Project Management View from Rail Transit Programs and Projects

This article complements the previous articles “What are good practices for Commissioning Acceptance and Maintenance Plan (CAMP)?” and Questions and Answers to CAMP – Part 1.  Here are Questions and Answers to CAMP – Part 2.

What are the CAMP deliverables?

Typical contract sections or project plans for CAMP deliverables are:

• Receipt of Final Testing and Acceptance Sign-Off Documentation:  This consists of a complementary series of project documents, which demonstrate quality and managerial oversight of the work.    Based on the scope, this may include factory acceptance test results, site acceptance test results, inspections at substantial completion, final inspection at completion of punchlist, record of special inspections, and closure of Permits by the issuing agency.   This documentation is produced by construction management consultants and Agencies with permitting jurisdiction.
• Certificate of Construction Completion: This is certification that all punchlist work is complete; start-up, training and burn-in is complete; and the overall Project Element is constructed as shown on the RFC design packages, shops drawings and material/product submittals.  Unless indicated otherwise, this Certificate is produced by the primary Construction Manager. 
• Certificate of Construction Compliance/Code Compliance:  This is certification that all work meets the contract technical and quality requirements, the Design Build Quality Program, and all stipulations in construction Permits.   This Certificate is produced the Engineer of Record. 
• Spare Parts:   This is found in the Division 2-16 Technical Specifications of the contract/purchase order.   The spare parts description and quantities will typically be itemized in the Buyer’s contract award price breakdown and in the Seller’s Detailed Contract Schedule/payment schedule.  
• Training, O&M Manuals:   This is found in the Division 1 Technical Specifications of the contract/purchase order.    While the Seller’s  system and equipment suppliers typically have standard services and deliverables for off-the-self components, the Buyer’s may have extraordinary requirements to meet the operation standards, procedures and processes of the company. 
• As-Built drawings:    This is found in the Division 1 Technical Specifications of the contract/purchase order.     This item may also be expressed and defined by the Buyer with other labels such as red-lined contract drawings and record drawings.   It is typically an updated version of the conformed contract drawings from the Seller, which includes all contract changes and modifications, and it indicates the actual installed locations of the constructed assets.
• Warranty:    This is found in the General Provisions, and it may be amplified in Division 2-16 Technical Specifications for large, high value technology systems and equipment.    By Contract, the Warranty starts at Buyer’s use/acceptance of the work, and it follows Final Inspection, and Punchlist activities.    Seller’s obligation  for warranty  is typically one year and as supplemented by manufacturer’s and Original Equipment Suppliers’ warranties, which may extend post-contract closeout for several years as described in the product data/specification reviewed during the Contract Submittal process. 
• Software and Software Licenses:    The requirements scope for computer supported products with hardware and software are usually found in the Technical Specifications in Division 10-16, including (10) Specialties, (11) Equipment, (13) Special Construction, (14) Conveying Systems, (15) Mechanical/Plumbing, and (16) Electrical.   However, depending on the contract format, requirements may also be separated into new Divisions including (21) Fire Suppression, (23) HVAC, (25) Integrated Automation, (26) Electrical, (27) Communications, and (28) Electronic/Safety/Security.  
• BIM/GIS Data and Asset Management Data:    This is found in the Division 1 Technical Specifications of the contract/purchase order.   While the data can be generated using the contract drawings, it is more accurate to complete after the As-Built drawings are submitted and accepted.  

Who is responsible for CAMP?

CAMP is a cross-functional process and it is correlated with various activities and the creation of various project records.  As established by the project in the Schedule Work Breakdown Structure, the CAMP process monitors work across several managerial silos.   In some Electronic Document Management Systems, the managerial silos or project phases include:

Design:   The development and refinement of project product requirements, and the creation of contract documents and performance metrics for the product meeting the Buyer’s criteria and business case results.

Construction:   The physical fabrication/manufacture of systems, brick & mortar assembly of a structure for the systems, and the integrated start-up and testing the entire product for Buyers acceptance.  

