Project Management View from Rail Transit Programs and Projects

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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