Project Controls Manual 2013-11-01 Issued Rev 3

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Massachusetts Bay Transportation Authority

Design & Construction Department

Project Controls Policy Manual

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Project Controls Manual Revision Log

Rev. No

Date Executed

Description Section Revised/Added New/Revised Template

1. 11-07-11 Additional sentence added to indicate 100% design shall be cost and resource loaded

Ch. III-Project Schedule - Section D no

2. 11-07-11 Addition of Item D Ch. III-Project Schedule - Section D . under Construction Phase Services

no

3. 11-07-11 Construction Schedule Review Log modified to be more clear and concise

Ch. III Project Schedule yes

4. 11-07-11 AGM Design Report modified - change Substantial Completion Date Forecast to Design Substantial Completion Date Forecast; add % to DBE Paid through last

Ch. VI-AGM Design Reports - Exhibit 1

yes

5. 11-07-11 Design Schedule Log modified to be more clear and concise

Ch. VI-AGM Design Reports - Exhibit 1

yes

6. 11-07-11 Design Extra Work Request Form: Title and Item Name

Ch. VIII-Design Change Control - Exhibit A fields have been removed. Classification

Level amount updated

yes

7. 11-07-11 Addition of a Mitigation Register Ch. IX-Risk Analysis - Sample 2 yes 8. 11-07-11 Guideline for Constructability Review has been

modified Ch. X-Constructability Review - Exhibit C

yes

9. 11-07-11 The figures have been updated to reflect actual projects with proper abbreviations

Ch. XIII-Project Manager Filing System - Fig. 9, 10,11

yes

10. 01-04-13 Chapter name change from Design Change Control to Scope Management; addition of Scope Management and Defining Scope - Section 1

Ch. VIII –Scope Management – Section 1

No

11. 1-04-13 Addition of Item C under Documentation Phase Ch. VIII – Scope Management – Section 6

No

12. 01-04-13 Removal of Change Request Status, Recommendation and Disposition

Ch. VIII – Scope Management – Exhibit A on Exhibit A

Yes

13. 01-04-13 Addition of Comment and Date Ch. VIII – Scope Management – Exhibit A

fields on signature page of Exhibit A

Yes

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14. 01-04-13 Change to amounts of authorization levels on Exhibit A.

Ch. VIII – Scope Management, Item 10

Yes

15. 01-04-13 Addition of a Value Engineering Process and corresponding Flow Chart

Ch. XI – Value Engineering No

16. 01-04-13 Addition of Value Engineering Review Committee (VERC)

Ch. XI – Value Engineering, Section D

No

17. 01-04-13 Attachments A-C, and Approval Form for Value Engineering Alternatives,

Ch. XI Value Engineering Yes

18. 01-04-13 Amendment to Work Breakdown Structure (WBS) section, addition of standard MBTA WBS

Ch. III – Project Schedule – Section A

No

19. 01-04-13 Addition of Project Management Plan Chapter Ch. VIX – Project Management Plan Yes 20. 01-04-13 Additional paragraphs added to Risk Analysis

Process, Project Contingency Determination added under Risk Management

Ch. IX – Risk Analysis No

21. 01-04-13 Formula added to Estimate at Completion in Table No. 1

Ch. IV – Earned Value Management During Design

No

22. 01-04-13 Contingency amount change in Figure 2; Construction Contingency in Section 4. Estimating Requirements has been updated with more detail

Ch. II – Estimating No

23. 01-04-13 Basis of Estimate in Section 7 has been updated Ch. II – Estimating No 24. 01-04-13 New General Manager and AGM Report templates

and instructions have been updated Ch. V – General Manager Reports Ch. VI – AGM Design Reports Ch. VII – AGM Construction Reports

Yes

25. 01-04-13 Timing for Submission of Lessons Learned has been changed to annually in Overview; template has been revised

Ch. XII – Lessons Learned Yes

26. 1-04-13 Construction Schedule Specification 01322 has been amended

Ch. III – Project Schedule No

27. 8-12-13 Addition of Task Order in Item No. 9 in the Design Change Request Form; update of authorization levels in Item No. 10

Ch. VIII – Scope Management Yes

28. 8-12-13 Chief Engineer of D&C and Designer signature required on Design Change Request Form

Ch. VIII – Scope Management Yes

29. 8-26-13 Updated CMG Report Ch. II - Estimating Yes

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Table of Contents Page No.

I. PREFACE .............................................................................................................................................. iv

II. ESTIMATING. ..................................................................................................................................... 1

III. PROJECT SCHEDULE. ................................................................................................................. 17

IV. EARNED VALUE MANAGEMENT DURING DESIGN ........................................................ 46

V. GENERAL MANAGER REPORTS ............................................................................................... 55

VI. ASSISTANT GENERAL MANAGER DESIGN REPORTS ................................................... 63

VII. ASSISTANT GENERAL MANAGER CONSTRUCTION REPORTS ............................... 84

VIII. SCOPE MANAGEMENT........................................................................................................... 103

IX. RISK ANALYSIS ........................................................................................................................... 116

X. CONSTRUCTABILITY REVIEW ............................................................................................... 122

XI. VALUE ENGINEERING .............................................................................................................. 131

XII. LESSONS LEARNED ................................................................................................................. 142

XIII. PROJECT MANAGEMENT FILING SYSTEM ................................................................... 147

XIV . PROJECT MANAGEMENT PLAN ........................................................................................ 153

XV. REFERENCES & CONTRIBUTORS ..................................................................................... 200

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I. PREFACE This manual provides Project Managers and Design Consultants with information and guidelines that can be used for the implementation of project controls tools throughout the life of a project. With proper controls in place, managers are able to successfully manage project cost, schedule and risk. Areas of Project Controls contained within this manual include Project Scheduling, Earned Value Management, Management Reports, Scope Management, Risk Analysis, Constructability Review, Value Engineering and Estimating. We are confident the use of this manual will ensure and enhance the quality, timeliness and cost effectiveness of MBTA projects.

MBTA Project Controls Group

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II. ESTIMATING Page No.

Introduction 2

Estimator Qualifications and Ethics 2

Cost Estimating and Management Practices 3

Estimating Requirements 4

Cost Estimating Systems 10

Design and Construction Phase Cost Estimating 10

Delivery Methods and Deliverables 14

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II. ESTIMATING 1. Introduction

An engineer’s estimate is a critical part of the project development process since it provides the following:

• Serves as a basis for probable construction cost • Supports decision-making on project scope • Serves as a guide to evaluate bidders’ proposals

Accurate estimating is an important component of MBTA’s cost-management process, as well as an important decision-making tool for the design team in its selection of systems and materials.

General Philosophy

All costs that a prudent and experienced contractor would incur must be included in project cost estimates. A listing of known facts, construction tasks, and supplemental judgments form the basis of the estimate at each stage of design. This provides a realistic approach to estimating, and it creates a history of project cost development.

2. Estimator Qualification and Ethics

1. Requirements Project estimate submissions must be prepared by professional cost estimators. Certification as a cost engineer by the Association for the Advancement of Cost Engineering (AACE), or as a certified professional estimator by the American Society of Professional Estimators (ASPE), is supporting evidence of an estimator’s qualifications, although it is not required.

2. Professional Expectations

The standards of practice described in the Canons of Ethics published by the AACE and the ASPE, and available on both their Web sites, apply to all estimating services.

3. Due Diligence Expectations The MBTA expects proper diligence in the preparation of estimates, which will grow steadily more accurate as the design progresses. While the estimator may need to make many assumptions in preparing the concept design estimate, once

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the construction documents phase has begun, estimates will no longer contain major assumptions. A comparison of successive project estimates shall be performed and any discrepancies shall be reconciled. The design engineer must work closely with the estimator to coordinate the estimates with design submissions and the scope of work, to review assumptions concerning exclusions and inclusions, and generally to ensure that the estimate reflects design intent. These estimators must have a thorough understanding of the marketplace in which the project is located, research market prices, and obtain price quotes for specialty items.

3. Cost Estimating and Management Practices

1. Cost Management Principles:

Design within Budget Unless otherwise specified in design-contract documents, the design engineer must design the project so that construction costs will not exceed the funding limitations established as the Basis of Fee Negotiation. FAR 36.609-1 requires that the engineer redesign the project at the firm’s own expense to ensure that a responsive construction bid amount will be within funding limitations.

Construction Services Construction bids may be solicited only if the Estimated Cost of Construction at Award (ECCA) amount at final construction documents is within MBTA authorized budget limits. Itemized Cost Management When project funds are secured from different agencies, funding sources or are provided as a dedicated allowance for a specific program goal, estimates must be made for each, allowing separate tracking of expenditures. Funding allocated for such projects is tracked to confirm that expenditures are apportioned according to amounts authorized by each agency, so as not to exceed the dedicated allowance. Independent Cost Estimates For projects that are determined by the Assistant General Manager for Design and Construction to require an Independent Cost Estimate to be performed, generate a task order with one of the MBTA cost consultants through MBTA Project Controls. This independent estimate determination will be made between 90% and the 100% Estimate/Schedule review meeting. Projects over $50 million must have an independent cost estimate. For projects below this

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threshold, the Assistant General Manager of Design & Construction will make the determination of whether an independent cost estimate will be performed. The consultant may be required to perform any of the following services associated with projects during the design and construction phases:

1. Review Requests for Proposals in order to develop an independent estimate of design and construction costs.

2. Develop and compare independent cost estimate with design consultant estimate.

3. Highlight and/or dispute variances between design consultant and independent estimates. Verify unit prices, escalation costs and allowances for overhead and profit.

4. Prepare an itemized engineer’s construction cost estimate (CSI format) at the design milestones at project intervals requested by the MBTA.

4. Estimating Requirements

1. General The MBTA requires cost estimates for, at a minimum, the following phases of design:

• Initial Project Estimate • Pre-Conceptual Project Estimate • 15 % Conceptual Construction Estimate • 30% and 60% Design Development Construction Estimate • 100% Construction Documents Construction Estimate

The estimate must include all elements of the proposed project work (including all design contract modifications), regardless of the design phase. Where costs are included for details not indicated on the drawings and specifications, the estimator must include design assumptions to complete the scope. The estimator must check all cost-estimate calculations for accuracy and completeness, including assessing whether estimates completely and accurately represent design features and quantities.

*Lump-sum pricing is not acceptable without description and quantification. During Construction Phase Services, estimates pertaining to Change Orders and claims must follow format described in the MBTA’s Construction Contract Change Order Guidelines.

2. Estimating Formats:

Using standard estimating formats for cost estimating and cost management:

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• Ensures a uniform cost-control framework throughout the various stages

of project development. • Defines a proper level of detail to set expectations for the estimating

effort. • Serves as a checklist to ensure complete coverage of project scope. • Provides for a standardized historical database or library.

MasterFormat Estimates MasterFormat, a product of the Construction Specifications Institute (CSI), is the most widely used standard for organizing project specifications and detailed cost estimating data in the U.S. This CSI method is typically aligned with a general contractor’s approach to preparing a bid. MasterFormat is required when the design engineer’s estimator is providing construction estimates. If a consultant wishes to provide the MBTA with another format, a submittal for approval will be required. Each individual row, within the cost estimate, shall contain the following:

A. Line # B. CSI # C. MBTA Pay Item D. Description E. Quantity F. Unit G. Hrs. H. Crew I. Labor J. Materials K. Equipment L. Unit Cost M. Total Cost

A simple unit price estimate is acceptable for estimates prior to 60% design development. The following shall be shown as separate line items:

A. General Conditions B. Overhead C. Profit D. Bond

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E. Design Contingency F. Construction Contingency G. Escalation

CMG Format Project Managers must provide project estimates in Capital Management Group (CMG) format. The format must include, but is not limited to, these following items: Design and Engineering Land Acquisition Construction Contracts Flagging/Force Accounts Construction Contingency Inspection Material Procurement Project Administration Escalation Indirect Costs Project Contingency Credits See Figure 1.

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PROJECT BUDGET DETAIL SHEET

Project Name: FITCHBURG COMMUTER RAIL LINE IMPROVEMENT - SMALL STARTSProject ID: G67PS01, G67CN01, G67CN02, G67CN03Period Ending 8/31/2013BA Input Date

A B C D E F G H I J K L M N O P

E+F G-K I-K D-I O-N

Grant WO

Resp. Code

Description CMS / FundingBase Estimated Cost

/ Base Committed Value

Allocated Base Contingency

Total Estimated Cost/Total Committed

value

Percentage EST/Contract vs

Funding

Estimate at completion

(EAC)

Percentage EAC vs

Funding

Expenditures (AC)

Remaining Total Contract Value to date

Estimate to complete (ETC)

Required Funding Before

Contingency Use

Available Contingency

Additional Funding

Required

PS Professional Service / Design $26,827,171 $25,694,302 $1,862,303 $27,556,605 103% $31,188,527 116% $17,272,132 $10,284,473 $13,916,395 ($4,361,356) $0CN Construction $132,925,331 $107,864,665 $10,984,747 $118,849,412 89% $126,446,472 95% $4,684,172 $114,165,240 $121,762,300 $0 $6,478,859FA Force Account $170,332 $170,332 $0 $170,332 100% $170,332 100% $170,332 $0 $0 $0 $0RE Real Estate $524,770 $510,000 $51,000 $561,000 107% $561,000 107% $440,413 $120,587 $120,587 ($36,230) $0MP Material Procurement $0 $0 $0 $0 0% $0 0% $0 $0 $0 $0 $0IN Inspection $1,623,510 $642,595 $0 $642,595 40% $3,200,000 197% $642,595 ($0) $2,557,405 ($1,576,490) $0PA Project Admin $6,928,886 $2,128,418 $40,009 $2,168,427 31% $8,952,370 129% $1,687,771 $480,656 $7,264,599 ($2,023,484) $0XG Unallocated Contingency $3,664,986 $0 $2,146,285 $2,146,285 59% $2,146,285 59% $0 $2,146,285 $2,146,285 $0 $1,518,701

$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0

Total $172,664,986 $137,010,312 $15,084,344 $152,094,656 88% $172,664,986 100% $24,897,415 $127,197,241 $147,767,571 ($7,997,560) $7,997,560 $0

responsibilityPM/BA Grant # Work Order ValueBA R10A10 $56,259,750FORMULA 030291 $2,450,250PM 030292 $91,290,000

050107 $383,223R01A13 $8,616,777R12A11 $10,000,000

DefinitionCol. DCol. ECol. FCol. GCol. NCol. P

Total $169,000,000 ($3,664,986)

Funding available in the contract before using all available project contingencyFunding available to the project

Project Budget Summary

CMS Distribution valueCMS Estimated Value or Committed if awarded (does not include contingency)Contingency based on Engineers estimate or associated with contract valueSum of Col. E & Col. F (not always equal to Col. D)

Figure 1 CMG Report

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3. Contents and Degree of Detail Unit Pricing Unit-price cost estimates are based on detailed design documents and developed by adding up the direct costs of materials and supplies, labor, and construction equipment for each individual task of construction work. The basis for these unit costs must be well documented and included in the supporting data of the estimate. To these, direct costs are added applicable indirect costs, such as overhead and profit at a subcontractor level, to reflect the in-place construction cost per unit of work required. For construction estimates, up to and including 30%, it is acceptable to use unit prices combining labor, materials, and equipment costs in a single figure. For 60% estimates and above, MBTA requires separate labor, material, and equipment unit pricing. Documentation of unit-price data for smaller items could include price quotes, audits, catalog cuts, and historical costs to clarify price bases and assumptions made when other information is not available.

General Conditions and Profit

1. 30% Design Development – An overall percentage allowance for the General Contractor’s general conditions, bonds, insurance, and corporate overhead and profit–is appropriate if the project involves no unusual coordination, site preparation, or specialized support services.

2. 60% and 100% Design Development and Construction Document - It is appropriate to estimate these costs with breakdowns:

• General Conditions: Comprised of itemized general requirements and

job-site supervision.

• Mark-Ups: Comprised of general and administrative costs, profit, bonds, and insurance.

Design Contingencies Contingencies are an integral part of the total estimated costs of a project and cover costs that may result from incomplete design, unforeseen and unpredictable conditions or uncertainties concerning project scope. The amount of the contingency will depend on the status of design, procurement, and construction, as well as the complexity and uncertainties of the component parts of the project. Contingency is not to be used to avoid making an accurate assessment of expected cost. MBTA may choose to set aside separate contingencies for major schedule changes, unknown design factors,

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unanticipated regulatory standards or changes, additions to project scope or force majeure situations. Contingencies must always be separately identified so that the magnitude of a contingency’s impact is clear. For example, the estimator may never add contingency by concealing it within unit pricing or quantity estimates or takeoffs. Design contingencies start at 50% during initial stages and are reduced to zero as the design is completed. Figure 2 shows design contingency allowances. The table provides a guide for estimating contingency development and is not intended to limit contingency to these values

Recommended Design Contingency Allowances (Expressed as a percentage of estimated cost) Project Stage Design Contingency Design Complete Initial 50% 0 Pre-conceptual 40% 0+ Conceptual 20% 15% Design Dev. 15% 30-60% Construction Documents 0% 100%

Figure 2

Construction Contingency The construction contingency is an allowance for cost growth that may occur during construction as a result of unexpected circumstances or incomplete design documents. The risk associated with each project is a factor to consider when determining contingency. The methods below, or a combination thereof, shall be utilized to determine construction contingency: 1. Risk Analysis 2. Trend Analysis 3. Historical Data Each project shall meet with Project Controls to validate the contingency proposed for each project (see Section IX – Risk Analysis).

Escalation Escalation is the anticipated increase in the project’s cost due to inflation between the time the estimate is prepared and when the project is finished, since inflation continues during project construction. For simplicity, the estimator must assume that half of the work will occur before the midpoint of construction and half after. Therefore, the estimate is escalated to the midpoint of construction to reflect the contractor’s provision for inflation in its bid.