Quality:   The control and assurance on the product, processes and documentation meet the Buyer’s requirements for the project product, including design and construction submittals and deliverables and the content for CAMP.  

Commercial:   The management of project finances, contract payments and closeout, contract changes and of contractor performance to schedule milestones, which includes monitoring incentives for beating milestones and liquidated damages for missing milestones. 

What typical CAMP activities should be in the Detailed Contract Schedule?

A sample of the critical cross functional activities with responsibilities by Buyer/Seller are:

1. Seller initiates CAMP package and compiles project records
2. Seller and Buyer confirm readiness for substantial completion/operational use
3. Seller/Buyer conduct and document QC/QA inspection and testing, including Site  Acceptance Test (Predecessor = B)
4. Seller/Buyer conduct and document substantial completion inspection and punchlist (Predecessor = C)
5. Seller requests progress payment for 100% earned value and Buyer issues progress payment (Predecessor = D)
6. Seller submits CAMP package and notifies Buyer on readiness for final inspection (Predecessor = A, E)
7. Seller/Buyer conduct and document final inspection and completion of punchlist/work and burn-in (Predecessor = F)
8. Seller submits contract closeout documents and requests release of retainage withheld from previously approved progress payments (Predecessor = G)
9. Buyer confirms acceptance of CAMP package, including and all products and deliverables by contract requirements, and releases retainage to Seller  (Predecessor = F, G, H)

This article complements the previous article “What are good practices for Commissioning Acceptance and Maintenance Plan (CAMP)?”  Tailored to rail transit projects, this article follows with  Q&A on CAMP definitions, description of CAMP deliverables, integrated managerial functions supporting CAMP, and the general activities and sequence for CAMP.    Here are Questions and Answers to CAMP – Part 1.

When Does the CAMP Process Start?

CAMP starts with the design of the project and the creation of construction documents, and it continues through the closeout of the contract/project.   The process will consist of iterative development of a content a Matrix that lists the components that will form the constructed product as described in the project scope and objective.   The Matrix also lists the expected CAMP deliverables, such as Operation and Maintenance Manuals, Warranty, Training, As-Built Drawings, Spare Parts, Software, and GIS/Asset Management data.   Starting the work in the design will assure that at the time of the construction contract award, the Seller and Buyer have the same expectations for the CAMP deliverables.

What are the definitions for CAMP?

Commissioning:   This is the pre-requisite activities and deliverables for starting the CAMP package and deliverables for Acceptance, and it is the Buyer’s (Owner) process for verification of project/contract scope and the Seller’s (Contractor) compliance with requirements.    The activities typically include Factory Acceptance Testing (FAT), On-Site Acceptance Testing (SAT), In-progress Inspections, Start-Up and Burn-In.   Commissioning activities should be integrated into Project Control schedules and Quality Plans, which contain quality control test and inspection plans.

Acceptance:  This is a predecessor activity for contract closeout, and it refers to the Final Acceptance by the Buyer/Owner, which follows completion of Commissioning activities and  A) Final formal inspection of the Seller’s work.   B) Seller’s completion of punchlist work.   C) Buyer’s  confirming resolution of Submittals and Non-Conformance Reports (NCR).   D) Buyer’s receipt of Seller’s training, As-Built drawings, Spare parts, Warranty, Operation and Maintenance Manuals (Inspection and Maintenance).   E) BIM/GIS and Asset Management Data.   Contractually, Acceptance equates to Construction Completion, which its tied directly to commercial provisions, Final Payment and Warranty, and is a milestone for the Project Control schedule.  

Maintenance:   This is a post-contract closeout activity and it refers to Buyer’s readiness to conduct periodic inspections and maintain the Seller’s accepted work.  The Buyer’s readiness includes A) Allocating operating budget and assign management responsibility.  B) Purchase and inventory of special tools, consumable items and spare parts.  C) Assign new or reallocate operation/maintenance staff and resources.  D) Update company asset inventory and insurance. 

