experience in the project, similar projects or intimate knowledge of the Owner’s requirements
• Committing to unrealistic and unreliable schedules that are clearly disconnected with historical data and industry processes
• Poorly managing expectations within established control documents

Roll-out of the new PMO centric approach was implemented with Owner’s Board acceptance and project governance support.   Expectations were high for turn-around of performance to critical dates leading to project realization.  Monitoring of performance metrics produced charts, dash boards, and heat maps that required constant attention to variances and management inquiries. 

Some of the missed opportunities included:

• Reinforcing organizational core values and professional standards for work quality and conduct
• Eliminating contract constraints preventing a Spirit De Corp with defined staff selected for solving problems and increasing project execution progress
• Providing the best and most experienced Owner’s staff on the project
• Dismissing expert judgment that is not aligned with political commitments or unrealistic organizational goals
• Ignoring risks and management actions identified by project professionals
• Expecting shorter process durations without implementing improvements or obtaining variances to organizational processes, funding partner processes or government statutory requirements. 
• Committing to critical path scheduling on complex projects without recognizing interdependencies of systems engineering and execution processes  

Reality A

Owner’s hire consultants for expertise that does not exist in-house or that is used to supplement staffing levels and to validate expertise and conclusions of in-house personnel accountable for the same services.   In organizations where institutional expertise has been drastically depleted, Owners also hire consultants to oversee other consultants.   Some organizations have demonstrated that hiring a consultant allows them to disrespect and bully other consultants.    As a result, Owner’s management of consultants must monitor the interactions with the organization to assure consultant staff is provided respect and professional courtesy that comes with professional ethics, contract requirements, and laws and statutory requirements.   If not, the consultants will expend scarce project funds on non-value added activities that displace funds allocated for the creation of project assets.

Reality B

The PMO, organization and consultants hired by the organization must insist on a code of respect that transcends contractual responsibilities.  Just as in-house staff are accountable for interactions between employees, it is equally important the organization’s consultants insist on respect in interaction between in-house staff and consultants, and between consultants.

Access to Work Space

Getting painted into a corner may leave no way to finishing work without disturbing completed work.    While project/contract progress can be accelerated by working on multiple locations, the construction management team must ensure that the work is performed and integrated with other work and that the area is accessible for completing remaining work.

Construction management services work with contractors to develop means and methods for construction, establish supply chain and logistics for materials, monitor work in the sequence planned, and to implement work-arounds for unplanned field conditions.   In many rail transit projects, the work area is within an existing operational asset that is being replaced, upgraded or expanded.   These projects are normally constrained by fixed property lines with contract work zones that have trains running through the area. 

The core business of rail transit companies is transporting people and commodities from a current location to a new location.   This core business is a relied upon service and it is essential to regional and national commerce in countries throughout the world.  As a result, the execution of projects need to be organized and executed in a manner that maintains transporting services with little to no impact on commitments.   This includes work flow that allows access and assures constructability of work as progress changes the condition of the asset. 

On large project, there may be multiple contracts that share work zones or that overlap at critical points.   This increases the construction management effort for stimulating and maintaining contractors’ progress and for coordinating the logistics for:

• Realistic space, layout and segregation of secure staging areas
• Reliable access for movement of manpower, materials, tools and equipment
• Adequate temporary facilities for personnel, emergency services, fire protection and material storage
• Assignment of protective services to comply with government laws, regulations and codes.

Scheduling multiple contracts is possible using available software tools.  It can easily make adjustments to scheduled activities, manpower and equipment that can be used to manage contractor progress across a program of projects with interdependencies for predecessor and successor activities between contracts.  It can also manage milestone and schedule constraints.

Scheduling experts can increase work hours, increase manpower, accelerate material deliveries, and add construction equipment.  Unfortunately, scheduling tools can not create work space.   

Reality

Putting fifteen people in a telephone booth may increase the call minutes per square foot but it will drastically reduce the quality and effectiveness of telephone conversations and lead to rework as calls need to be redone due to background noise and mistakes from cross-talk. 

CM office is responsible to manage and coordinate contractors’ access to work areas and to manage the contractors’ creation and maintenance of safe and secure temporary facilities, material storage and staging, and of parking areas for employees, company vehicles and construction equipment.    