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Applying Markups, Contingency and Escalation Demonstrate how mark-ups, contingencies, and escalation should be calculated and applied to projects. Reviewing and Reconciling Estimates An engineer’s estimate will be prepared at each design stage. At 30% - 100%, the estimate will be reviewed by a Senior Management review team. The design consultant and its estimator are required to prepare a standardized review package for Project Controls which will be issued three (3) weeks prior to the review meeting. The review package shall consist of: the estimate in the appropriate format as described in this section along with a Cost Growth Report, project scope description, basis of estimate and recommended Add Alternates. The estimator will present the full basis for the estimate in conjunction with the design consultants. The estimate review meeting is held in conjunction with in-depth schedule review and risk analysis. Please contact Project Controls prior to coordinating this meeting. On projects for which MBTA requires the preparation of an Independent Cost Estimate (ICE), the design engineer is responsible for designating a member of its team to reconcile the ICE with its own estimate in an orderly and comprehensive manner.

5. Cost-Estimating Systems

MBTA encourages but does not require the use of computer-based cost-estimating programs to mitigate manual calculation errors and facilitate changes. The requirements defined in this document can be easily met by using various commercially available computer software programs and spreadsheets. Generic spreadsheets allow user adaptation and offer flexibility in applying different cost databases.

28 6. Design and Construction Phase Cost Estimating

Any design-submission may include, but are not limited to:

• cost estimates and reports • market survey • cost growth reports • space-type cost analysis • life-cycle cost analysis • value engineering studies

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• independent estimate reviews • budget analysis • construction award bid analysis • database information preparation • construction modifications & claims analysis • value engineering change proposals analysis (VECPS) • risk analysis reports

The purpose is to establish a cost management system that tracks budgets established based on the prospectus in a MasterFormat, comparing cost growth and cost modifications for all MasterFormat elements through design, procurement, construction and project completion. As a general rule, all estimates being provided by the design engineer’s estimator shall be in CSI MasterFormat. A Cost Growth Report is required at all submissions. An independent third party hired by the MBTA performs Value Engineering (VE). Value Engineering is required at the completion of 30% design. MBTA may elect to conduct an additional VE study at the construction documents phase on a project-by-project basis. After the MBTA completes an internal review and selects particular VE options, an estimate that incorporates the VE shall be provided.

1. Cost Estimates and Summaries

Initial Project Estimate

The PM develops an initial estimate of what the total project budget will be and determines individual costs. Below is a sample of what should be included:

Total Project Budget of $XXXXX, Construction $XXXXX, Design $XXXXX, Real Estate $XXXXX, Force Account $XXXXX, Project Administration Inspection $XXXXX, Indirect Costs $XXXXX. Pre-Conceptual Project Estimate

After a designer is selected, the PM reviews and revisits the initial project estimate and refines the cost, if necessary. 15% Conceptual Construction Estimate These estimating requirements apply to any concept-level estimate submitted by the design consultant and its estimator. If a project’s design requires multiple concept submissions, each concept submission must be supported by the estimates described here.

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Conceptual estimating may require the preparation of estimates on three competing basic schemes/concepts, allowing MBTA to select its preferred scheme. For each scheme, the design engineer’s estimator prepares separate estimates for phased work, multi-structures, and or bid alternates/options. The design engineer also submits estimates for concept design analysis/studies as specified in design-programming directives and/or design criteria references, and a comparison sheet for multiple concepts/schemes. Estimators must calculate quantities for appropriate systems or apply parameters to appropriate building/transit areas. Applied unit costs may be based on combined material and labor costs. Concept estimates must match the estimate format of the budget estimate to facilitate cost-breakdown comparisons. Backup worksheets must support detailed estimates, covering all cost-sensitive project data and defining all major assumptions made. Backup estimating data and quantity-survey information may be in any format, grouped under appropriate format classification headings. The design engineer is required to provide the estimator advance copies of all concept plans and documentation early enough to allow for the preparation of required estimates as part of the concept design submission. Advance documents must include, but not limited to, floor plans, elevations, sections, and perspective views in sufficient detail to allow a realistic parametric cost assessment. In addition, the engineer provides:

• A statement on the conceptual approach and general features for each major building system, including an itemized listing of anticipated types and approximate capacities/sizes. Block loads for structural, mechanical, and electrical systems.

• Quality levels of major materials and systems to be used, including any

special design programming or code requirements relating to fire protection, HVAC, plumbing, electrical, and structural components.

• A copy of the design program to ensure that the estimator understands

goals, objectives, and design directives that may not yet be reflected in concept design submission documents.

The PM must take each current estimate (given in CSI Format) and confirm and/or refine previous estimated costs, associated with the project.

30%, 60% and 90% Design Development Construction Estimate The design engineer and its estimator shall develop a construction estimate of the selected design scheme.

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Backup worksheets are required to support the detailed estimates, which represent all cost-sensitive project data. Define all major assumptions. Backup estimating data and quantity-survey information may be in any format, but must be grouped under appropriate format classification headings. The PM must take each current estimate (given in CSI Format) and confirm and/or refine that previous estimated costs, associated with the project, are within budget.

100% Construction Documents Construction Estimate

The design engineer and its estimator must provide a detailed construction estimate. If the overall project’s construction estimate exceeds the budget, the Project Team is required to propose cost-saving measures to bring the project within budget. The PM must take each current estimate (given in CSI Format) and confirm and/or refine previous estimated costs to ensure the project is within budget.

2. Cost Growth Report

A Cost Growth Report consists of a table that details and explains the items that contributed to cost growth. A Cost Growth Report (CGR) is to be provided to the MBTA with every construction estimate submittal in order to track cost growth at each design phase by comparison with the project budget.

3. Requirements for Bid Submission

The Contract Administration Department ensures that the bid packages include a lump-sum bid requirement for each bid option, alternate, and unit-pricing item.

39 4. Construction-Award Bid Analysis

Bids are opened publically, read aloud and the apparent low bidder is determined as the lowest responsive bidder according to MGL Chapter 30 and 39 M. After the apparent low bidder is identified, an analysis of the bids is performed by Contract Administration and the MBTA’s designer engineer.

After the construction contract is awarded, the estimator analyzes the bid cost, using all available cost data, including the contractor’s breakdown of costs submitted as the payment schedule for monthly progress payments for each trade or subcontract.

MBTA will provide the engineer and the estimator the following data:

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• The abstract of bids received for the procurement with an indication of the award amount and the bids offered by all contractors.

• Any breakdown or verification of contractor or subcontractor prices in the course of contract award.

5. Construction Modifications and Claims Analysis

Estimates provided during the construction phase shall follow the MBTA’s Construction Contract Change Order Guideline. The Guideline provides information, procedures, and guidance for estimating and processing construction contract modifications. Contract modifications include change orders, contractor claims, formal resolution of constructive changes, the impact on unchanged work, suspension of work, and time extensions.

7. Delivery Methods and Deliverables

1. Requirements for Estimates The following deliverables shall be provided by the Design Engineer’s estimator and should accompany all estimates. • Project Scope Description

o This section of the estimate basis should be organized to correspond with

the project’s work breakdown structure. A semi-detailed description of the scope of work should be provided for each major segment of the project. Identify any major pieces of equipment or components. It’s also good practice to indicate the primary trades that will be involved with the project.

• Basis of Estimate General assumptions

o Assumptions include, but are not limited to, constructability, use of specialized construction equipment, work shift, labor, supply, etc.

o A schedule should be developed as a key output of a cost estimate. The schedule shall coincide with the estimate. Development of the schedule and cost estimate is a highly iterative and interrelated process; therefore, a statement confirming the estimate and schedule are in unison with each other shall be provided with the estimate.

• Pricing basis

Example of pricing basis is shown below:

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o Pricing sources for all major equipment and/or material (vendor quotes,

historical data, etc,). o The pricing source for all labor hours, and all labor productivity

adjustments. Provide appropriate detail if productivities vary by trade and/or location within the project (station, etc.).

o Wage rates used (including crew/craft rates, craft mix, etc.). Pricing source and methodology for all home office costs (project management, engineering, design, etc.). Document the basis for any contractor fee costs.

o Pricing source and methodology for costs such as freight, taxes, duties, etc.

o Escalation indices used, and the method of calculation (including duration).

o Location factors used and the basis for these factors. o Influence of local market conditions. o Any other pricing factors or external influences that may have a

significant impact on project cost should be identified. o Estimate line items to be stripped of contingency.

• Allowances

o Identify the level and types of allowances used in the estimate. Describe

the basis for the common estimating allowances such as material take-off allowances, design allowances for engineered equipment, congestion allowances, working height allowances, etc.

o This section should also describe any other costs, and appropriate back-up, that have not been detailed in the body of the estimate, such as lump-sum allowances for specific areas of scope or any other factored costs not described elsewhere in the estimate basis.

• Exclusions

o In this section, the estimator should document all potential items of cost which a reviewer might associate with the project, but for which no costs have been included in the estimate. MBTA Force Account and land acquisition are examples of potential items that may need to be identified.

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• Estimate comparisons

o Include MBTA historical cost items.

• Cost Growth Report

• Risks and Opportunities

o Identify any areas of the estimate containing significant risk or opportunity.

• Estimating Team

o All members of the estimating team should be identified, including roles, responsibilities and qualifications.

o If material take-offs (MTO’s) are provided to the estimator, identify specifically who developed the MTO’s and the methodology used.

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III. PROJECT SCHEDULE Page No.

Project Design Schedule Submittal 18

Project Design Schedule Updates 24

Revisions to the Project Design Schedules 24

Anticipated Construction Schedule/Contract Time Determination 25

Construction Phase Services 26

Construction Schedule Specifications 28

Construction Schedule Review Log 45

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III. PROJECT SCHEDULE

Project Managers (PM) are responsible for managing design and construction schedule associated with their projects. It is the PM’s role to act as the coordinator and catalyst for the activities of the design consultant and other team members and to assist the team in establishing and meeting the time management goals of the project. Project Managers must be skilled in anticipating and analyzing problems, resolving or facilitating the resolution of problems in a timely manner and monitoring the implementation of the resolution to avoid adverse time impacts. Schedules are to be used for managing all the project phases. Once a designer has been selected, the PM works closely with the design engineer to develop a design schedule within the time frame described in the project RFP. The Design Engineer is responsible for developing and updating the Project Design Schedule. A. Project Design Schedule Submittal

1. Scheduling Representative

Prior to the submission of the Project Design Schedule, the Design Engineer shall designate a scheduling representative during the design phase for the project. The scheduling representative is the person primarily responsible for development and maintenance of the Project Design Schedule, the Design Engineer’s representative in all matters regarding the Project Design Schedule, and the designated attendee for all schedule related meetings. The Design Engineer shall notify the Authority of any changes to the person(s) designated as the scheduling representative. The Engineer shall submit the qualifications of the scheduling representative to the Authority for approval. This approval is required before the Project Design Schedule will be accepted. The scheduling representative shall have experience in project controls, specifically cost and resource loading schedules along with performing an earned value analysis on projects using Oracle Primavera Scheduling Software® or equivalent Critical Path Method (CPM) schedule software. XER or PRX format is required.

2. General Requirements

Within thirty (30) calendar-days after the start date specified in the Notice to Proceed, the Engineer shall submit a detailed Project Design Schedule (PDS) to the Authority for review and acceptance. The PDS shall detail the activities required to complete Design Phase Services within the time period specified in the Contract. The PDS shall be a computerized

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cost loaded CPM Schedule showing the estimated cost and duration of each activity for all phases of the design work. The Engineer shall cost-load the PDS by developing cost accounts for specific design scope items and assigning a cost value to each activity in the PDS. The cost value assigned to the activity shall be designated as the “Budget-At-Completion” (BAC). The BAC for each activity shall represent an allocation of the total project budget for the Design and Engineering Phase. The Engineer shall base the BAC on the labor rates and hours to complete each activity as determined by the Engineer or negotiated with the Authority. The Engineer shall submit a Cost Accounting Standard Disclosure Statement that details the procedures used to ensure the budget for each cost account is consistent and properly recorded in the Engineer’s general cost accounting system for the design work planned to be performed by the Engineer and its sub-consultants.

The Design Engineer shall use Oracle Primavera Scheduling Software® or equivalent CPM schedule software to develop the PDS. The schedule software shall have the capability to identify the critical activities along longest path of work through the schedule network for the project. The schedule software shall run on PC compatible equipment and be compatible with Microsoft Windows© based software. The software shall be capable of processing and plotting the progress of the work, determining the earned value of the work performed by the Design Engineer on a monthly basis, and comparing the progress and earned value of the work shown in multiple updates submitted by the Design Engineer.

The PDS submittal shall include an electronic computer disk with the schedule data files for the PDS and the following documents:

a. Time scaled diagram with a scale and format that is acceptable to the Authority; b. Budgeted Cost Curve; c. Work Breakdown Structure; d. Schedule Tabular Reports and Cost Control Reports with at a minimum the

following reports sorted by: 1. Predecessor/successor, 2. Early Start/Total Float, 3. Total Float/Early Start, 4. Critical Path of Work, and 5. Summary by Cost Account sort report.

e. Written Narrative (WN) shall explain the sequence of design work, the critical or longest path of work, interim completion dates and phasing, significant dates that require actions by the MBTA or others, critical action items, and adequacy of the design budget. The narrative shall also describe how the PDS provides for permit requirements, environmental requirements, coordination with other public agencies, third parties, i.e. businesses, community, property owners, milestone dates (for the design phases or other related work significant to the design), and coordination with all utility companies. Explain the specific scope of each design

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phase and the basis used to determine the original duration of each phase. The WN shall provide a description of the design alternatives included in the design or presented separately for the Authority for review.

f. The method used to determine the percent complete for each milestone deliverable based on earned value (Note: The method the Design Engineer uses to determine the percent complete shall be based on the physical progress of the work not the actual costs incurred as compared to the planned budget for an activity),

g. Printed Calendars with a listing, description, and calendar form tabulation of all calendars used. Include the total number of anticipated work days required to complete the design work.

The Design Engineer shall submit to the Authority four hard copies of items a through g. The Design Engineer may submit electronic copies of items a, through g, in a PDF format, if acceptable to the Authority Upon acceptance of the PDS by the Authority, the PDS shall become the Baseline Project Design Schedule of Record (PDS Baseline). The PDS Baseline shall be used to assess the Design Engineer’s reported progress in the PDS updates, as described in Section B.

3. Activity, Milestone, Work Breakdown Structure Requirements

In the PDS, the Design Engineer shall develop and layout project-specific activities, Milestones, durations, and phasing to meet the scope and earn value requirements of a project. An example of the layout for the PDS is shown in Figure 3. The Authority shall review the PDS Baseline and may require the Design Engineer to revise the PDS to add activities or Milestones, change activity descriptions, and modify activity relationships and logic to reflect the scope requirements and expected work sequencing.

Figure 3 – Layout for Project Design Schedule

A. Activity The PDS shall include the budgeted cost and duration to complete each activity along with the sequence and logic for each activity from Notice to Proceed to the start of Construction Phase Services. The Design Engineer shall refer to the description of each task in the

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Request for Proposals Design Services (RFP), Scope of Services section to develop the appropriate activities for each phase of the design work.

B. Milestones

The Design Engineer shall include a Milestone for each Phase of the design work. The Design Engineer shall refer to the description of each phase in the Request for Proposals Design Services (RFP), Scope of Services section to develop the appropriate milestones for design work. The Design Engineer may include the following Phases:

1. Phase 1 - Conceptual Engineering Plan (0-15%) 2. Phase 2 – Preliminary Design (15-30%) 3. Phase 3 – Design (30-60%) 4. Phase 4 – Design (60-90%) 5. Phase 5 – Final Design (90-100%) 6. Phase 6 – Bid and Award (End of Design Phase Services)

C. Work Breakdown Structure (WBS)

Each project shall incorporate a multi-level hierarchal WBS into the PDS. This is the typical standard and should be submitted and correlate with design schedules. A WBS subdivides project work and deliverables into smaller, more manageable components. It organizes and defines the total scope of the project and represents the work specified in the current approved project scope statement. A typical WBS for the MBTA is shown in Figure 4.