What are CAMP requirements?

The requirements for the items cited in the definitions above are typically embedded in the contract document.    Typical contract sections or project plans for CAMP technical requirements or inputs in rail transit are:

• FAT/SAT:   This is found in the Division 2-16 Technical Specifications of the contract/purchase order.    It is most applicable to major systems and equipment, including signal systems, HVAC, substations, signal power motor generators, communications and supervisory control systems and control centers.   The Seller is required to submit detailed test procedures, and the test results for review and approval by the Buyer. 
• Inspections:   This is implemented under the General Provisions and detailed in Technical Specifications of the contract/purchase order.   It is most applicable to work covered by government permitting and code compliance, and it is described in the Buyer’s construction  manager’s  (CM) monitoring plan and in the CM’s inspection and testing plan  for overseeing the Seller’s work.
• Start-Up/Burn-In:   This is found in the Division 2-16 Technical Specifications of the contract/purchase order.   It is most applicable to power systems such as substations and signal power motor generators.   The Burn-in periods can range from 30 – 90 days after initial start-up under full load.   For replacement projects, the completion of the Burn-In for the new infrastructure is a predecessor activity in the Seller’s Detailed Contract Schedule for demolition of the old systems.  
• Final Inspection:    This is found in the General Provisions of the contract/purchase order, usually under the Payment and Time/Contract Schedule Milestones.   Final inspection is typically an end-of-contract item.  However, Buyer and Seller may agree to incremental inspection, use and occupancy of portions of the work.   The Seller’s detailed contract schedule and the Inspection and Test  Plan will delineate the proposed sequence for completing portions of the work.  
• Punchlist:   This requirement follows Final Inspection and it is a predecessor for achieving Time/Contract Schedule Milestone for Substantial Completion (SC) in the General Provisions of the contract/purchase order.   SC means the work is useful to the Buyer ahead of the completion of work and milestones such as Construction Completion and Contract Completion.
• Resolution of Submittals and Non-Conformance Reports (NCRs):   This is part of the Buyer’s contract monitoring plan and the project quality plan.  These Plans assure that delivered and installed products reflect the current contract including all negotiated changes and contract modifications, and the completion of corrective actions on NCRs under the Seller’s Quality Management Plan.

Until recently, Commissioning, Acceptance and Maintenance Plan (CAMP) deliverables on major projects were delegated to the contractor for determining format, content, level of detail and the submittal date.   Typically, the compilation of the associated deliverables was part of final acceptance of contract products by the Buyer and achieving the performance milestone by Seller for contract completion.   At contract completion, the withheld retainage by the Buyer, which can be 5% deducted from all Seller’s progress payments through 100% earned contract value, becomes part of the contract closeout.   As a result, contractors typically leave the CAMP deliverables until the end of the contract.

Contract closeout means the Buyer’s Project Manager (PM) can close the remaining administrative office, package the files for storage, and be reassigned to other projects on a full-time basis.  For the Seller’s PM, it means all financial reimbursement obligations are complete and they can close files and financial bookings, and reassign any remaining staff to other contracts.

However, there are numerous Lessons on contracts from closeout experiences that reflect poor quality and incomplete CAMP deliverables.  The situation is compounded by the urgency of the Buyer’s PM to closeout the contract and of the Seller’s PM to collect all retainage due from the already approved payments.  At this time on the contract lifecycle, CAMP deliverables can easily become secondary, as both PM’s are usually focused on closeout and moving on to new projects or contracts.

In order to mitigate the risk of poor quality and incomplete CAMP deliverables on rail transit projects, a major United States (USA) commuter railroad updated its requirements for consultant design contracts and contractor construction contracts.  The scope of work for design contracts specify that a CAMP Matrix be developed and submitted with each level of deliverables.   The Division 1 Specifications for the construction contracts specify the CAMP as a deliverable with scope, product and execution requirements that include the CAMP Matrix – developed by the design consultant.  