Manpower, Resources and Work Calendars

Forcing ten pounds of an item into a five pound bag can only achieve a negative result.   Despite the obvious visual consequence, project executives and project control experts often envision that increased project progress can be made by adding staff and adding work periods.  

Demanding the construction activity be shortened by adding more trade personnel and expending more manhours to achieve more daily progress is not unusual.  Construction scheduling tools can adjust the manpower, workday calendars and shifts to show acceleration of work with the goal to reduce the overall schedule duration.   However, these simple adjustments in the number of personnel on-site requires equal adjustments in material supply chain as well as equipment, tools, supervisory staff, construction management (CM) staff, and added processes for transitioning information at shift changes.

While effective for schedule recovery or for schedule acceleration, implementation will continue to be affected by work conditions, site access, and the work restrictions cited in the contract documents.    Additionally, the availability of support services, such as construction management (CM) and independent testing (ITA), for direct work will need to increase proportionately.   However, increasing persons in a work area may not necessarily create an equal improvement in the effectiveness, quality and speed of construction.  

On rail transit projects, adding resources and equipment is not always possible, and where it is possible, it is very challenging to achieve results that in theory should increase production and reduce activity duration.   In other words, doubling the personnel does not always result in doubling the production and halving the duration.   In addition to CM and ITA services, support services will need to increase proportionately for access and protection, track outages and on-rail vehicle escorts (pilots).    Where construction can be isolated from railroad operating areas, support services may be more readily out-sourced and may have a higher ratio of improvement for production and schedule. 

Services requiring rail transit personnel are also limited to the established headcount, crew sizes, crew vehicles, and tools, equipment and materials.   As dictated by annual budgets and labor contracts with unionized trades, railroad personnel are normally hired and organized into work groups for maintenance and operations, and construction.   Each group is assigned to specific geographic locations or project locations.   Due to several factors in managing company resources, personnel and assignments can shift between the two groups in order to maintain utilization while eliminating peaks and valleys for hiring and deferring personnel.  

When added personnel are required by projects, they likely are transferred from the maintenance and operations group.   The flexibility in making these transfers and the resulting increase in progress is limited by factors such as travel time from assigned location to the new location, and the familiarity of personnel with the project construction scope, work flows and processes, and construction equipment and materials.

Maintaining a steady state level of manpower is made more challenging by the unique training and qualifying periods for skilled trade persons in rail transit companies.   Due to the specialized skills need for operating and maintaining rails systems, companies create stringent screening processes for candidates including written and practical tests.   New hires start at an apprentice level and are on probation for at least six months.   Thereafter, employees continue in a training program for the specific skill hired and the established process defined in collective bargaining agreements to qualify personnel for full rate skilled trade positions.  

Timeframes to becoming qualified can vary depending on the unique skills required for executing duties in an environment that is focused on safety and customer service.  Signal maintainers = 3 years.   Lineman = 12 months.   Plumber = 6 months.  Carpenter = 6 months.   Electricians = 6 months.   During this period the incumbents are expected to demonstrate critical skills, teamwork, operation of tools and equipment, and safe work methods.  Failing to do so may mean separation from the company at worst, or extending the probation period for qualifying and for permanent assignments.

A short term alternative is to expand regular manpower shifts through overtime, which can increase daily progress while full time standard rate employees are identified or hired.  However, this alternative comes with its own challenges including:

• Increasing expenses for overtime labor rate
• Confirming vehicles and equipment are not already assigned to work groups on other shifts
• Off-setting shift production due to travel time
• Discounting progress due to personnel inexperience with project specifics

Reality

The actions taken by CM and contractor to adjust staffing to improve schedule performance is a function of the contract requirements, including provisions for time is of the essence, work hours, liquidated damages, and schedule incentives.  Depending on the contract, the CM will rely on the contractor determining the best actions to increase production and achieve performance milestones or to adhere to the planned curve of progress approved by CM at Notice to Proceed.

As may be requested by government officials or other influencers, Owner’s with the explicit goals to beat schedule dates will need to work with the CM to identify the cost impacts in exchange for improving the date contracted at the time of award, fast tracking or modifying the Owner’s standard procedures and process obstacles, and for coordinating interdependent activities and dates for predecessor and successor projects and contracts.