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Figure 4. MBTA TYPICAL WORK BREAKDOWN STRUCTURE (WBS) 1 MBTA TRANSIT EXPANSION PROGRAM 1 1 PROJECT #1 1 2 PROJECT #2 1 3 PROJECT #3 1 1 1 PS PROFESSIONAL SERVICES 1 1 1 1 ENGINEERING 1 1 1 1 1 FEASIBITY/STUDY 1 1 1 1 2 15% design 1 1 1 1 2 1 15 % CIVIL 1 1 1 1 2 2 15% STRUCTURAL 1 1 1 1 2 3 15% ARCH 1 1 1 1 2 4 15% MEP 1 1 1 1 2 5 15% OTHER 1 1 1 1 3 30% design 1 1 1 1 3 1 30 % CIVIL 1 1 1 1 3 2 30% STRUCTURAL 1 1 1 1 3 3 30% ARCH 1 1 1 1 3 4 30% MEP 1 1 1 1 3 5 30% OTHER 1 1 1 1 4 60% design 1 1 1 1 4 1 60 % CIVIL 1 1 1 1 4 2 60% STRUCTURAL 1 1 1 1 4 3 60% ARCH 1 1 1 1 4 4 60% MEP 1 1 1 1 4 5 60% OTHER 1 1 1 1 5 90% design 1 1 1 1 5 1 90 % CIVIL 1 1 1 1 5 2 90% STRUCTURAL 1 1 1 1 5 3 90% ARCH 1 1 1 1 5 4 90% MEP 1 1 1 1 5 5 90% OTHER 1 1 1 1 6 100% DESIGN 1 1 1 1 6 1 100 % CIVIL 1 1 1 1 6 2 100% STRUCTURAL 1 1 1 1 6 3 100% ARCH 1 1 1 1 6 4 100% MEP 1 1 1 1 6 5 100% OTHER 1 1 1 1 7 CONSTRUCTION PHASE SERVICES 1 1 1 1 8 PROJECT MGMT 1 1 1 2 OWNER'S REP 1 1 1 3 PROGRAM MGMT 1 1 1 4 VE 1 1 1 5 ICE 1 1 1 6 RISK 1 1 1 7 OTHER 1 1 2 RE REAL ESTATE 1 1 2 1 LAND ACQUISITION #1

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MBTA TYPICAL WORK BREAKDOWN STRUCTURE (WBS) 1 1 2 2 LAND ACQUISITION #2 1 1 2 3 OTHER 1 1 3 CN CONSTRUCTION 1 1 3 1 CONSTRUCTION PACKAGE 1 1 1 3 2 CONSTRUCTION PACKAGE 2 1 1 3 3 CONSTRUCTION PACKAGE 3 1 1 3 1 1 MILESTONES 1 1 3 2 1 1 SUBMITTALS 1 1 3 3 1 2 PROCUREMENT 1 1 3 4 1 3 CONSTRUCTION 1 1 3 4 1 1 1 PHASE/LOC/AREA 1 1 4 IN - INSPECTION 1 1 4 1 INSPECTION 1 1 4 2 RESIDENT ENGINEER 1 1 4 3 OTHER 1 1 5 FA -FORCE ACCOUNT 1 1 5 1 BUS DIVERSIONS 1 1 5 2 MBTA FLAGGING 1 1 5 3 T RACK DEPT 1 1 5 4 SIGNAL DEPT 1 1 5 5 COMMUNICATIONS DEPT 1 1 5 6 POWER 1 1 5 7 OPS SUPPORT 1 1 5 8 COMMUTER RAIL FLAGGING 1 1 5 9 OTHER 1 1 6 PA - PROJECT ADMINISTRATION 1 1 6 1 PROJECT MANAGER 1 1 6 2 DIRECTOR 1 1 6 3 T POOL/ADMIN STAFF/INDIRECTS 1 1 6 4 OTHER 1 1 7 PR -PROCUREMENT 1 1 7 1 VEHICLES 1 1 7 2 RAIL 1 1 7 3 SIGNALS 1 1 7 4 OTHER 1 1 8 CY- CONTINGENCY 1 1 8 1 PROFESSSIONAL SERVICES 1 1 8 2 REAL ESTATE 1 1 8 3 CONSTRUCTION 1 1 8 4 INSPECTION 1 1 8 5 FORCE ACCOUNT 1 1 8 6 PROJECT ADMINISTRATION 1 1 8 7 PROCUREMENT

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B. Project Design Schedule Updates

1. Requirements for PDS Update Upon acceptance of the Baseline PDS, the Design Engineer shall submit monthly schedule updates identified as the Project Design Schedule Update (PDS Update). The submission of the PDS Update is a prerequisite to processing the Partial Payment Request. The PDS Update shall reflect the Design Engineer’s progress of work on the data date. Each PDS Update shall include an electronic computer disk with the Design Engineer's schedule data files (including activity data, logic, WBS coding, and cost data) and a Progress Monitoring Report prepared in accordance with Section B.4. The Authority shall review, provide comments and return the PDS Update to the Design Engineer as “accepted,” accepted as noted,” or “revise and resubmit.” If necessary, the Authority and Design Engineer shall meet to discuss the progress of work as of the data date prior to the submission or resubmission of the PDS Update. Upon acceptance by the Authority, the PDS Update shall become the Progress Schedule of Record for the period between its data date and the data date of the next approved update or revision. If the PDS Update submittals are returned to the Design Engineer for corrections or revisions, the Design Engineer shall revise and resubmit the PDS Update submittal to the Authority for review within ten (10) business days from the date returned by the Authority.

2. Progress of the Design Work The Design Engineer shall provide for the Authority’s review and acceptance the proposed deliverables and method it plans to use to measure the percent complete for each activity in the PDS. The Design Engineer shall refer to the description of each phase and task in the RFP’s Scope of Services section to develop the appropriate method for measuring and quantifying the progress of the design work. The actual percent complete shall be based on the physical progress of the work completed by the data date, not the actual cost incurred. The Design Engineer shall submit the PDS Update with its request for partial payment application. C. Revisions to the Project Design Schedules A revision to the Design Engineer’s scope of work due to a change in accordance with Contract Article II, Subsection 9, Revisions in the Scope of Work, Subsection 13, Changes, Subsection 14, Excusable Delays, shall be incorporated into the PDS and in accordance to the MBTA’s Design Change Control Guidelines and as shown below.

1. Project Design Schedule

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The Design Engineer shall incorporate the proposed change(s) into the appropriate PDS Update as a fragnet(s). The fragnet shall include the following data:

a. Start Date b. Finish Date c. Duration d. Linked to the appropriate predecessor activity. e. Linked to the appropriate successor activity. f. Description of the added work. g. An Activity identified as the Authority review of the proposed change.

The Design Engineer shall incorporate the fragnet into the proposed PDS Update identified by the Design Engineer. The PDS Update with the fragnet shall be identified as the Project Design Schedule with Proposed Revisions (PDSRV). The Design Engineer shall submit the PDSRV with a detailed report to the Authority for review and acceptance. The detailed report shall discuss the effects of the fragnet on the progress of the design work. The effect of the change to the project’s Critical Path shall be stated. Extra work or additional work that does not affect the critical path work will not be considered as the basis for a time extension. If a revision to the scope of work, change, or an excusable delay increases or decreases the contract duration then the Design Engineer shall notify the Authority in accordance with Contract Article II, Subsection 9, Revisions in the Scope of Work, Subsection 13, Changes, Subsection 14, Excusable Delays. Upon acceptance and issuance of an amendment for the change, the Design Engineer shall incorporate the fragnet into the PDS Update, which correspond to the date the Authority approved the change. The PDS Update with the accepted fragnet shall become the Revised Progress Schedule of Record. Design changes shall be in accordance with the Design Change Control process described in Section VIII. Modifications to earned value shall be in accordance with Section IV - Earned Value Management During Design. Project Managers are required to keep all project design schedules on file. A copy of all design schedules should always be sent to MBTA Project Controls. D. Anticipated Construction Schedule/Contract Time Determination (CTD) Per a Design and Construction Directive issued on November 17, 2010: “A Construction Schedule will be prepared by the Design Engineer at the 30%, 60% and 100% design stage, which will receive an expanded review by a Senior Management review team. The construction schedule prepared at the 100% design stage shall be cost and resource loaded. The scheduler is required to prepare a standardized review package which will be issued three (3) weeks prior to the review meeting. The scheduler will present the full basis for the construction schedule in conjunction with the design consultant. The topics to be included in the review package are as follows:

• Full CPM Schedule;

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• Schedule showing longest/critical path; • Near Critical Path; • Schedule showing work associated with each milestone; • Work shifts (days, nights, non-revenue) shutdowns; and • Assumed construction approach.

Companies performing MBTA construction scheduling services will be required to submit a statement of qualifications for review that includes:

• Resumes of personnel performing construction schedule. • A five (5) year summary of the company’s and individual’s construction

scheduling history. • Five (5) years experience developing construction schedules for projects of

similar scope and complexity.” CONSTRUCTION PHASE SERVICES During Construction Phases Services the Design Engineer is responsible for reviewing all contractor issued schedule submittals to determine if the schedules are in compliance with the Project Schedule Specification. The Project Manager is responsible for ensuring that the Design Engineer is performing schedule reviews in accordance with the specifications and requirements shown below. The requirements of review are as follows:

a. Baseline Schedule Review – (Initial Construction Schedule Review) Define and

identify layouts and reports for routine reviews of contractor schedule submittals. Independently assess the project scope to establish compliance of “preliminary” As-Planned Construction Schedule. Compare Schedule and Scope against Contract Times. Review schedule for contract required sequencing, phasing and time allowances for submittal reviews and other owner responsibilities. Review schedule logic for completeness, feasibility and proper predecessor and successor relationships to submittals, procurement, permitting and ties to proper access restraints, milestones and interfaces. Ensure that all interfaces are practical and confirmed by appropriate agencies, parties and subcontractors. Review Contract accesses and milestones to ensure proper constraints are reflected. Identify preferential logic that could be removed if necessary. Review durations for reasonableness and identify if greater than 30 days. Review cost/resource loadings for reasonableness. Review schedule for reasonableness of critical path, float management and float utilization. Confirm submittals meet contract technical requirements. Confirm that reasonable allowances are included for uncertain events such a repeat submittals and normal weather effects on weather sensitive work. Confirm that schedule allows for actual project conditions. Prepare schedule review report along with recommendation.

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b. Update Schedule Review – (Regular Monthly Schedule Updates) Validate progress

with MBTA team Project Manager and confirm compliance to contract times. Identify changes between updates and compare to the baseline. Identify/review critical path logic changes and out-of-sequence progress. Determine that change orders have been incorporated and delay issues are fair and reasonable. Summarize and review the critical and near critical paths. Prepare progress analysis and trend charts (manpower/cost). Consider overall implication of the information in the schedule submittal. Assist MBTA in preparing written responses to the Contractor and attend monthly progress meeting. Minor schedule changes and minimal time impacts will be reviewed as part of the typical update process.

c. Time Impact Analysis Review - (TIA) Review substantial schedule impacts,

delays or changes to the Contract submitted by contractor. Provide detailed analysis to determine time entitlement. Review contractors schedule fragnet, associated resources, cost loading and supporting documentation. Recommend approval or disapproval of TIA.

d. Review and Comment - Review and comment on reasonableness of contractor’s submitted Schedule of Values (Lump Sum Breakdown) that was derived from the project construction cost and resource loaded schedule.

In some instances, the PM utilizes the services of an independent schedule consultant to review construction schedules submitted by contractors. The services of an independent schedule consultant are arranged through MBTA Project Controls. A task order will be issued to provide these services. During construction, the Contractor is responsible for providing schedules in accordance with the Construction Schedule Specification 01321 or 01322. The content of Specification 01322 is provided in the next section.

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SECTION 01322 (LUMP SUM) CONSTRUCTION SCHEDULE 1.1 DESCRIPTION

A. This Section specifies the general requirements and procedures for preparing and submitting Contract Schedules to the Authority for review and acceptance.

B. Refer to Section 01151 regarding payment requirements associated with the schedule.

C. Refer to Section 00700 Article 6.6, 6.7 and 6.8 for requirements associated with Delay, Suspension of Work and Extension of time.

1.2 SCHEDULE GLOSSARY

A. The following terms used in this Section or elsewhere in the Contract Documents shall have these meanings:

1. Activity - An element in the schedule highlighting or depicting a part of the

Work and establishing the time and resources required, for completing that part of the Work.

2. As-Built- A schedule showing all activities complete including Final Completion.

3. As-Planned Schedule/Baseline Schedule - Construction Schedule Revision 0 (Rev. 0) Submittal returned by the Authority to the Contractor as “Accepted or accepted as noted,” with or without comments or objections noted, showing the contractor’s plan to complete the work within the Contract Time. As-Planned and Baseline may be used interchangeably and shall have the same meaning.

4. Construction Schedule - Schedule which shows the Contractor’s approach to

planning, scheduling, and execution of the work. Includes the Revision 0 and monthly Progress Schedule Submittal(s).

5. Contract Float - Number of Business Days between the Contractor’s anticipated date for early completion of all or part of the work and the corresponding Contract Time or Contract Milestone(s). Contract Float is further defined as the amount of time any given activity or path of activities may be delayed before it will affect the Contract Time.

6. Cost Loaded Schedule –A CPM schedule which includes the accurate allocation

of the cost of the Work to all schedule activities to represent the complete scope of work included in the Contract. Costs allocated to each Activity are to be proportional to the scope of the Work of the Activity and consistent with the Contractor’s detailed bid. The Authority reserves the right to use the cost-loading as a secondary means to resolve changes and/or claims. ‘Front-loading’ or other unbalancing of the cost distribution will not be permitted. The sum of the cost of all schedule activities is equal to the total Contract Price.

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7. CPM - The Critical Path Method of planning and scheduling. References to the Critical Path Method (CPM) shall be to CPM construction industry standards that are consistent with this Section 01322.

8. Critical Path - Any continuous sequence of Activities in the schedule that

controls achievement of a corresponding Contract Time or Milestone(s).

9. Data Date- The data up to or through which the project’s reporting system has provided actual status and accomplishment. A schedule with a data date of December 1, 2013 shall be referred to as the November 2013 schedule.

10. Days - Refer to Section 00700, Article 1 of the General Conditions.

11. Delays - Slippage of the dates in any Progress Schedule Submittal which forecast

any slippage or overrun of Milestone(s) or Contract Times.

12. Early Completion Schedule - A CPM schedule showing completion of the Work ahead of the Contract Time specified in Section 00700, Article 6.2, Prosecution of Work.

13. Early and Late Dates - Early times and late times of performance for the

Activities as defined by CPM techniques and as further limited by the requirements of the General Conditions.

14. Milestone - A key point of progress (zero duration) established in the

Construction Schedule and as specified in the Contract Documents under Section 00700, Article 6.2.

15. Notice to Proceed (NTP) - The date when the Contract starts. 16. Progress Schedule Submittal - A monthly schedule update, with an update of the

Critical Path Method Schedule, of the As-Planned Schedule (Rev. X) intended to aid in and facilitate the evaluation of a partial payment.

17. Resource Loaded Schedule - A CPM schedule which includes the accurate allocation of the resources to perform the Work, for all schedule activities. Resources allocated to each Activity are to be proportional to the scope of the Work of the Activity and consistent with the Contractor’s detailed bid. The Authority reserves the right to use the Resource Loading as a means to resolve changes and/or claims. Indicating the manhours per day, by craft, and equipment hours/day will be acceptable. In addition, all change orders will be required to be resource loaded to validate and monitor the duration of the Work to be performed.

18. Schedule Meeting - A bi-weekly Schedule meeting to review the progress on the Schedule including but not limited to the actual percentage of completion, the actual quantity of resources and number of personnel used, comparing actual dates with the early dates; and the resources/personnel intended to be used for the Look-Ahead Schedule and Recovery Plans as necessary. The Contractor shall anticipate that key members of the Contractor staff including but not limited to the Project Manager, the Site Supervisor, the Construction Scheduler and a

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representative of the key sub-contractors (as determined by the Engineer), shall attend each of these meetings

19. Working Day - Any day contract work is to be performed.

20. Work-Off Meeting (and Work-Off List) – A series of meetings in which representatives from the MBTA, the Contractor (consisting of no less than the Project Manager, the Site Supervisor, the Office Engineer, and the Construction Scheduler), every key sub-contractor (as determined by the Authority), and the MBTA’s Designer of Record, are present to review the specific details of the work that remains to be completed, the interdependencies within each area and crew, the remaining approvals and inspections, the requirements to obtain certificate of occupancy, and the detailed status of each work activity and sub-work activity. In preparation for these meeting, the Contractor should anticipate that there will be a much greater level of activities needed – further detailing the activities that are in the CPM Schedule. The Contractor is responsible to prepare and maintain the ‘work-off list’ consisting of detailed schedule activity data, with the same activity coding that is in the Baseline Schedule and the subsequent Progress Schedule updates. The Contractor and Sub-Contractors shall allocate enough time in their bid price and schedule to support these meeting at the following frequency:

a. 4 to 2 Months prior to station opening and/or project substantial completion – Work-off meetings will occur once a week.

b. 2 to 1 Month prior to the station opening and/or project substantial completion – 2 times per week

c. 1 Month prior to the station opening and/or project substantial completion – 3 times per week

B. Other terms used in this Section shall have the meanings assigned to them elsewhere in the Contract Documents, and if not assigned and where the context will permit, as used or defined in Massachusetts General Laws (M.G.L.).

1.3 SCHEDULER REQUIREMENTS

A. The name of the Project Scheduler, together with his/her qualifications, shall be

submitted to the MBTA for approval. The Project Scheduler shall have a minimum of five [5] years of project CPM scheduling experience, three [3] years of which shall be on projects of similar scope and value of this project. References shall be provided from past projects that can attest to the capabilities of the Project Scheduler. This person shall develop and maintain all aspects of work on all requirements in this Section as well as all others that relate to planning, scheduling, coordination and reporting of the project status. This arrangement is designed to promote the expeditious development, review, monitoring, reporting, recovery efforts, proposal schedules and the overall progress of the work.

1.4 CONSTRUCTION SCHEDULE REQUIREMENTS

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A. The Contractor’s approach to prosecution of the Work shall be disclosed to the Authority by submission of the computerized; cost/resource loaded. Construction Schedule required in this Section. These requirements are in addition to, and not in limitation of, requirements imposed in other sections.

B. The project requires an integrated cost/schedule controls program that the Contractor

shall comply with, from Contract award, until final completion of all Work. The Contractor is advised that its schedules and reports, as specified herein, will be an integral part of the Authority’s management program. The Contractor’s schedules will be used by the Authority to monitor project progress, plan the level-of-effort by its own work forces and consultants, and as a critical decision making tool. Accordingly, the Contractor shall ensure that it complies fully with the requirements specified herein and that its schedules are both timely and accurate throughout the life of the project. The utilization of secondary schedules (those other than the Baseline Schedule or Progress Schedule Submittals that do not directly utilize the activity coding within the Baseline Schedule and subsequent Progress Schedules) is prohibited. The Contractor’s Schedules shall be used by the Authority and Contractor for the following purposes as well as any other purpose where the issue of Time is relevant, the Contractor must prepare and plan the CPM with the following considerations:

1. To communicate to the Authority the Contractor's current plan for

performing and completing the Work; 2. To identify Work items and paths that are critical to the timely

completion of the Work; 3. To identify upcoming activities on the critical path(s); 4. To evaluate the best course of action for recovering schedule delays; 5. As the basis of progress payments to the Contractor; 6. As the basis for analyzing the Time impact of changes in the Work; 7. To identify when submittals will be made by the Contractor for the

Authority's review. 8. To aid in prioritizing the Authority's review of submittals; 9. To document the actual progress of the Work; 10. To evaluate resource requirements of the Contractor and the Authority; 11. To aid in integrating the Work with the operational requirements of the

Authority; 12. To facilitate efforts to complete the Work in a timely manner;

13. To assign responsibility for performing specific activities; 14. Access to and availability of work areas; 15. To identify interfaces and dependencies with proceeding, concurrent, and

follow-on contractors; 16. Actual tests, submission of test reports, and approval of test results; and 17. Plan for phased or total takeover by Authority.