The CAMP Matrix includes the major systems constructed, and for deliverables, such as Training, Operation and Maintenance Manuals, Spare Parts, Software, Software Licenses, Warranty, and As-built drawings, which are itemized in the Divisions 2-16 Specifications of the construction contract.   Some Mega projects also include deliverables for BIM/GIS, Asset Management and service contract agreements.   As the Matrix progresses from the design contract and into the construction contract, more detailed descriptions of the components /systems of the constructed product are incorporated.  This creates better understanding of the CAMP deliverables. 

Since implementing in the late 2000’s, the USA commuter railroad has collected Lessons Learned on CAMP requirements, which are used during the development of new projects and contracts.   Enhancing the contracts was proven to enable Buyer’s PMs to better manage the Seller’s PMs and realize higher quality and comprehensive CAMP deliverables that met the real expectations of the Owner’s operating departments.   

The CAMP Matrix makes it clearer to both PM’s on the scope of deliverables and it provides the foundation for expanding the use into alternate delivery contracts such as Design Build (DB).   Thanks to designing CAMP into the deliverables, the Seller for DBB contract has well defined requirements and deliverables scope for CAMP.  In DB contract, the Seller will develop the CAMP scope during the design phase and compile the source documents from construction contract submittals from the DB prime and all its subcontractors and vendors/suppliers.  

Due to the size of scope and contract values on mega projects, the planned intermediate use of contract products for operational use ahead of the contract completion/final acceptance milestone is a practical necessity.   In the current rail transit environment in USA, the project leadership commitments to funding partners, stakeholders, politicians and influencers create urgency to place products in-service for Ribbon Cutting ceremonies and press conferences.   As a result, Owner’s assume responsibility for maintenance well ahead on the scheduled contract or project completion.  This requires that the usual end-of-contract CAMP activities become incremental and intermediate, and the project team needs to adjust project management staffing by Buyers and Sellers to expedite CAMP deliverables.

Good Practices for CAMP

• Identify detailed CAMP roles, responsibilities, personnel interfaces and scope  interdependencies in Project Management Plans, Project Quality Plans, Contract Quality Plans, Construction Monitoring Plans, Integration Plans and Contract Management/Administration Plans
• Integrate the CAMP requirements, including processes/work flows and schedules, into the technical specifications of contracts and contractors’ subcontract agreements and purchase orders
• Insist CAMP activities and deliverables be defined in contract performance milestones and in the contractor’s Detailed Contract Schedule.
• Define and dedicate manpower for Points Of Contact (POC) and signature approval authorities from the Owner, Buyer’s PM and Seller’s PM
• Create performance monitoring metrics for reporting progress on CAMP deliverables to project management leadership and to Owners
• Provide comprehensive portfolio of samples that can be used as Models for all deliverables and other written documentation necessary for the lifecycle of CAMP.

Topics for Further Consideration at Closeout:

• Assigning a Value for Warranty - Payable after Warranty Period Ends:   The integration of formal and enforceable contract requirements for CAMP may necessitate a change in the contract performance milestones.   While impractical – based on current Owner/Contractor transactions, withholding a percentage of payments to cover the warranty period may be needed to assure equal priority by Buyer’s PM and Seller’s PM to the Owner’s requirements.  Equally, Owner’s need to dedicate a team to extend the management for warranty from the initiate incremental acceptance products up to one year after contract final acceptance or as otherwise defined in the contract, which is more typically construction completion.
• Defining the Owner’s Project/Operating Role and Resources for Commissioning:  CAMP is part of the Seller’s contract.  But the actual commissioning includes the Owner’s activities to take responsibility for the contract product and undertake project and operating budget reimbursed actions to ready the organization to assign manpower and budget accordingly.   The Commissioning may need to extend to the end of the contractor’s Warranty period.

TIP:   CAMP deliverables should be tailored to the Owner’s expectations and to SAMPLES of CAMP documents accepted to the Owner on previous contracts.

TIP:   CAMP deliverables should utilize as many of the documents reviewed during construction contract Submittals, which typically include detailed instructions for start-up, operation and maintenance as well as a list of recommended consumable parts, replacement spare parts, inspections, warranty and trouble shooting information. 

TIP:  Owner/Buyer should compile a set of SAMPLE documents – proven acceptable to Owner POCs, that can be used by Buyer/Seller PMs to create and distribute CAMP deliverables. 

TIP:   Buyer’s CAMP Manager should have access to information across various functional silos of the project management organization and data management system software, including design (CAMP development), construction (CAMP implementation and training records), quality (Product/system tests, inspections and various reports) and commercial (Contract changes, requests for acceptance, payment for spare parts, and requests for release of retainage). 

TIP:   Since final acceptance of products initiates the start of the Seller’s warranty period, Seller’s PM, Buyer PM’s and Owner should create a post contract completion team to monitor the warranty lifecycle, which may occur while construction is on-going and extend after contract completion is achieved.

TIP:   Since receipt of spare parts is in the CAMP scope, Buyer’s and Seller’s PMs need to establish a formal process and documentation to manage the transfer of spare parts to support the incremental final acceptance of contract products.  

TIP:   Typical projects start with a Kick-Off Meeting, the completion of CAMP including the warranty period one-year after contract final completion, should be finalized by a Closeout Meeting between the Owner, Buyer’s PM and Seller’s PM.   As may be required, Owner’s final evaluation of Seller’s performance should record and assessment for CAMP and Warranty.

TIP:    Mega projects always start with a ground breaking ceremony where top officials from the Owner, Buyer’s PM team, Seller, Funding Partners, politicians and other influencers are smiling and holding shovels.   The CAMP deliverables and the completion of warranty – one year after full contract completion should be equally ceremonial, such as a press conference with similes, hand-shakes and words of satisfaction between the Owner, Buyer’s PM and Seller’s PM.  As may be required, Owner’s final evaluation of Seller’s performance should record and assessment for CAMP and Warranty.

Unless an Owner has designated staff, the development of technical requirements for a construction contract is usually performed by a design consultant.   The Owner identifies the scope, deliverables and performance schedule, and then establishes the process for Owner representatives to participate with the consultant in developing and reviewing the design deliverables.   In order to manage the work, the Owner typically assigns a Project Manager (PM) to monitor the consultant and to ensure project participants complete activities to support a defined project plan, schedule and budget.

Design deliverables typically consist of iterative packages, such as conceptual/basis of design, 30%, 60%, 90% and 100% design, that are reviewed and revised before becoming the technical requirements in a construction contract.   The content, format and level of detail in the deliverables are defined in the design scope, which is supplemented by the Owner’s design input such as design criteria, standard terms and conditions, model Division I specifications, industry standard specification formats and contract forms, operating standards and rules, and government code and regulations.   

The design scope for contracting with a consultant will establish objective requirements for services and deliverables, and for performance metrics.   It may also provide background for the consultant to understand the Owner’s objectives and strategic goals.   The design scope may be contained in a Scope of Work (SOW) and requirements integrated with other sections of the Owner’s standard contracting agreements.

In the rail transit project domain, the PM is largely responsible for defining and compiling the design scope.    As a result, the PM manages the technical writing of the design scope and contributes to customizing the contracting agreement with the Owner’s contracting and legal departments.   

Good Practices for the SOW

General description and purpose:   This is a summary of the consultant’s work, the current conditions and how the deliverables will be used by the Owner.    

Project background and objective:  This provides information to the consultant on how the work fits into the Owner’s strategic project plan the overarching objectives in a program, predecessor work or successor work.    

Team composition and member experience and qualifications:  This is the Owner’s expectations for the Team performing the work.   

Office location and business hours:   This is the Owner’s plan for conducting the work and coordinating with the Owner at defined locations and work hours.   For on-site requirements, this may include office space, equipment and conveniences for conducting the work.  For remote sites, this may include defined time by time zone for conducting video conferences and telephone conferences. 