C. Within fifteen (15) days after Contract award, and prior to submission of the Baseline

Construction Schedule, the Contractor shall attend a schedule planning session. At the meeting the Authority shall provide an agenda, typical schedule setting document, and sample cost report and procedure. This session will be attended by the Authority and its consultants The Contractor shall anticipate requiring the attendance of key members of the Contractor staff (consisting of no less than the Project Manager, the Site Supervisor, an Office Engineer, and the Construction Scheduler), plus a representative of the key sub-contractors (as determined by the Authority), shall attend this meeting. During this

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session, the Contractor shall present its planned approach to the project (including the Work to be performed by the Contractor and its subcontractors) including, but not limited to (for all work to be self-performed by the Contractor and anticipated to be sub-contracted):

1. the planned construction sequence and phasing; planned crew sizes for

work self-performed and sub-contracted; 2. summary of equipment types, and numbers to be used for major work

activities; 3. anticipated production rates for key operations, 4. a listing of all submittals with an initial priority rating for each of them, 5. estimated durations of major work activities; 6. the anticipated critical path of the project and a summary of the activities

on that critical path; 7. a summary of the most difficult schedule challenges the Contractor is

anticipating and how it plans to manage and control those challenges; 8. and a summary of the anticipated quarterly cash flow over the life of the

project. This will be an interactive session, and the Contractor shall answer all questions that the Authority and its Consultants may have. The Engineer shall provide copies of a written summary of the information presented and discussed during the session to the Authority. The Contractor's initial Construction Schedule Revision 0 and accompanying schedule narrative shall incorporate the information discussed at this schedule planning session.

D. The Construction Schedule shall consist of (a) the Construction Schedule Revision 0

(Rev. 0) Submittal (As-Planned Schedule), and (b) monthly Progress Schedule Submittals. The Construction Schedule shall clearly define the prosecution of the Work from Notice to Proceed final completion by using separate CPM activities for, but not limited to : submittal preparation , reviews, resubmissions and approval, Authority furnished items, material and equipment, ; interfaces with other contractors, Public Utilities, substantial completion, final completion, permitting; testing, deliveries;, construction etc.; Final Inspection; Certificate of Occupancy; required inspections by Authorities Having Jurisdiction; Punchlist; Milestones and; Authority training; and move-in. CPM Activities and logic ties shall be detailed as necessary to show the Contractor's Work sequencing and separately define all requisite Authority tasks.

E. In preparing the Construction Schedule Submittals, the Contractor has the responsibility

to request clarification from the Authority on any areas of the schedule which reflect the Contractor's interpretations of, or variations from, the requirements of the Contract Documents. The Contractor also has the responsibility to incorporate the Subcontractors and Suppliers input into the schedule for Activities, logic ties, restraint dates, etc. involving their Work.

F. Acceptance of the Construction Schedule by the Authority shall not relieve the

Contractor from compliance with the requirements of the Contract Documents, or result in the approval of any variation from the Contract Documents.

G. Oracle Primavera Scheduling Software shall be used for all Schedules. One license is to

be provided to the MBTA Project Office. The contractor may submit to MBTA Project

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Controls, for approval, a request to use alternative scheduling software. The schedule software shall run on Windows platform compatible equipment.

The software must also have a demonstrated ability to compare multiple updates (equivalent to Claim Digger). Provide the Authority with certified software training, pay all costs associated with maintenance fees and furnish to the Authority all upgrades and updates acquired from the software vendor during the period allowed for completion of the Work.

H. The Contractor will submit as part of the Rev. 0 and monthly Progress Schedule

Submittal(s) an electronic file containing the complete Construction Schedule data and files in compliance with the requirements of this Section. Submit electronic files to correspond to the scheduling software mentioned or approved above. Provide the appropriate amount of schedule submittals to the project and one copy to:

MBTA Project Controls, MBTA 500Arborway, Jamaica Plain MA 02130

617-222-5910 [email protected]

I. Contractor agrees to and guarantees that the Contractor will not:

1. Misrepresent to the Authority its scheduling or execution of the Work.

2. Utilize schedules substantially different from those submitted to the Authority or any Subcontractor for performance or coordination of the Work, or are not practical.

3. Submit schedules that do not accurately reflect the intent or reasonable expectations of the Contractor and its Subcontractors.

J. Contractor's failure to substantially comply with this Section shall be a substantial and material breach of contract. In the event the Contractor fails, refuses or neglects to comply with the requirements of this Section 01322, the Authority may elect any of the following: (a) nullify any mobilization payments previously made, (b) stop payments under the monthly Partial Payment Request, (c) prepare alternate progress schedules, as may be suitable under the circumstances, and deduct from the Contract Price all related costs by Change Order, (d) entitle the Authority to the damages afforded for misrepresentation or fraud by these Contract Documents or applicable law. Continued failure of the Contractor to perform in accordance with the requirements of this Section 01322 will be reason to place the Contractor in default of his obligation there under and terminate the Contract.

K. The Contractor is required to provide a Cost/Resource Loaded Schedule. These project controls tools are to include the accurate allocation of the costs and resources to complete the Work for all schedule activities. Costs allocated to each Activity are to be

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proportional to the scope of the Work of the Activity and consistent with the Contractor’s detailed bid. The contractor shall provide written quotes from subs, vendors, suppliers to the Authority upon request. The Authority reserves the right to use the Cost-Loading as a means to resolve changes and/or claims. Front-loading or other unbalancing of the cost distribution will not be permitted. The sum of the cost of all schedule Activities is equal to the total Contract Price. If the cost distribution appears to be unbalanced, the Authority will require written justification as described above prior to accepting the Baseline Schedule.

L. Default progress data is not allowed. Actual start and finish dates shall not be automatically updated by default mechanisms that may be included in the CPM scheduling software systems. Actual start and finish dates and remaining duration on the CPM schedule shall match those dates provided from the Contractor back up paperwork (i.e. daily reports, delivery slips, etc...).

M. 'Out-of-sequence progress' - Activities that have posted progress without predecessors being completed, based on the As-Planned Schedule, are not allowed without the written approval of the Authority. The contractor shall not utilize "Progress Override" (schedule calculation) unless written approval is provided by Authority.

N. The contractor shall not artificially improve its progress by revising schedule logic restraints or shortening planned activity durations. The contractor may improve its progress by performing sequential activities concurrently or by performing activities more quickly than plan, but such improvement shall not be recorded on the schedule until they have actually been achieved by the contractor, nor shall such improvement constitute additional compensation to the Contractor.

1.5 USE OF FLOAT

A. Contract Float is not for the exclusive use or benefit of either the Authority or the Contractor, but must be used in the best interest of completing the project within the Contract Time. If the dates in any Progress Schedule Submittal forecast any slippage or overrun of the Contract Times, the Contractor shall indicate such slippage or overrun by reporting negative Contract Float.

B. The Contractor shall not utilize (1) float suppression techniques in the Construction

Schedule, including but not limited to interim dates imposed by the Contractor other than Contract Time(s) and Contract Milestone(s), or (2) the inclusion of activities or constraints in a path or chain leading to a Contract Milestone which are unrelated to the Work as stated and specified in the Contract Documents, or (3) activity durations or sequences deemed by the Authority to be unreasonable in whole or in part.

C. Preferential sequencing (ie., whereby activities that could be performed concurrently and

are established in the project schedule as sequential simply to consume float), and/or indicating artificial activity durations (i.e., inflating activities in the schedule to consume float and influence the critical path) are unacceptable. Sequestering of float shall be cause for rejection of the contractor’s schedule submittal. In the event that float sequestering is identified the schedule shall be revised appropriately.

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D. All Contract Time(s) and Milestones shall be imposed, coded and separately identified in

all Progress Schedule Submittals in conformance with the Milestone(s) and Contract Time(s) set forth in the Contract Documents. The Contractor shall impose no other date restraints in the Construction Schedule, unless an explanation of their bases is provided and is acceptable to the Authority. Contract Completion and Milestones incorporated in the Contractor's Construction Schedule shall be assigned duration of zero (0) days.

E. Contract Float in an early completion Revision 0 Submittal or Progress Schedule

Submittal shall be calculated based on the definitions given in the Contract, regardless of the float values shown in any Construction Schedule Revision Submittal or Progress Schedule Submittal.

F. Extensions of time for performance of the work required under the General Conditions

pertaining to equitable time adjustment will be only considered to the extent that the equitable time adjustment for activities affected by any condition or event which entitles the Contractor to a time extension, exceed the Contract Float along the path of the activities affected at the time of Notice to Proceed of a Contract Modification or commencement of any delay or condition for which an adjustment is warranted under the Contract Documents.

G. If the Contractor is delayed in performing the Work, the Contractor shall absorb any

related delay, disruption, interference, hindrance, extension or acceleration costs, however caused, until all Contract Float, if any, is consumed and performance or completion of the Work, or specified part, necessarily extends beyond the corresponding Contract Times. The Contractor shall work cooperatively with the Authority, adjacent contractors, and third parties, to identify and implement to the maximum extent possible, no-cost measures to recover all schedule delays, regardless of the cause of the delays. One example of such measures is no-cost re-sequencing of Work activities.

1.6 ACTIVITY REQUIREMENTS

A. Activity durations shall equate to the Work Days required to complete the Work included in each Activity. Activities shall be in sufficient detail to separate items of Unit Price Work from lump sum Work, breakout distinct classes of Work (e.g., CSI Divisions/Sections or equivalent) and Work in separate areas or locations, as specified by the Authority. Work being performed by DBE firms shall be identified as separate CPM activities.

B. In general, Activities shall be detailed in a manner that utilizes planned durations from one (1) day to thirty (30) Calendar Days, and have a value not exceeding $50,000. Activity durations, greater than 30 calendar days shall be kept to a minimum, and must be approved by the Authority, except in the case of nonconstruction activities such as mobilization, procurement of materials, delivery of equipment, and concrete curing. Submittal Review Activities shall be thirty (30) Calendar Days, unless different review times are specified in other sections of the Contract Documents. No costs shall be applied to “Prepare and Submit” and “Review and Approve” submittal activities. The Authority recognizes that the cost for the early submittal preparation work is included in the cost of Mobilization and shall be billed under that payment item accordingly.

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C. Activities shall be assigned consistent descriptions, identification codes and sort codes. Sort code organization shall: (a) be subject to the Authority's prior consent; (b) group Activities using meaningful organizations defined by Contractor and the Authority; and (c) designate lead responsibility for each Activity. The Contractor shall include specific schedule activity identification codes in its daily field reports when describing the items of Work performed each day.

D. The total Contract Price shall be allocated to the CPM activities. The cost coded

schedule shall be directly related to the Bid Form and Activities defined in the As-Planned schedule. Other data such as the proposed number of business (working) days per week, labor hour allocation by craft and type, the planned number of shifts per day and the number of hours per shift, shall all be included in the computerized Construction Schedule.

E. Work Breakdown Structure

-Project -Milestones -Procurement -Prepare & Submit -Review & Approve -Fabrication -Construction -Phase/Location/Area -Preconstruction -Construction Activities -Inspections/Certification -Closeout

F. Activity Code – The first code field shall designate the bid item. The second field shall

identify the type of activity. (Types of activities shall be defined as “submittal”, “review/approval”, “procurement/fabrication”, “delivery”, “construction/installation” or “change order”.) The third code field shall identify if the work to be performed during revenue hours or non revenue hours. The forth code field shall identify who is responsible to perform the activity (i.e, contractor, subcontractor(s) by trade, supplier, etc.). The fifth code field shall identify the different areas being worked in if appropriate. The sixth code field shall identify the construction phase and associated milestone. All change orders and notices of non-conformance shall be included as separate code fields.

G. Activities shall be broken down to a sufficient level of detail to avoid the use of lag. The

Contractor shall seek approval and provide justification for the use of logic ‘lags.’ ‘Negative lags’ are not allowed.

H. The Contractor shall resource load all Schedules to demonstrate the Contractors

anticipated crew sizes and that the Contractor’s production-based assessments, adequately serve as a reasonable plan for the overall Time requirements of the Contract. The Contractor shall show the labor hours for each individual activity. The activities included in the Schedule shall be analyzed, in detail, to determine activity durations in units of project working days. Durations shall be based on the planned production rates, based on the labor (craft), equipment, crew sizes, and materials required to perform each activity on a normal work-day basis, in accordance with the Contractor’s bid. All

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durations shall be the result of estimated craft hours (labor hours) and resource planning by the contractor to perform the work in consideration of contractually defined on-site work conditions. The craft hours to be assigned, by craft definition, shall be shown on each construction activity of the Schedule. All of these Activities shall remain craft hour loaded, and updated, until final Contract completion.

1.7 SCHEDULES; REPORTS; PLOTS

A. Activity Reports shall include Activity identification code, description, duration, calendar, Early Dates and Late Dates, Total Float and sort codes as specified by the Authority. The Late Finish Date of any Activity representing a Milestone shall equal the corresponding Contract Time. In addition, Activity reports shall show, for each Activity, all preceding and succeeding driving logic ties or attach a separate report combining such Activity and logic tie data.

B. Time Scaled Logic Diagrams shall be arrow or precedence and shall be plotted on MBTA

Standard Size 22"x 34" sheets with a calendar heading acceptable to the Authority. Logic diagrams shall identify the Contract Time(s) and Critical and sub-Critical Path(s). Activities shall show the Early Dates, Remaining durations and Total Floats. Logic connectors will be shown for all driving predecessors and successors.

C. Resources - The Contractor shall provide weekly, monthly, and cumulative craft hour

performance curves for its own forces and Sub-contractors, as designated by the Authority, with all Schedule submissions. These performance curves shall be based on current Early Dates and Late Dates and, when requested by the Authority, shall compare As-Planned Early Dates and current Early Dates. The Contractor shall also resource load its planned equipment for all activities. At all times throughout the duration of the Project, the craft loaded Schedules, craft hour performance curves, and list of equipment shall be kept current and shall accurately represent the Contractor's current actual plan for performing the Work. The Contractor shall prepare a craft hour analysis in the form of a series of graphic displays depicting manpower by principal trades in the aggregate, and in accordance with the Schedule. The graphs shall display the number of craft-days of effort, for each month, over the life of the project. This submission shall be computerized and shall correlate with the labor data, exported from the Scheduling software. The craft hour requirements forecast shall be updated monthly.

D. Cash Flow Using the cost assigned to each activity of the Schedule, the Contractor shall develop a monthly cash flow projection, illustrated by exporting the scheduling data in graphic display or tabular form. Both shall demonstrate the estimated cash drawdown in the aggregate, by month, over the life of the project. Additionally, the data shall be organized/sort able by Activity. Redistribution of budgeted costs is prohibited after the complete Rev. 0 baseline has been returned “accepted or accepted as noted”.

E. Provide Look-Ahead and Look-Back schedules at each schedule and progress meeting. Each Look-back and Look-Ahead Schedule shall display the activities planned at the closing (i.e., data, cut-off) date that cover the previous two (2) weeks and the next four (4) weeks. The utilization of Look-back or Look-Ahead Schedules, that do not directly utilize the same activity coding within the Baseline Schedule and subsequent Progress Schedules, is prohibited.

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F. Additional Scheduling Requirements -

The Schedule and computer tabulations shall be reviewed jointly at a meeting, with the Authority, for the purpose of verifying:

a. Actual start dates; b. Actual completion dates; c. Cost value of work reported in place; d. Activity percent completion; e. Revised logic (as-built and projected) and changes in activity durations, costs,

and crafthour assigned; f. Influence of change orders; g. Revisions due to unauthorized modifications;

The contractor shall follow the MBTA’s sample cost report and procedures document. A copy may be requested by contractors through MBTA Project Controls. If any of the required schedule submissions, in this Section, are returned to the Contractor for corrections or revisions, they shall be resubmitted, along with an electronic file, for approval within ten (10) calendar days after the return.

1.8 NARRATIVES A. Schedule Narratives - Each narrative shall list the Activities on each Critical Path and

compare Early Dates and Late Dates for Activities designating Contract Times.

The Schedule Narrative shall include the following components, to communicate to the Authority the Contractor's current plan for performing and completing the Work.

• identify Work items and paths that are critical to the timely completion of the Work;

• of upcoming activities that the Authority needs to be aware of;

• of the proposed course of action for recovering any schedule delays;

• of critical submittals by the Contractor, for the Authority's review;

• of any significant changes to resource for future or past work;

• of any upcoming information that is important to the operational requirements of the Authority;

• that alerts the Authority of any potential/future/pending changes in access to or availability of work areas;

• that highlights future tests, submission of test reports, and approval of test results;

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• that addresses any upcoming phased or total takeover by Authority. Overview of Progress and Changes Since the Last Submittal and Discussion of Potential and Actual Delays

• that describes the plan and approach to sequencing of the Work

• that highlights and describes any Change Orders that have been included or are pending for approval.

• that provides a Glossary of Terms, Schedule Coding, and Abbreviations used in the Contract Schedule

B. For each Progress Schedule Submittal, the narrative shall respond to previous update

review comments from MBTA, recap progress and days gained or lost versus the previous Progress Schedule, describe changes in resources to be used on remaining Work and identify Delays, their extent and causes. For Progress Schedule Submittals, each narrative also shall itemize and explain changes in Activities, calendar, and logic ties, schedule recovery plans and Contractor-initiated revisions. Provide summary cost date to include: Cost this period, Cost to date, Remaining cost.

C. Baseline narrative shall include details regarding (a) the use of construction equipment and resources, (b) basis and assumptions for activity durations and logic, (c) compliance with winter weather requirements, and (d) any shifts, non-Business Days and multiple calendars applied to the Activities.

D. Each narrative shall certify that the Contractor has not been delayed, as of the closing

date, by any act, error or omission of the Authority, except as otherwise specifically stated in the narrative or identified in a claim submitted in accordance with the General Conditions of the Contract. Any determination by the Authority will be binding on the Contractor if the Contractor fails to do.

1.9 ADVERSE WEATHER PLANNING

A. The schedule submittal to the MBTA must include planning for adverse weather if applicable. Planning for adverse weather is the strategy used to develop a schedule that produces reasonable and historically consistent early start dates that take into account the adverse weather conditions that would be expected for a specific project in a specific location during a specific time frame.

B. Planning for adverse weather helps produce schedule dates that have a higher likelihood of accuracy so that the schedule is resilient enough to be useful in a specific location and time frame. Adverse weather may easily reduce the productivity of work on a project to a greater extent than planned.

C. Historical adverse weather data sources such as NOAA (National Oceanic Atmospheric Administration) would be used when a project has activities that will be performed under the influence of weather. This includes all forms of precipitation including rain, snow, hail, sleet, as well as any other weather influences such as high or low humidity, high winds, high or low temperatures.

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D. The historical weather data can supply the average non-work days lost to adverse weather

in the previous five years, with the average precipitation each day, the average wind speeds, humidity, temperatures, cloud cover, and other adverse conditions. The scheduler should provide parameters for weather conditions that would result in adverse weather in the region where work is to occur, meaning weather that forces shut down of 50% or more of the project, the work day, or personnel, for critical activities.

E. Use the chart below to show total anticipated non work days on a monthly basis due to

adverse weather. These planned adverse weather impact allowance must be added to schedule and discussed in each Narrative. The project will keep track of weather impacted days against these pre-determined allowances.

1.10 CONSTRUCTION BASELINE SCHEDULE SUBMITTAL

A. The Initial 90 Day Schedule Submittal shall be due within ten (10) Days after receipt of the Notice to Proceed, and shall include the Contractor’s detailed plan, with all schedule requirements contained in this Section with at least the first three (3) months of the forthcoming complete baseline. This schedule shall be cost/resource loaded and shall identify activities to be completed and associated cash flows for the first three (3) months.

B. The Complete Baseline Schedule (Fully cost and resources loaded) shall be due within 45 days from NTP.

The Baseline Schedule shall reflect the Work as awarded and shall purposely exclude any Delays, Change Orders, "or equal" materials and equipment and substitutions of any kind. Additionally, the Contractor is to ensure that the schedule submission is in complete conformance with the intent of the Contract Documents; no proposed alternates will be accepted until presented to the Authority after the full Baseline Schedule has been accepted. After acceptance of the baseline cost loaded schedule, redistribution of costs is prohibited.

C. Each Schedule Submittal shall include an electronic file with the Contractor's schedule

data files (including activity data, logic, coding, resource and cost data), a narrative and four (4) copies of the specified Activity Reports, Time Scaled Logic Diagrams, Cash Flow Plots, Resource Plots, Look Ahead Schedule and Cost Distribution as defined in paragraph 1.6, all in formats, sorts and sequences acceptable to the Authority.

D. Once the Baseline Schedule is returned to the Contractor as "Accepted or accepted as

noted", it shall become the As-Planned Schedule of record. Once established, the As-Planned Schedule shall be used as the basis for Monthly Schedule Updates.

E. The first partial payment shall not be made until the Authority returns to the Contractor

the Initial 90 Day schedule as "Accepted or Resubmittal Not Required". The first partial payment is limited to costs associated with mobilization, 3rd

Month

party utility, insurance and bond. Payment associated with mobilization shall be limited to 2% of the

J F M A M J J A S O N D Days Lost

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total contract value less the value of allowance items. Half of the mobilization schedule activity cost (1%) is applied to the first partial payment.

The second partial payment shall be limited to pro-rated CPM scheduling costs and the remaining half of mobilization (1%), and shall be made after the Complete Baseline schedule is returned “Accepted or Resubmittal Not Required.” The third and subsequent payment requests require the submittal of the Progress Schedule each month. Monthly Progress Schedules are a prerequisite to processing each partial payment request. The progress schedule submittal shall be returned (“Accepted or Resubmittal Not Required”) by the Authority prior to processing payment requests.

F. The Construction Baseline Schedule shall incorporate the Contractor’s best estimate of

the Activities and logic ties required to perform items covered by allowances within the limits of the Contract Times.

1.11 PROGRESS SCHEDULE

A. PROGRESS SCHEDULE SUBMITTAL

1. A Schedule Meeting will be required and held regularly by the Contractor and MBTA Field Staff to discuss and agree on monthly schedule progress. This meeting is to be separate from the Job Progress Meeting, and separate from the Work-Off List Meeting, and will be held regularly, as determined by project. The Contractor shall submit a DRAFT Progress Schedule and invoice to the Authority and the Consultant.

2. The Contractor shall uniquely identify each Progress Schedule Submittal by using a numbering convention similar to that used on technical Submittals. Resubmissions shall be assigned the corresponding Submittal number and the letter A, or B, or C, etc., and shall fully address all the Authority's review comments and objections on the previous Submittal. If the Contractor fails to fully address all the Authority's review comments and objections in the next Schedule Submission, the Authority may withhold all progress payments until the Contractor addresses all such comments and objections to the satisfaction of the Authority.

3. Progress Schedules Submittals shall reflect progress up to data date, forecasted

finish for in-progress Activities and re-forecasted Early Dates for Activities planned in the next update period. The current Progress Schedule Submittal should incorporate all proposed Activity, logic and restraint date revisions required to (a) implement changes in the Work, (b) detail all impacts on pre-existing Activities, sequences and restraint dates, (c) recover schedule, (d) reflect the Contractor's current approach for Work remaining, (e) incorporate any accepted Delays that are being negotiated between the Authority and Contractor, and (f) reflect “or equal” or substitution proposals. Progress up to the closing date shall be limited to changes in as-built dates for completed and in-progress Activities. As-built data shall include actual start dates (excluding premature starts), remaining durations, actual finish dates (when dependent Work could/did proceed), Delays and other events significant to the Progress Schedule that

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occurred since the previous Progress Schedule Submittal(Refer to article 1.11.B- Delay Provisions)

4. The Authority and Contractor shall employ the accepted Progress Schedule,

subject to the Contractor's position on the Authority objections to outstanding schedule issues, to monitor progress against the Contract Time(s), evaluate the effect of Delays on Contract Time and Contract Price and support the justification for any assessment of liquidated damages.

5. In the event the evolution of the Progress Schedule is interrupted, paragraph 1.11

B.3 provides Delay evaluation and Progress Schedule update procedures which shall be binding on both the Authority and Contractor.

6. Work-off Meetings are required when projects are four (4) months from a major

Milestone, opening or Substantial Completion.

7. Before Final Payment is made to the contractor an as-built schedule shall be submitted to MBTA for record.

B. DELAY PROVISIONS

1. When change orders or delays are experienced by the Contractor and the

Contractor requests an Extension of Time. A meeting between the contractor, MBTA project staff, and MBTA Project Controls shall be held to thoroughly review, analyze, and resolve each alleged delay. The Contractor shall submit to the Authority a written Time Impact Analysis (TIA) illustrating the influence of each change or delay on the current Completion Milestones. Each Time Impact Analysis shall include a ‘fragnet’ demonstrating how the Contractor proposes to incorporate the change order or delay into the next Progress Schedule Update. This fragnet must be incorporated in a copy of latest accepted schedule update. A fragnet is defined as a sequence of new activities and/or activity revisions that are proposed to be added to the existing schedule to demonstrate the influence of delay and the method for incorporating delays and impacts into the schedule as they are encountered. This fragnet shall be presented with resource and cost loading as well.

2. The Contractor shall work cooperatively with the Authority, adjacent contractors, and third parties, to identify and implement to the maximum extent possible, no-cost measures to recover all schedule delays, regardless of the cause of the delays. One example of such measures is no-cost re-sequencing of Work activities.

The Contractor shall be required to, at no extra cost to the Authority, prepare and submit a recovery schedule which displays how the Contractor intends to reschedule those activities, in order to regain compliance with the Contract Time or Milestones. The Contractor will also submit a narrative, which shall describe the cause of schedule slippage and actions taken to recover schedule within the shortest reasonable time (e.g., re-sequencing of Work activities, hiring of additional labor, use of additional construction equipment, expediting of deliveries, etc.).

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3. Schedule recovery will be excused if the Contractor requests and demonstrates entitlement to an extension in Contract Time, in writing, due to delay(s) not within the control of the Contractor, and the Authority concurs schedule recovery is not required at that time. Any Contractor request for adjustment in Contract Time and Contract Price will not be evaluated unless (a) the Contractor, using the procedures in this Section and the Contract, shows that conditions justifying adjustments in Contract Time and/or Contract Price have arisen, and (b) the Contractor's analysis is verifiable through an independent review by the Authority of the TIA.

4. In the event the Authority is unable to return any Progress Schedule Submittal as

"Accepted or Accepted as Noted," and the effect of Delays on Contract Time and Contract Price need evaluation, both the Authority and Contractor shall employ the As-Planned Schedule and not any unapproved Progress Schedule Submittal for such evaluations. The procedure for updating the As-Planned Schedule and including Activity, logic tie and restraint date revisions is specified in paragraphs 1.11 B.3.A and 1.9 11.3.B, respectively.

a. The Contractor shall include a subnet demonstrating how the Contractor

proposes to incorporate each Change Order into the most recently accepted Schedule. A fragnet is defined as a sequence of new or revised activities that are proposed to be added to the Schedule.

b. The extension of Contract Time shall be considered only if the

Contractor demonstrates via the timely submittal of a detailed schedule analysis by using the contemporaneous window Analysis methodology or other similar methodology acceptable to the Authority. The analysis shall include: a) a detailed narrative which clearly describes the events causing the delay and the resulting impacts to the project schedule; b) documentation substantiating and supporting the delay; c) detailed CPM schedules (both electronic and hard copies) clearly delineating the delay; d) a matrix showing delays caused by any third party and any force majeure delays; e) any additional information reasonably requested by the Authority, in order to enable the Authority to perform a timely and informed analysis of the request for extension of Contract Time.

5. Determination and extension of Contract Time will be in accordance with

Section 00700 Article 6.8 and this Section 01322 CONSTRUCTION SCHEDULE. Contractor acknowledges and agrees that the actual delays in activities which, according to the most recent Monthly Schedule Update accepted by the Authority, do not have any affect on the Contract Time or Milestone shown by the critical path in the network, do not have any affect on the Contract Time or Milestone and therefore will not be the basis for a change therein.

6. The Contractor's failure, refusal or neglect to comply with the requirements specified in Section 01322 Article 1.11 B shall be reasonable evidence that the Contractor is not prosecuting the Work with due diligence. If faced with such situation, the Authority may (a) demand adequate, written assurance of due performance, as required in Section 00700 Article 6.10 Termination of the Contract (b) direct alternate schedule recovery actions. If in the judgment of the Authority it

Ver.08.23.2013 44

appears that the Contractor cannot complete his Work within the scheduled time, then the Contractor shall work overtime, additional shifts or adopt such other procedures as may be necessary to restore adherence to the schedule. The full cost of any such recovery work efforts shall be borne by the Contractor, and/or (c) withhold liquidated damages, as provided in Article 6.9.

C. The Contractor will provide a separate electronic file of the Baseline Schedule and Schedule Updates for all activities in progress or completed through the time periods for each delay issue or significant project events. Each updated schedule will be compared and analyzed, identifying any slippage between the actual dates for any impacted or delayed activities and the Baseline Schedule and each previously Accepted Schedule Update. This schedule slippage can then be correlated to the Delay Issues that occurred between two (2) schedule update periods.

D. For each update window schedule submitted, revisions in activities, logic ties and

constraint dates affecting Work after that update window shall be included only if they are identified and jointly agreed to be incorporated by the Contractor and the Authority.

1.12 MEASUREMENT AND PAYMENT

A. MEASUREMENT 1. Separate Measurement will not be made for the work of this Section complete in

place, but all costs, therefore, shall be included in the Contract Lump Sum Price for the work as indicated herein. All preparation and incidental work necessary to accomplish the installation will be considered incidental to the Lump Sum price.

B. PAYMENT

1. Fifteen percent (15%) of the cost associated with the CPM Scheduling Activity

will be made upon return to the Contractor of the complete cost and resource loaded CPM Construction schedule Rev.0 Submittal as “Resubmittal Not Required” (As-Planned Schedule). This shall be included in the Contractors Lump Sum breakdown as an Activity within the CPM schedule.

2. The remaining (85%) will be pro-rated in equal amounts on each subsequent

application for payment upon the Authority’s receipt and approval of the monthly CPM updates. The number of months to be used for the pro-rating will be the number of months estimated to complete the work as defined under Article 6.2 - Prosecution of Work. The final month pro-rated amount will not be made until the final application for payment.

3. All payments are subject to retainage.

C. PAYMENT ITEM

Item No. Description Unit

0130.168 ALL OTHER WORK LS END OF SECTION

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SCHEDULE REVIEW LOG

Project Managers are required to maintain a Construction Schedule Review Log throughout the duration of the construction project. PM’s are expected to update this log every month, with requests for progress payments.

Construction Schedule Log

Schedule File Name Type Data Date Date Received

Date Returned

Accepted [Yes/No] Pymt#

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IV. EARNED VALUE MANAGEMENT DURING DESIGN Page No.

Earned Value Analysis 47

Progress Monitoring Report 50

Revisions to Project Design Schedules that Impact Earned Value Analysis 51

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IV. EARNED VALUE MANAGEMENT DURING DESIGN

Earned Value Management (EVM) is a project management technique for measuring project performance and progress in an objective manner. EVM has the ability to combine measurements of scope, schedule, and cost in a single integrated system. Earned Value Management is notable for its ability to provide accurate forecasts of project performance problems. Early EVM research shows that the areas of planning and control are significantly impacted by its use; and similarly, using the methodology improves both scope definition as well as the analysis of overall project performance. More recent research studies have shown that the principles of EVM are positive predictors of project success. Earned Value (EV) shall be incorporated into all projects during design phase services. In design-bid-build projects EV will be utilized from concept to the delivery of 100% construction documents. For Design-Build projects, EV will be utilized from concept to the delivery of design-build packages. For projects involving CM@ Risk, EV will be utilized from concept to the point at which a GMP is achieved and the CM is chosen and provided the design.

1. Earned Value Analysis

Each month, the Engineer shall perform an Earned Value Analysis (EVA) using the cost and schedule software specified in Section III of this manual. The Engineer shall include the results of the EVA in the Progress Monitoring Report as described later in this section.

The EVA shall be based on the following data in the Project Design Schedule (PDS) at the data date:

1. Actual start and finish for each activity as of the data date. 2. The progress of the activities that started, but are not finished on the data date. 3. Percent complete of the work for each activity from the start date to the data

date. 4. Actual cost expended for each activity as of the data date.

The Engineer’s Cost Accounting Standard Disclosure Statement shall include the procedures used to ensure the actual value of each cost account in the PDS Update was properly represented and timely recorded in the Engineer’s general cost accounting system for the design work completed by the Engineer and its sub-consultants. If the sub-consultant actual cost data is not available prior to the submission of the PDS Update, the Engineer shall estimate the sub-consultant’s actual cost as of the data date for PDS Update. The Engineer shall confirm the actual cost from the sub-consultants prior to the submission of the next PDS Update.

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The Engineer shall use the cost accounts and scheduling data in the PDS Update to calculate and show the results of each data item in Table No. 1.

The Engineer shall determine and record the progress of work based on the results of the Schedule Performance Index and Cost Performance Index shown in Table No. 2.

Table No. 2 – Earn Value Indexes

Description Formula Results of EVA Analysis

Schedule Performance Index

(SPI) BCWP/BCWS

A SPI greater than 1.0 indicates no delays to the PDS A SPI less than 1.0 indicates that there are delays to the PDS

Cost Performance Index (CPI) BCWP/ACWP

A CPI greater than 1.0 indicates the project design is within design budget. A CPI less than 1.0 indicates that the project design budget is over budget.

Variance At Completion

(VAC) BAC-EAC

Projected final cost over/under the total budgeted cost based on the difference between the value of the Budget at Completion (BAC) and the Estimate at Completion (EAC).

Table No. 1 – Data Item for Earned Value Analysis Data Item Definition

Budgeted Cost of Work Scheduled (BCWS)

The budgeted cost of work scheduled for completion at the data date. (BCWS = Budget Cost x Target Percent Complete)

Budgeted Cost of Work Performed (BCWP)

The value of completed work expressed in terms of the budget assigned to that work. BCWP is also known as the “earned value” of the work completed to date. (BCWP = Budget Cost x Percent Complete of the Work)

Actual Cost of Work Performed

(ACWP)

The actual cost-to-date for work performed during a specific time period or duration. [The actual cost incurred shall correspond to the cumulative amount shown in payment application for the month.]

Schedule Variance (SV) The Schedule Variance indicates if the project is ahead or behind schedule. (SV = BCWP – BCWS)

Cost Variance (CV)

The Cost Variance indicates if the project is over or under budget. (CV = BCWP – ACWP)

Estimate To Complete (ETC)

The Engineer’s estimated cost to complete the design work from the data date to the forecast completion date. (BAC - BCWP)/(CPI x SPI)

Estimate At Completion

(EAC)

The Engineer’s projected final cost of the design work at the data date. (EAC = ACWP cumulative + ETC)

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The Engineer shall use Microsoft or equivalent software to provide and summarize the total values for earned valued data shown in Tables No. 1 and Table No. 2 for all activities in the PDS Update. The Engineer shall provide a cost curve graphic based on the cumulative total values of the BCWS, BCWP, ACWP, BAC, EAC and VAC for each PDS Update. The Engineer shall also show the planned BCWS from each update period to the forecast completion date. See Figure 5 for example of a summary cost curve.