Equipment and training for performing work:   This defines the Owner’s technical, safety and security requirements for the work, which can include surveying equipment, personal protective equipment, and personnel training for the work environment.

Description of services:  This is the Owner’s objective and implied expectations for the consultant’s interaction with the Owner during the execution of the contract and the creation and review of the deliverables.     

Description of deliverables and milestone schedule:    This describes the format, content, organization, incremental design levels and timeframe for the deliverables from the consultant.   The deliverables may include conceptual design description, product requirement definition and catalog cuts, and best value analysis. 

Design Criteria and reference documents:    This defines the technical design requirements for development of the construction deliverables.  The requirements may include a comprehensive list of industry standards, applicable government laws and regulations, and an appendix of documents from the Owner.  

Good Practices for the Contract Agreement Supporting the SOW:

Description of proposal format and content:   This is the Owner’s specific requirements for the proposal documentation from each bidder.   This includes written content and matrices of personnel, hours and cost to perform the work planned.  

Experience and qualifications of the consultant company:  This is the Owner’s expectations for the consultant company performing the work.   

Evaluation criteria for selecting and negotiating with prospective consultant:  This is the Owner’s critical element and metrics for meeting requirements.  This is used by the Owner for rating bidders and for comparative analysis and measuring the proposal for receiving the best value for the manhours and costs.

Critical bid response dates:    Unless modified by the Owner, these dates are not excusable.    Bidders missing dates will be eliminated from the bidding process. 

Bid conference and site tour dates, time and personal protective equipment:   Unless modified by the Owner, these dates and requirements for attendance/compliance will not be excused.  

TIP:  If there are known challenges and risks for work, the Owner should share the information with the bidders and selected consultant.   If needed, the consultant can provide the information in the design scope description.

TIP:   The proposal from the selected consultant becomes an extension to the contract SOW.   During the bid period and the selection and negotiation activities, there may be clarifications or amplifications of written proposals that become part of the contract.

TIP:   The SOW should be clear on the Owner’s support during the work.   This can be described in the SOW under Work By Other and encompass specific activities within the Owner’s organization or other contracts with interdependencies.    The activities may include the timing of review meetings and the durations and deadlines for returning comments on consultant deliverables.   Examples are:  Conduct review meetings with Owner – 7 business days after consultant’s delivery of design submittal.   Return submittal review comments to consultant 21 days after delivery to Owner.  Conduct monthly progress meetings with Owner -  5 business days after Progress Reports.

TIP:   If the consultant’s services include soft deliverables such as progress reports, updated work plans and schedules, meeting agendas,  meetings notes, and comment review matrices, the SOW or other area of contract will need to describe the requirements and milestones dates.   Examples are:  Progress Reports – 5 business days after the reporting period.    Meeting Agenda – 5  business days ahead of the scheduled meeting.   Meeting Notes  -  5 business days after the meeting date. 

TIP:   If the scope of construction is substantial, the deliverables may include interfacing the products with the Owner’s Asset Management System (AMS).    The SOW will need to describe the AMS and the specific interfaces needed in the in the consultant’s deliverables, which will be in the construction contract.     

TIP:   If the Owner intends to use the consultant for Construction Phase Services, a brief description should be identified in the SOW as an Option.   This allows the Owner to negotiate a more detailed scope and cost at a later date, when the construction scope and execution plan is better defined and time-scaled in an integrated schedule. 

TIP:   For work with community impacts and planned benefits to customer experiences, the SOW should describe Owner’s expectation for consultant’s outreach and hands-on review of the plans, products, features and finishes that will be integrated into the construction contract. Examples are:  With Owner support, schedule and conduct community meetings or attend public hearings to answer questions and obtain feedback.    At Owner’s designated location, provide access to renderings, sample products, video simulations and prototype products for community reviews and feedback.