Figure 5 – EVA Summary Cost Curve Graph

The Engineer shall prepare a project analysis report along with a summary of each update period that compares the earned value data on the data date to the cumulative total values for the EVA categories shown in Figure 6 and Figure 7.

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Figure 6 – Project Analysis Report

Figure 7 – Summary of EVA from Project Design Schedule Updates

2. Progress Monitoring Report In accordance with Article II, Subsection 12, the Engineer shall submit each month a Progress Monitoring Report (PMR) for the Authority’s review and approval. The PMR shall contain the following information regarding the progress of work performed by the Engineer along with the earned value data specified in Section 1.

a. Schedule Tabular Reports and Cost Control Reports, which at a minimum

shall include the following:

i. Predecessor/successor report sorted by Activity ID. ii. Early Start/Total Float sort report. iii. Total Float/Early Start sort report. iv. Critical Path of Work sort report. v. Summary by Cost Account sort report

b. A description of the design work completed during the reporting period;

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c. Work items and paths that are critical to the timely completion of the design phase;

d. Anticipated work to start and finish during the next reporting phase; e. Additional design scope items; f. Explanations of schedule delays; g. Anticipated problems and recommended possible solutions; h. Critical action items (listing person/agency/company responsible and

date needed); i. Explanation of the SPI and CPI results in the PDS Update submitted by

the Engineer; j. Explanation of the variances between the previous PDS Update’s SPI and

CPI results to the current results (See Sample Variance Analysis Report, Figure 8);

k. Statement of the adequacy of the remaining design budget and time; l. EVA cost curve graph (Similar to Figure 5); summary analysis as shown

in Figure 6; and m. Project analysis report for WBS Level 4 categories (Figure 6); and n. EVA summary analysis as shown in Figure 7.

The PMR shall also include a summary that explains the Basis of Design for each phase of the design. Basis of Design shall consist of a well-defined explanation that forms the basis of the Engineer’s inspection, test acceptance criteria, expected performance, and the operational requirements designed for the project and its systems.

After reviewing the PMR and the PDS Update with the project manager, the engineer shall submit both reports with its request for partial payment application.

3. Revisions to Project Design Schedules that Impact Earned Value Analysis Earned Value Analysis The Engineer shall incorporate the cost of the proposed change(s) into the EVA, which corresponds to the proposed PDS with the fragnet. The EVA with the cost of the proposed changes shall be identified as the revised EVA for the PDSRV. The Engineer shall perform the revised EVA in accordance with Section 1. The Engineer shall submit a detailed report to the Authority for review. The detailed report shall include the results of the EVA, the cost curve graph, and discuss the effects of the proposed change on the Engineer’s Estimate-To-Complete (ETC) and Estimate-At-Completion (EAC) along with the earned value indexes shown in Figure 6. Upon issuance of an amendment for the change, the EVA that includes the cost for approved change(s) shall become the EVA for Revised Progress Design Schedule of Record. Design changes shall be in accordance with the Design Change Control process described in Section VIII. All design schedule changes shall be in accordance with Section III - Project Schedule.

Ver.08.23.2013 52

In order for an EV system to operate properly, it must, at a minimum, meet the following 10 criteria:

EVMS Criterion 1 - ANSI/EIA-748-B, 2.1(a) Organization:

Define authorized work elements for the program. A work breakdown structure (WBS), tailored for effective internal management control, is commonly used in this process.

EVMS Criterion 2 - ANSI/EIA-748-B, 2.1(b) Organization:

Identify the program organizational structure, including the major subcontractors responsible (OBS) for accomplishing the authorized work, and define the organizational elements in which work will be planned and controlled.

EVMS Criterion 3 - ANSI/EIA-748-B, 2.1(c) Organization:

Provide for integration of the company’s planning, scheduling, budgeting, work authorization and cost accumulation processes (CBS) and, as appropriate, the program WBS and organizational structure.

EVMS Criterion 4 - ANSI/EIA-748-B, 2.2(a) Planning, Scheduling and Budgeting:

Schedule the authorized work in a manner that describes the sequence of work and identifies the significant task interdependencies required to meet the requirements of the program.

EVMS Criterion 5 - ANSI/EIA-748-B, 2.2(b) Planning, Scheduling and Budgeting:

Identify physical products, milestones, technical performance goals or other indicators used to measure progress.

EVMS Criterion 6 - ANSI/EIA-748-B, 2.2(c) Planning, Scheduling and Budgeting:

Establish and maintain a time-phased budget baseline at the control account level against which program performance can be measured (control account = WBS + CBS +OBS). Initial budgets established for performance measurement will be based on either internal management goals or the external customer-negotiated target cost, including estimates for authorized (but incomplete) work. Budget for long-term efforts may be held in higher level accounts until it is appropriate for allocation at the control account level.

Ver.08.23.2013 53

EVMS Criterion 7 - ANSI/EIA-748-B 2.3(a) Accounting Considerations:

Record direct costs consistently with the budgets in a formal system controlled by the general books of account.

EVMS Criterion 8 - ANSI/EIA-748-B, 2.4(a) Analysis and Management Reports:

At least monthly, generate the following information at the control account and other levels as necessary for management control using actual cost data from, or reconcilable with, the accounting system:

1. Comparison of the amount of planned budget and the budget earned for work accomplished. This comparison provides the schedule variance.

2. Comparison of the amount of the budget earned and the actual (applied where appropriate) direct costs for the same work. This comparison provides the cost variance.

EVMS Criterion 9 - ANSI/EIA-748-B, 2.4(f) Analysis and Management Reports:

Develop revised cost estimates at completion, at program and project levels, based on performance to date, commitment values for material and estimates of future conditions. Compare this information with the performance measurement baseline to identify variances at completion important to company management and any applicable customer reporting requirements, including statements of funding requirements.

EVMS Criterion 10 - ANSI/EIA-748-B, 2.5(a) Revisions and Data Maintenance:

Incorporate authorized changes in a timely manner, recording the effects in budgets and schedules. Base changes on the amount estimated and budgeted to the program organizations.

Ver.08.23.2013 54

Figure 8

Ver.08.23.2013 55

V. GENERAL MANAGER REPORTS Page No.

General Manager Report Requirements 56

Sample 1 - Report 57

Ver.08.23.2013 56

V. GENERAL MANAGER REPORT REQUIREMENTS

Every quarter, each Project Manager is required to prepare a project briefing report for the General Manager on all of their respective projects. General Manager (GM) Reports are done for projects in construction or design and for Transit Oriented Development (TOD) projects. Each Project Manager shall forward the electronic file of each GM report to Project Controls. Project Controls will compile the reports and produce a completed publication for the General Manager. Sample reports and their instructions have been provided (Sample 1).

Ver.08.23.2013 57

GM CONSTRUCTION PHASE REPORT – INSTRUCTIONS

1. Period Ending: Last day of the month for the particular reporting period (ex. March

reporting would be Period Ending 3/31/2012 and known as the March 2012 Report).

2. Contract Title: Formal name of Project.

3. Contract Number: Assigned 7 character alpha/numeric code for the project.

4. Task Order Number: Assigned 3 character alpha/numeric code for the project.

5. Contractor: Name of company providing construction services.

6. Contract Scope Summary: Provide a brief description (500 characters) of project.

7. Current Authorized Budget (Total Project): Amount allocated to project, inclusive of design

services.

8. Estimate at Completion (Total Project/Program): Projected total cost at end of

project/program.

9. Authorized Construction Budget: Allocated construction budget.

10. Construction Estimate at Completion: Projected end cost of construction, exclusive of

design services and other budget tasks.

11. List Milestone Data: Provide a brief description of contractual milestones in numerical

order.

12. Schedule Data Date: Provide date of latest update on file. Include the Contract Baseline

Date (mm/dd/yyyy) and Current/Forecast Date (mm/dd/yyyy). If dates were actualized,

indicate so by placing an “A” under the A column (do not write in a date). List each

milestone. Provide brief milestone description.

13. Major Work in Progress: Provide a brief description of all major works.

14. Photo Box: Provide a picture (.tif, .gif, .jpg) depiction of such work (make sure to size photo

to exact height of “Major Work in Progress” box).

Sample 1

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Period Ending 10/31/12 Contract Title

Science Park / West End Station Accessibility Improvements Contract

A29CN04 Contractor Barletta Heavy Division, Inc.

Contract Scope Summary Description:

Accessibility Improvements at the Science Park/West End Station include furnishing and installing two (2) Elevators with new at-grade Automated Fare Collection lobbies, raising and widening of the platform concrete slabs, replacing the platform canopy roof, adding two (2) mini-high platforms, reconstruction of the interior and exterior stairs, upgrades to lighting, telecommunications, electrical, fire protection, fire alarm, signage systems, site improvements and landscaping.

Current Auth. Budget (Total Prj.) $ $22,000,000.00 Authorized Const.

Budget $14,566,000.00

Estimate @ Compl. (Total Prj.) $22,057,590.00 Construction Estimate

@ Completion $14,930,245.00

List Milestone Data Schedule Data Date

# Brief Description Contract Baseline Date

Current/Forecast Date

A

NTP 05/05/10 05/05/10 A 1A Pier 3 Egress Open 09/01/10 04/15/11 A 1D Station Shutdown Start 04/30/11 04/30/11 A 7 Substantial Completion 01/20/12 11/04/11 A 8 Final Completion 04/19/12 03/30/13

Describe Major Work in Progress: Currently contractor is working on original contract punch list items as well as extra work items. Some of the extra work items are major and therefore require more time to complete. Some of these extra work items are predecessors to contract punch list items, for example, the site security fence (extra work) has to be completed before the landscaping can be started and completed.

Construction Report

Ver.08.23.2013 59

GM DESIGN PHASE REPORT – INSTRUCTIONS

1. Period Ending: Last day of the month for the particular reporting period (ex. March

reporting would be Period Ending 3/31/2012 and known as the March 2012 Report).

2. Contract Title: Formal name of Project.

3. Contract Number: Assigned 7 character alpha/numeric code for the project.

4. Task Order Number: Assigned 3 character alpha/numeric code for the project.

5. Designer: Name of company providing design services.

6. Initial Design Services Were From: Indicate what initial design services were, Select from

Feasibility - 100% PSE Through feasibility – 100% PSE.

7. Current Design Services Are From: Indicate where the project is in its current design stage

From feasibility – 100% PSE Through Feasibility – 100% PSE.

8. Contract Scope Summary: Provide a brief description (500 characters) of project.

9. Authorized Design Budget: Provide design budget for specific construction package.

10. Authorized Construction Budget: Allocated construction budget.

11. Authorized Other Budget: Remaining project budget; may include other design and

construction budgets from other projects associated within this Program.

12. Total: Provide Total Program/Project budget.

13. Design NTP Date: Date given for design work to begin (mm/dd/yyyy).

14. Construction Start Date: Date construction is forecasted to begin (mm/yyyy).

15. Construction End Date: Anticipated construction end date (mm/yyyy).

16. Schedule Data Date: Provide date of latest update on file.

17. Milestone Data: Provide current/anticipated dates for each milestone at all design stages

(mm/dd/yy). BL = Baseline, FCST = Forecasted, A = Actualized. Indicate with an “A” if date

was actualized (do not write in a date).

18. Major Work in Progress: Provide a brief description of all major works.

19. Photo Box: Provide a rendering or photo (.tif, .gif, .jpg) of such work (make sure to size

rendering/photo to exact height of “Major Work in Progress” box).

20. Safety Issues: Include any and all safety issues that occurred during reporting period.

Ver.08.23.2013 60

Period Ending 10/31/12 Contract Title

Engineering Services System wide Bridges (Savin Hill)

Contract Number B92PS07 Designer Fay, Spofford & Thorndike, Inc.

Initial Design Services Were From Feasibility Through 60%

Current Design Services Are From Feasibility Through 60%

Contract Scope Summary Description:

The structure, built in 1929, is a simple reinforced concrete single box tunnel. It spans approximately 110’ long by 18’ wide and supports the northbound and southbound Red Line tracks. The bridge is currently in a poor structural condition. The current design contract provides for 0-60% design for the Overpass; an amendment is required to complete 90% design - Construction Phase Services. Based on the Bridge Type Study, concrete filing of the existing structure was the selected design option.

Auth. Design Budget $ 579,168.00 Design NTP Date 09/10/09 Auth. Const Budget $ 2,000,000.00 Construction Start Date 06/13 Auth. Other Budget $ 1,080,000.00 Construction End Date 12/13 Total $ 3,659,168.00 Schedule Data Date 10/30/12

Milestone Data

15% 30% 60% BL FCST A BL FCST A BL FCST A

11/12/10 11/12/10 A 02/01/11 06/01/11 A 08/31/11 08/31/11 A

90% 100% ADV BL FCST A BL FCST A BL FCST A

03/01/12 12/31/12 03/01/13 03/28/13

Describe Major Work Progress:

Amendment #1 to advance the design to Construction Phase Services was submitted in August. Approval is still pending. Once approved, FST will advance design to 100% (skipping 90%).

Design Report

Ver.08.23.2013 61

GM TRANSIT ORIENTED DEVELOPMENT REPORT – INSTRUCTIONS

1. Period Ending: Last day of the month for the particular reporting period (ex. March

reporting would be Period Ending 3/31/2012 and known as the March 2012 Report).

2. Project Title: Formal name of Project.

3. Developer/Contractor: Name of company providing designing/construction services.

4. Contract Scope Summary: A brief description of the project scope.

5. Construction Start Date: Provide anticipated or actual start date (mm/yyyy).

6. Construction Finish Date: Provide anticipated or actual finish date (mm/yyyy).

7. Describe Major Work in Progress: Provide a brief describe of all major works.

8. Photo Box: Provide a rendering or photo (.tif, .gif, .jpg) of such work (make sure to size

rendering/photo to exact height of “Major Work in Progress” box).

9. Project Manager: Name of PM.

10. Director: Name of Director.

Saving This File - When saving and sending this file, use the following naming convention:

“contract #.brief description.periodendingdate” ex. “D15CN01.Pawtucket Layover.4-30-12.doc”

Ver.08.23.2013 62

Period Ending 10/31/12

Project Title

Bullfinch Triangle Parcel 1 (Victor)

Developer/Contractor Simpson Housing LLLP

Contract Scope Summary Description:

This Contract is part of the Premier Apartment Homes in Historic Bulfinch Triangle. This project is a mix use development consisting of both commercial and residential units and features 11 stories of steel construction wrapping a three-level garage. The residential units include two Penthouse level units with access to a private rooftop lounge as well as upgrades appliances and fixtures.

Construction Start Date 08/2011 Construction Finish Date 9/2013

Describe Major Work in Progress

Steel erection on both the north and south is completed, Spray fire proofing is continuing on both the south and the north. Cast in place concrete has been completed on the North Floors with two levels remaining on the south floors. MEP rough in will continue on both the north and south along with pouring of the stairs.

Transit Oriented Development Report

Ver.08.23.2013 63

VI. ASSISTANT GENERAL MANAGER DESIGN REPORTS Page No.

Assistant General Manager Design Report Requirements 64

Design Report Template & Budget Summary Reports 65

Design Report Submittal Checklist 83

Ver.08.23.2013 64

VI. ASSISTANT GENERAL MANAGER DESIGN REPORT REQUIREMENTS

AGM Design Reports are due to the AGM for Design and Construction on the first day of every new month. Project Managers are responsible to complete the reports and forward the reports to their respective Director for review. Upon their review of the report the Director shall forward the completed submitted report to the Executive Assistant of the AGM for Design & Construction. Prior to submission, Project Managers are to ensure the following:

A. Current financial data is obtained from a Budget Analyst. B. Use electronic template for each Project.

Exhibit 1 is a copy of the AGM Design Report instructions and template as well as the Budget Summary template and instructions. Exhibit 2 is a checklist used to determine which reports have been submitted. Late and outstanding reports are highlighted for tracking purposes.

Ver.08.23.2013 65

AGM DESIGN PHASE REPORT - INSTRUCTIONS AGM design and construction reports are due to the AGM for Design and Construction on the first day of every new month. Project Managers are responsible to complete the reports and forward the reports to their respective Director for review. Upon their review of the report, the Director shall forward the completed submitted report to the Executive Assistant of the AGM for Design and Construction. A report consists of two sections, a narrative and a budget section. The narrative is a word file and the budget section is an excel file. A design or construction report should be done for each proposed construction package. A project is either in design or it is in construction. Construction reporting starts at NTP.

This form is a template. To use, save the attachment sent, by Project Controls, onto your

desktop. To start a new form, double click the icon on your desktop, once done, save according

to the given naming convention. To access a form that has already been saved, go to Word,

Open, File.

Spell-check Feature: Before starting on the report you will have to enable macros, in the form,

by clicking on the Security Warning (Macros have been disabled) Options, Enable this Content,

this is located at the top of the page. After completing the form and typing the Director’s name,

TAB out of the box, this will prompt the spell-check feature, allowing you to review the form.

1. Period Ending: Last day of the month for the particular reporting period (ex. March

reporting would be Period Ending 3/31/2012 and known as the March 2012 Report).

2. Contract Title: Formal name of Project.

3. Contract Number: Assigned 7 character alpha/numeric code for the project.

4. Task Order Number: Assigned 3 character alpha/numeric code for the project.

5. Designer: Name of company providing design services.

6. Initial Design Services Were From: Indicate what initial design services were, Select from

Feasibility - 100% PSE Through feasibility – 100% PSE.

7. Current Design Services Are From: Indicate where the project is in its current design stage

From feasibility – 100% PSE Through Feasibility – 100% PSE.

8. Contract Scope Summary: Provide a brief description (500 characters) of project.

9. Authorized Design Budget: Provide design budget for specific construction package. This is

equivalent to Total Committed Value in CMS - Column G in Project Budget Summary.

10. Authorized Construction Budget: Allocated construction cost estimate at various design

phases.

Exhibit 1

Ver.08.23.2013 66

11. Authorized Other Budget: Remaining project cost, not inclusive of Authorized Design

Budget and Authorized Construction Budget.

12. Total: Provide Total Project Budget (Column G in Project Budget Summary sheet). In CMS

this is equivalent to the sum of Committed Value for awarded contracts or Estimated Value.

13. Design NTP Date: Date given for design work to begin (mm/dd/yyyy).

14. Construction Start Date: Date construction is forecasted to begin (mm/yyyy).

15. Construction End Date: Anticipated construction end date (mm/yyyy).

16. Schedule Data Date: Provide date of latest update on file.

17. Milestone Data: Provide current/anticipated dates for each milestone at all design stages

(mm/dd/yy). BL = Baseline, FCST = Forecasted, A = Actualized. Indicate with an “A” if date

was actualized (do not write in a date).

18. Major Work in Progress: Provide a brief description of all major works.

19. Photo Box: Provide a rendering or photo (.tif, .gif, .jpg) of such work (make sure to size

rendering/photo to exact height of “Major Work in Progress” box).

20. Safety Issues: Include any and all safety issues that occurred during reporting period.

21. Project Issues/Actions: List any/all significant design issues and any actions taken to resolve

them.

22. Schedule Recovery Action: Detail any recovery actions taken.

23. Schedule Log: Provide a design log with the following information:

• Schedule File Name – Name of proposed schedule

• Type – Select BL, UP, 90

• Data Date – Reporting period of schedule

• Date Received – Indicate date schedule was received (mm/dd/yy)

• Date Returned – Indicate date scheduled was returned (mm/dd/yy)

• Accepted – Was the schedule accepted or not accepted?

• Pymt # - list payment number

24. Schedules on File: Are the schedules on file, Y/N?

25. Are Updates Being Submitted: Indicate if updates are being submitted, Y/N. If No, provide

explanation.

26. DBE Paid: Obtain percentage of DBE Paid through Last from CMS. Include the Payment #

and the date of payment. Log into CMS, click on Pymts, Subcontractor Payments, enter

contract #, the information will be provided on the screen that appears.

Ver.08.23.2013 67

27. Project Manager: Name of Project Manager

28. Director: Name of Director

Saving This File - When saving and sending this file, use the following naming convention:

“contract #.brief description.periodendingdate” ex. “D15CN01.Pawtucket Layover.4-30-12.doc”

Ver.08.23.2013 68

Period Ending 11/30/2013 Contract Title

Design Project

C.N. # XXXXXXX T.O. # Designer XXXXXXX

Initial Design Services Were From Feasibility Through 60%

Current Design Services Are From 15% Through 100% PSE

Contract Scope Summary Description:

The work to be performed under these Contracts includes design and construction phase services for the rehabilitation 3 Bridges. These bridges were constructed in the early 1900s. The goal of this project is to replace sub and superstructure while maintaining transit service throughout construction. The services will include completion of 4 phases of design to final design plans and specifications followed by a phase V- Construction Phase Services.

Auth. Design Budget $ 450,000.00 Design NTP Date 08/1/13 Auth. Const Budget $ 0.00 Construction Start Date 12/14 Auth. Other Budget $ 280,000.00 Construction End Date 07/16 Total $ 730,000.00 Schedule Data Date 11/31/13

Milestone Data 15% 30% 60% BL FCST A BL FCST A BL FCST A

11/12/13 11/26/13 A 01/7/14 01/7/14 03/20/14 03/20/14

90% 100% ADV BL FCST A BL FCST A BL FCST A

05/14/14 05/14/14 07/1/14 07/1/14 08/5/14 08/5/14

Describe Major Work Progress:

Completing structural plans for 15% design submission.

Design Phase Report

Ver.08.23.2013 69

T.O. # Contract # Period Ending 10/31/12 Safety Issues or Incidents that occurred this period. None

Project Issues/Actions None

Schedule Recovery Action. None

Schedule Log

Schedule File Name Type Data Date Date Received

Date Returned

Accepted [Yes/No] Pymt#

Sample Baseline.XER BL 08/1/13 09/1/13 09/10/13

Yes Update No. 1 UP 09/31/13 10/1/13 10/5/13 Yes Update No. 2

UP 10/30/13 11/1/13 11/5/13 Yes

Ver.08.23.2013 70

T. O. # Contract # Period Ending 10/31/123

Schedule Log (Continued)

Schedule File Name Type Data Date Date Received

Date Returned

Accepted [Yes/No] Pymt#

Are Schedules On File? Yes Are Updates Being Submitted Monthly? Yes

If NO was answered to any question above please explain in box below. * [Required] * [250 character limit]

% DBE Paid Through Last PMT # Date 13.5% 2 11/16/13

Joe Sue Project Manager Director

Ver.08.23.2013 71

BUDGET SUMMARY - INSTRUCTIONS

These instructions are to help in completing the Project Budget Summary Sheet for each project.

To begin working on the Budget Summary worksheet, input the project name and contract number

in the first sheet of the workbook, “Contingency Data.” Once this information is entered it will

populate all the other sheets. At the end of each reporting period, create a new “BSS per. Ending…”

sheet by copying the sheet from the previous period ending for the current period.

*Each Project is required to meet with Project Controls in order to establish each Project’s planned

contingency drawdown (project start/finish date and contingency amount will be needed).

1. Contingency Data Sheet

a. Project Name: Formal name of Project. (This field is populated once the

information is entered on the first sheet, “Contingency Data.”)

b. Contract Number: Assigned 7-character alpha/numeric code for the project. For

project in design, use the design contract number and for a project in construction,

use the construction number.

c. Plan Contingency: This value will be set up by Project Controls. This value includes

allocated contingency, unallocated contingency and uncommitted funds within the

project. The Project Manager (PM) and/or Budget Analyst (BA) will provide this

value to Project Controls and Project Controls will populate the spreadsheet with

the value and set up the Contingency Drawdown tab.

d. Additional Funding: If additional funding is provided, this value should be entered in

this row under the proper period.

2. Project Budget Detail Sheet

a. Period Ending: Last day of the month for the particular reporting period (ex. March

reporting would be Period Ending 3/31/2013 and known as the March 2013 Report.

This data must be entered in two locations. First, input data on the appropriate “BSS

per. Ending” sheet and on the “PS Cost Changes” sheet).

Ver.08.23.2013 72

b. Grant Value: For each grant to the project, enter the grant number and the

associated work order(s) available for the project. This is the responsibility of Project

Manager (PM) and/or Budget Analyst (BA). Input information in the table below the

summary table. The total of the grant value should match the value in CMS.

c. Grant WO (Col A): In the first column of the Budget Summary Sheet, enter the grant

work order numbers associated with the Responsible Area (PS, CN, etc).

d. Responsible Code (Col B): Column B provides the list of Responsible Areas as shown

in CMS. This includes PS, PA, CN, etc.

e. Description (Col C): List of tasks to be included in project. Responsibility of PM and

BA. Typical descriptions are Construction, Professional Services, Force Account, etc.

f. CMS / Funding (Col D): Input the value for the task as it is reported in the

Distribution value in CMS. This should equal the funded amount for the task. The BA

provides this information. This should match CMS as well as the total Grant amount.

If there is a difference, the highlighted cell to the right of the Grant Total will show

the variance.

g. Base Estimated Cost / Base Committed Value (Col E): The value entered here is the

Engineer’s estimate for the task or the awarded amount. (In CMS this would be the

Committed Value). The BA provides this information.

h. Contingency (Col F): This value is the contingency in the Engineer’s estimate or the

value of the contingency associated with the awarded contract (Allowance). The

Budget Analyst (BA) and Project Manager (PM) collaborate on this input. Any

unallocated contingency should be reflected in this column.

i. Total Estimated Cost / Total Committed value (Col G): This represents the Total

Estimated cost + the Allocated Base Contingency or the Total Committed value + the

Allocated Base Contingency. This number may be less than or equal to the value in

column D. This is a calculated field and it will be populated when columns E and F

are populated.

j. Percentage EST/Contract vs. Funding (Col H): This is the percentage of Estimated

Cost / Committed Cost and the funding.

k. Estimate at Completion (EAC) (Col I): This column represents projected final cost

and includes any change orders, proposed changes or other costs that may be

Ver.08.23.2013 73

realized for the task. This column is managed by PM and it will be adjusted if it is

anticipated that the forecast final cost of the project will change.

l. Percentage EAC vs. Funding (Col J): This is the percentage of EAC and Funding. This

column is formulated.

m. Expenditures (AC) (Col K): Actual Cost to date, provided by BA.

n. Remaining Contract Value to Date (Col L): Total Estimated Cost / Total Committed

Value less Expenditures. This column represents the Actual Remaining Budget as of

the reporting period. This column is formulated.

o. Estimate to Complete (ETC) (Col M): Amount remaining to complete each task, EAC

– AC. This column represents the projected cost required to complete task. This

column is formulated.

p. Required Funding before Use of Uncommitted Funds (Col N): This formulated field

provides the funding available to the task before utilizing all project contingency and

any uncommitted funds. The project will have to reallocate funds if this amount

exceeds the task’s funded value. The value in this column will be a negative or zero.

The negative value indicates that a transfer/reallocation of funds is required.

q. Available Uncommitted Funds (Col O): This formulated column provides the

uncommitted funds available for the task and the project. This amount will always

be a positive number or zero.

r. Additional Funding Required (Col P): The data reflected in the column is an

indication of the funding needed to cover the project cost. Additional funding is

required if EAC is increased and/or cost from change orders are higher than

anticipated in the initial EAC.

3. Period Cost Changes: BA/PM to use these sheets to document cost changes over time.

There is a sheet for each category with the exception of the XG “Unallocated Contingency,”

since any change to unallocated contingency will be reflected in the other categories. In

general, any anticipated Potential Change Orders, Amendments, and executed change

orders or any cost changes are to be tracked in these sheets. Once the Cost change is

approved and executed, the number associated with the approved change should be added

under the CO # column.

a. PS Cost Changes Sheet: Note: For each Period update, ensure that the Period

Ending Data Date is inserted in the appropriate row and column in the “PS Cost

Ver.08.23.2013 74

Changes” sheet. This date will automatically populate the other Cost Changes

sheets. Please note that there are 50 lines for change input in each of these sheets

and the total for the columns (period) is at the bottom of the table or row 58. On

the right of each sheet is a total column for each line where you can verify the total

cost for each change.

b. CN Cost Changes Sheet: For each package, enter the change order or propose

change orders for each period in the appropriate column. In column B, “Change

Description,” enter the description of the change. In column C, “List of Proposal of

Change Orders Anticipated,” enter an abbreviated description for the change and in

the next column enter the number. The sheet has 200 lines for inputting changes.

To see the total for each period, please scroll to the bottom of the sheet or to row

208. Scroll to the right to see each Change Order total.

c. Cost Changes sheets for Force Account (FA), Inspection (IN), Project

Administration (PA), Material Procurement (MP), and Real Estate (RE) have also

been provided.

Ver.08.23.2013 75

Project Name :Contract # :

Area/Cat Contingency Values Month 0 Month 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8 Month 9 Month 10Plan Contingency $170,000

Cost Change Projections $0 $40,000 $0 $0

Additional Funding

Total Available Contingency $170,000 $130,000 $130,000 $130,000

XXXXXXX

SAMPLE PROJECT

Ver.08.23.2013 76

Project Name: SAMPLE PROJECTProject ID: XXXXXXXChange Orders Summary Sheet

See Note below Data Date Month 0 Month 1 Month 2 Month 3Period Period Period Period Period Period

resp. code Description CO # 1 2 3 4 5 6 7 8

CN Construction -$ -$ -$ -$

FA Force Account -$ -$ -$ -$

IN Inspection -$ -$ -$ -$

PA Project Admin -$ 10,000.00$ -$ -$

MP Material Procurement -$ -$ -$ -$

PS Design -$ 30,000.00$ -$ -$

RE Real Estate -$ -$ -$ -$

Period Total 40,000.00

Note: The Data Date information must be provided with each monthly update

Ver.08.23.2013 77

Ver.08.23.2013 78

PROJECT BUDGET DETAIL SHEET

Project Name: SAMPLE PROJECTContract #: XXXXXXXPeriod Ending 09/30/12BA Input Date

A B C D E F G H I J K L M N O P

E+F G-K I-K D-I O-N

Grant WO Resp. Code Description CMS / FundingBase Estimated Cost

/ Base Committed Value

Contingency

Total Estimated Cost/Total Committed

value

Percentage EST/Contract vs

Funding

Estimate at completion

(EAC)

Percentage EAC vs

Funding

Expenditures (AC)

Remaining Total Contract Value to date

Estimate to complete

(ETC)

Required Funding Before Use of

Uncommitted Funds

Uncommitted Funds

Additional Funding

Required

PS Professional Service / Design $500,000 $420,000 $30,000 $450,000 90% $480,000 96% $0 $450,000 $480,000 $0 $20,000FA Force Account $100,000 $85,000 $10,000 $95,000 95% $95,000 95% $0 $95,000 $95,000 $0 $5,000PA Project Admin $150,000 $135,000 $0 $135,000 90% $145,000 97% $0 $135,000 $145,000 $0 $5,000XG Unallocated Contingency $50,000 $0 $50,000 $50,000 100% $0 0% $50,000 $0 $0 $50,000

$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0

Total $800,000 $640,000 $90,000 $730,000 91% $720,000 90% $0 $730,000 $720,000 $0 $80,000 $0

responsibilityPM/BA Grant # Work Order ValueBA GRd001 WPd001 $800,000FORMULA

Col. DCol. ECol. FCol. GCol. NCol. P

Total $800,000 This Matches with CMS

Funding available in the contract before using all available project contingencyFunding available to the project

Project Budget Summary

DefinitionCMS Distribution valueCMS Estimated Value or Committed if awarded (does not include contingency)Contingency based on Engineers estimate or associated with contract value (Allowance)Sum of Col. E & Col. F (not always equal to Col. D)

Ver.08.23.2013 79

PROJECT BUDGET DETAIL SHEET

Project Name: SAMPLE PROJECTContract #: XXXXXXXPeriod Ending 10/31/2012BA Input Date

A B C D E F G H I J K L M N O P

E+F G-K I-K D-I O-N

Grant WO

Resp. Code

Description CMS / FundingBase Estimated Cost

/ Base Committed Value

Contingency

Total Estimated Cost/Total Committed

value

Percentage EST/Contract vs

Funding

Estimate at completion

(EAC)

Percentage EAC vs

Funding

Expenditures (AC)

Remaining Total Contract Value to date

Estimate to complete (ETC)

Required Funding

Before Use of Uncommitted

Funds

Uncommitted Funds

Additional Funding

Required

PS Professional Service / Design $500,000 $420,000 $30,000 $450,000 90% $480,000 96% $40,000 $410,000 $440,000 $0 $20,000FA Force Account $100,000 $85,000 $10,000 $95,000 95% $95,000 95% $15,000 $80,000 $80,000 $0 $5,000PA Project Admin $150,000 $135,000 $0 $135,000 90% $145,000 97% $20,000 $115,000 $125,000 $0 $5,000XG Unallocated Contingency $50,000 $0 $50,000 $50,000 100% $0 0% $0 $50,000 $0 $0 $50,000

$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0

Total $800,000 $640,000 $90,000 $730,000 91% $720,000 90% $75,000 $655,000 $645,000 $0 $80,000 $0

responsibilityPM/BA Grant # Work Order ValueBA GRd001 WPd001 $800,000FORMULA

Col. DCol. ECol. FCol. GCol. NCol. P

Total $800,000 This Matches with CMS

Sum of Col. E & Col. F (not always equal to Col. D)Funding available in the contract before using all available project contingencyFunding available to the project

Project Budget Summary

DefinitionCMS Distribution valueCMS Estimated Value or Committed if awarded (does not include contingency)Contingency based on Engineers estimate or associated with contract value (Allowance)

Ver.08.23.2013 80

PROJECT BUDGET DETAIL SHEET

Project Name: SAMPLE PROJECTContract #: XXXXXXXPeriod Ending 11/30/2012BA Input Date

A B C D E F G H I J K L M N O P

E+F G-K I-K D-I O-N

Grant WO

Resp. Code

Description CMS / FundingBase Estimated Cost

/ Base Committed Value

Contingency

Total Estimated Cost/Total Committed

value

Percentage EST/Contract vs

Funding

Estimate at completion

(EAC)

Percentage EAC vs

Funding

Expenditures (AC)

Remaining Total Contract Value to date

Estimate to complete (ETC)

Required Funding Before Use of Uncommitted

Funds

Uncommitted Funds

Additional Funding

Required

PS Professional Service / Design $500,000 $420,000 $30,000 $450,000 90% $480,000 96% $50,000 $400,000 $430,000 $0 $20,000FA Force Account $100,000 $85,000 $10,000 $95,000 95% $95,000 95% $20,000 $75,000 $75,000 $0 $5,000PA Project Admin $150,000 $135,000 $0 $135,000 90% $145,000 97% $25,000 $110,000 $120,000 $0 $5,000XG Unallocated Contingency $50,000 $0 $50,000 $50,000 100% $0 0% $0 $50,000 $0 $0 $50,000

$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0

Total $800,000 $640,000 $90,000 $730,000 91% $720,000 90% $95,000 $635,000 $625,000 $0 $80,000 $0

responsibilityPM/BA Grant # Work Order ValueBA GRd001 WPd001 $800,000FORMULA

Col. DCol. ECol. FCol. GCol. NCol. P

Total $800,000 This Matches with CMS

Sum of Col. E & Col. F (not always equal to Col. D)Funding available in the contract before using all available project contingencyFunding available to the project

Project Budget Summary

DefinitionCMS Distribution valueCMS Estimated Value or Committed if awarded (does not include contingency)Contingency based on Engineers estimate or associated with contract value (Allowance)

Ver.08.23.2013 81

Project Name: SAMPLE PROJECTContract #: XXXXXXXCategory PS - Professional Services

See Note below Data Date Month 0 Month 1 Month 2 Month 3Period Period Period Period Period Period Period Period Period

resp. code Change Description

List of Proposal or change orders anticipated CO # 1 2 3 4 5 6 7 8 9

PS

PS PCO $30,000.00

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

PS PCO

Ver.08.23.2013 82

Summary Report

C.N. #

Project Scope Summary Description

Resp. CodeContract # / Account #

% EAC

PS GN001 107% 480,000.00$

FA GN002 100% 95,000.00$

PA GN003 107% 145,000.00$

XG XXXX 0% -$

Total 720,000.00$

Data Date

Update A Contract FCST/Actual A Date

1 7/1/14 7/1/14 8/1/13

730,000.00$ 95,000.00$

SCHEDULE SUMMARY

Project NTP Design Completion

Name

Des ign Project Sample.XE

FCST/Actual

8/1/13

Des ign Contingency 50,000.00$ -$

Force Account 95,000.00$ 20,000.00$

Project Admin 135,000.00$ 25,000.00$

Des ign Contract 450,000.00$ 50,000.00$

Period Ending: 11/30/2013

Project Ti tleDes ign Project

XXXXXXX Project Manager XXXXXX

COST SUMMARY

The work to be performed under these Contracts includes des ign and construction phase services for the rehabi l i tation 3 Bridges . These bridges were constructed in the early 1900s . The goal of this project i s to replace sub and superstructure whi le mainta ining trans i t service throughout construction. The services wi l l include completion of 4 phases of des ign to fina l des ign plans and speci fications fol lowed by a phase V- Construction Phase Services .

DescriptionTota l Committed

ValueExpenditures

Ver.08.23.2013 83

Jan. Feb, Mar. Apr. May June July Aug. Sept. Oct. Nov. Dec.

D28CN01 Kingston Wind Turbine

D13CN01 Dudley Station Police Kiosk & Station Improvements

D40/D41 Wachusett Commuter Rail Extension

D39CN01 Revere Transit Facility & Streetscape

Z92PS46 Hingham Dock and Ferry Facility

Z92PS27 Hingham Intermodal Center

Z90PS03 Knowledge Corridor

Z92PS32 Mansfield Commuter Rail Station- Access Improvements

S41PS03 Replacement Elevators-Tufts & Andrew Stations

S08CN10 Orient Heights Station

R19CN07 Everett Maintenance Facility- Fire Protection Upgrade

A20PS02 Government Center Station Project

Z92PS26 Winchester Center Commuter Rail Station

S41PS01 Downtown Crossing Vertical Transportation

B64PS01 Merrimack River & Washington St. Bridges, Haverhill

B73PS01 Shoreline Bridge

B92PS07 Annisquam Draw Bridge, Gloucester

B92PS07 North Station Draw Bridge I

B92PS07 Savin Hill Overpass

B92PS09 Shawsheen River Bridges at MP 19.93 & 22.09

S41PS01 Park/Harvard/Central Station Replacement Elevators

A46PS01 Symphony, Hynes, & Wollaston Accessibility

Y92PS03 Red Line Tunnel Repairs

G74PS01 Blue Hill Avenue Commuter Rail Station

B92PS08 Guild Street Bridge, Norwood

B92PS08 Shawsheen River Bridge (W-38-041)- Wilmington

TBD Ruggles Commuter Rail Platform

Z92PS45 Alewife Garage Repairs

A72PS01 Auburndale Commuter Rail Accessibility

B92PS08 Neponset River Lower Mills Bridge (B-16-412)

Contract #

Project Description P.M. Tel.Receive Monthly Report Year: 2011

Exhibit 2 Monthly AGM Design Report Submittal

Ver.08.23.2013 84

VII. ASSISTANT GENERAL MANAGER CONSTRUCTION REPORTS Page No.

Assistant General Manager Construction Report Requirements 85

Construction Report Template & Budget Summary Reports 86

Construction Report Submittal Checklist 102

Ver.08.23.2013 85

VII. ASSISTANT GENERAL MANAGER CONSTRUCTION REPORT REQUIREMENTS

AGM Design Reports are due to the AGM for Design and Construction on the first day of every new month. Project Managers are responsible to complete the reports and forward the reports to their respective Director for review. Upon their review of the report the Director shall forward the completed submitted report to the Executive Assistant of the AGM for Design & Construction. Prior to submission, Project Managers are to ensure the following:

A. Current financial data is obtained from a Budget Analyst. B. Use electronic template for each Project.

Exhibit 3 is a copy of the AGM Construction Report instructions and template as well as the Budget Summary template and instructions. Exhibit 4 is a copy of AGM Construction Report submittal checklist. The checklist is used to determine which reports have been submitted. Late and outstanding reports are highlighted for tracking purposes.

Ver.08.23.2013 86

Exhibit 3

AGM CONSTRUCTION PHASE REPORT - INSTRUCTIONS AGM design and construction reports are due to the AGM for Design and Construction on the first day of every new month. Project Managers are responsible to complete the reports and forward the reports to their respective Director for review. Upon their review of the report, the Director shall forward the completed submitted report to the Executive Assistant of the AGM for Design and Construction. A report consists of two sections, a narrative and a budget section. The narrative is a word file and the budget section is an excel file. A design or construction report should be done for each proposed construction package. A project is either in design or it is in construction. Construction reporting starts at NTP.

This form is a template. To use, save the attachment sent, by Project Controls, onto your

desktop. To start a new form, double click the icon on your desktop, once done, save according

to the given naming convention. To access a form that has already been saved, go to Word,

Open, File.

Spell-check Feature: Before starting on the report you will have to enable macros, in the form,

by clicking on the Security Warning (Macros have been disabled) Options, Enable this Content,

this is located at the top of the page. After completing the form and typing the Director’s name,

TAB out of the box, this will prompt the spell-check feature, allowing you to review the form.

1. Period Ending: Last day of the month for the particular reporting period (ex. March

reporting would be Period Ending 3/31/2012 and known as the March 2012 Report).

2. Contract Title: Formal name of Project.

3. Contract Number: Assigned 7 character alpha/numeric code for the project.

4. Task Order Number: Assigned 3 character alpha/numeric code for the project.

5. Contractor: Name of company providing construction services.

6. Contract Scope Summary: Provide a brief description (500 characters) of project.

7. Current Authorized Budget (Total Project): Amount allocated to project, inclusive of design

services. This value is equivalent to Total Committed Value in CMS (Column G in Project

Budget Summary).

8. Estimate at Completion (Total Project/Program): Projected total cost at end of

project/program.

9. Authorized Construction Budget: Allocated construction budget.

10. Construction Estimate at Completion: Projected end cost of construction, exclusive of

design services and other budget tasks.

Ver.08.23.2013 87

11. List Milestone Data: Provide a brief description of contractual milestones in numerical

order.

12. Schedule Data Date: Provide date of latest update on file. Include the Contract Baseline

Date (mm/dd/yyyy) and Current/Forecast Date (mm/dd/yyyy). If dates were actualized,

indicate so by placing an “A” under the A column (do not write in a date). List each

milestone. Provide brief milestone description.

13. Major Work in Progress: Provide a brief description of all major works.

14. Photo Box: Provide a picture (.tif, .gif, .jpg) depiction of such work (make sure to size photo

to exact height of “Major Work in Progress” box).

15. Safety Issues: Include any and all safety issues that occurred during reporting period.

16. Outstanding Non-Conformance Reports: List all outstanding non-conformance issues (NCR).

17. Project Issues/Actions: List any/all significant construction issues and any actions taken to

resolve them.

18. DBE Paid: Obtain percentage of DBE Paid through Last from CMS. Include the Payment #

and the date of payment. Log into CMS, click on Pymts, Subcontractor Payments, enter

contract #, the information will be provided on the screen that appears.

19. Schedule Recovery Action: Detail any recovery actions taken during construction.

20. Construction Schedule Log: Provide a construction log with the following information:

• Schedule File Name – Name of proposed schedule

• Type – Select BL, UP, 90

• Data Date – Reporting period of schedule

• Date Received – Indicate date schedule was received

• Date Returned – Indicate date scheduled was returned

• Accepted – Was the schedule accepted or not accepted?

• Pymt # - list payment number

21. Schedules on File: Are the schedules on file, Y/N?

22. Are Updates Being Submitted: Indicate if updates are being submitted, Y/N. If No, provide

explanation.

23. Project Manager: Name of PM

24. Director: Name of Director

Saving This File - When saving and sending this file, use the following naming convention:

“contract #.brief description.periodendingdate” ex. “D15CN01.Pawtucket Layover.4-30-12.doc”

Ver.08.23.2013 88

Construction Phase Report

Period Ending Month 7 Contract Title

Construction Project

Contract Number XXXXXXX Contractor XXXXXXXXXX T.O. Number

Contract Scope Summary Description:

The work to be performed under these Contracts includes design and construction phase services for the rehabilitation 3 Bridges. These bridges were constructed in the early 1900s. The goal of this project is to replace sub and superstructure while maintaining transit service throughout construction. The services will include completion of 4 phases of design to final design plans and specifications followed by a phase V- Construction Phase Services.

Current Auth. Budget (Total Prj.) $ 118,700,000.00 Authorized Const. Budget $ 90,000,000.00

Estimate @ Compl. (Total Prj.) $ 130,700,000.00 Construction Estimate @

Completion $ 103,000,000.00

List Milestone Data Schedule Data Date

# Brief Description Contract Date Current/Forecast Date

A

NTP 09/28/12 09/28/12 1 Phase 1 Bridge Complete 05/06/13 05/06/13 2 Phase 2 Bridge Complete 09/16/13 09/16/13 3 Substantial Completion 09/28/14 09/28/14

Describe Major Work in Progress: EWO Letter issued for CO# 1, work at southeast and northeast spandrel walls is complete, JFW to submit CO package for negotiation. At 19.93, all Drilled Shafts are poured, SOE being completed; At 22.09, slope stabilization with riprap on east side continues, SOE pile driving is complete, DS No. 4 is poured, DS No. 3 ongoing.

Ver.08.23.2013 89

T.O. Number Contract # Period Ending Month 7 Safety Issues or Incidents that occurred this period. On 2/13/13 A truck driver was caught in between/crushed by equiment when loading equiment. Driver ended up undergoing multibly surgey on both legs. Full reports to follow.

Outstanding Non Conformance Reports. None

Significant Project Issues/Actions. The contractor recently started excavating behind the spandrel walls to facilitate the drill shaft operations. Pre-design probing and boring behind fascia blocks hit obstruction which was perceived as solid granite blocks making up the spandrel walls. The stones behind a layer of fascia stones are not uniform in size, loosely laid and dry gravel and sand make up the joints between these stones. This is a change in field condition. EWO request is issued. JFW ready to submit package for all four spandrels plus the entire length of the arch wall for negotiation. Drill Shalft at Bridge 22.09 have been filling in due to silt layer. Drill shalft plans have been adjusted and the frist shalft should be poured on 3/1/13.

% DBE Paid Through Last PMT # Date l 3 01/31/13

Ver.08.23.2013 90

T.O. Number Contract # Period Ending Month 7 Schedule Recovery Action. [500 character limit]

Construction Schedule Log

Schedule File Name Type Data Date Date Received

Date Returned

Accepted [Yes/No] Pymt#

SW00 BL 11/05/12 12/03/12 No 1 SW0A BL 12/19/12 12/21/12 No SW0B BL 12/26/12 01/08/13 Yes SW01 UP 01/16/13 02/06/13 Yes 2 SW02 UP 2/1/13 02/11/13 02/26/13 Yes 3 SW03 UP 03/11/13 4

Ver.08.23.2013 91

T.O. Number Contract # Period Ending Month 7 Construction Schedule Log (Continued)

Schedule File Name Type Data Date Date Received

Date Returned

Accepted [Yes/No] Pymt#

Are Schedules On File? Yes Are Updates Being Submitted Monthly? Yes

If NO was answered to any question above please explain in box below. * [Required] * The Base Line schedule was accepted a s 90 day schedule and based on this Payment No. 1 was processed.

Joe Fred Project Manager Director

Ver.08.23.2013 92

BUDGET SUMMARY - INSTRUCTIONS

These instructions are to help in completing the Project Budget Summary Sheet for each project.

To begin working on the Budget Summary worksheet, input the project name and contract number

in the first sheet of the workbook, “Contingency Data.” Once this information is entered it will

populate all the other sheets. At the end of each reporting period, create a new “BSS per. Ending…”

sheet by copying the sheet from the previous period ending for the current period.

*Each Project is required to meet with Project Controls in order to establish each Project’s planned

contingency drawdown (project start/finish date and contingency amount will be needed).

1. Contingency Data Sheet

a. Project Name: Formal name of Project. (This field is populated once the

information is entered on the first sheet, “Contingency Data.”)

b. Contract Number: Assigned 7-character alpha/numeric code for the project. For

project in design, use the design contract number and for a project in construction,

use the construction number.

c. Plan Contingency: This value will be set up by Project Controls. This value includes

allocated contingency, unallocated contingency and uncommitted funds within the

project. The Project Manager (PM) and/or Budget Analyst (BA) will provide this

value to Project Controls and Project Controls will populate the spreadsheet with

the value and set up the Contingency Drawdown tab.

d. Additional Funding: If additional funding is provided, this value should be entered in

this row under the proper period.

2. Project Budget Detail Sheet

a. Period Ending: Last day of the month for the particular reporting period (ex. March

reporting would be Period Ending 3/31/2013 and known as the March 2013 Report.

This data must be entered in two locations. First, input data on the appropriate “BSS

per. Ending” sheet and on the “PS Cost Changes” sheet).

b. Grant Value: For each grant to the project, enter the grant number and the

associated work order(s) available for the project. This is the responsibility of Project

Ver.08.23.2013 93

Manager (PM) and/or Budget Analyst (BA). Input information in the table below the

summary table. The total of the grant value should match the value in CMS.

c. Grant WO (Col A): In the first column of the Budget Summary Sheet, enter the grant

work order numbers associated with the Responsible Area (PS, CN, etc).

d. Responsible Code (Col B): Column B provides the list of Responsible Areas as shown

in CMS. This includes PS, PA, CN, etc.

e. Description (Col C): List of tasks to be included in project. Responsibility of PM and

BA. Typical descriptions are Construction, Professional Services, Force Account, etc.

f. CMS / Funding (Col D): Input the value for the task as it is reported in the

Distribution value in CMS. This should equal the funded amount for the task. The BA

provides this information. This should match CMS as well as the total Grant amount.

If there is a difference, the highlighted cell to the right of the Grant Total will show

the variance.

g. Base Estimated Cost / Base Committed Value (Col E): The value entered here is the

Engineer’s estimate for the task or the awarded amount. (In CMS this would be the

Committed Value). The BA provides this information.

h. Contingency (Col F): This value is the contingency in the Engineer’s estimate or the

value of the contingency associated with the awarded contract (Allowance). The

Budget Analyst (BA) and Project Manager (PM) collaborate on this input. Any

unallocated contingency should be reflected in this column.

i. Total Estimated Cost / Total Committed value (Col G): This represents the Total

Estimated cost + the Allocated Base Contingency or the Total Committed value + the

Allocated Base Contingency. This number may be less than or equal to the value in

column D. This is a calculated field and it will be populated when columns E and F

are populated.

j. Percentage EST/Contract vs. Funding (Col H): This is the percentage of Estimated

Cost / Committed Cost and the funding.

k. Estimate at Completion (EAC) (Col I): This column represents projected final cost

and includes any change orders, proposed changes or other costs that may be

realized for the task. This column is managed by PM and it will be adjusted if it is

anticipated that the forecast final cost of the project will change.

Ver.08.23.2013 94

l. Percentage EAC vs. Funding (Col J): This is the percentage of EAC and Funding. This

column is formulated.

m. Expenditures (AC) (Col K): Actual Cost to date, provided by BA.

n. Remaining Contract Value to Date (Col L): Total Estimated Cost / Total Committed

Value less Expenditures. This column represents the Actual Remaining Budget as of

the reporting period. This column is formulated.

o. Estimate to Complete (ETC) (Col M): Amount remaining to complete each task, EAC

– AC. This column represents the projected cost required to complete task. This

column is formulated.

p. Required Funding before Use of Uncommitted Funds (Col N): This formulated field

provides the funding available to the task before utilizing all project contingency and

any uncommitted funds. The project will have to reallocate funds if this amount

exceeds the task’s funded value. The value in this column will be a negative or zero.

The negative value indicates that a transfer/reallocation of funds is required.

q. Available Uncommitted Funds (Col O): This formulated column provides the

uncommitted funds available for the task and the project. This amount will always

be a positive number or zero.

r. Additional Funding Required (Col P): The data reflected in the column is an

indication of the funding needed to cover the project cost. Additional funding is

required if EAC is increased and/or cost from change orders are higher than

anticipated in the initial EAC.

3. Period Cost Changes: BA/PM to use these sheets to document cost changes over time.

There is a sheet for each category with the exception of the XG “Unallocated Contingency,”

since any change to unallocated contingency will be reflected in the other categories. In

general, any anticipated Potential Change Orders, Amendments, and executed change

orders or any cost changes are to be tracked in these sheets. Once the Cost change is

approved and executed, the number associated with the approved change should be added

under the CO # column.

a. PS Cost Changes Sheet: Note: For each Period update, ensure that the Period

Ending Data Date is inserted in the appropriate row and column in the “PS Cost

Changes” sheet. This date will automatically populate the other Cost Changes

sheets. Please note that there are 50 lines for change input in each of these sheets

Ver.08.23.2013 95

and the total for the columns (period) is at the bottom of the table or row 58. On

the right of each sheet is a total column for each line where you can verify the total

cost for each change.

b. CN Cost Changes Sheet: For each package, enter the change order or propose

change orders for each period in the appropriate column. In column B, “Change

Description,” enter the description of the change. In column C, “List of Proposal of

Change Orders Anticipated,” enter an abbreviated description for the change and in

the next column enter the number. The sheet has 200 lines for inputting changes.

To see the total for each period, please scroll to the bottom of the sheet or to row

208. Scroll to the right to see each Change Order total.

c. Cost Changes sheets for Force Account (FA), Inspection (IN), Project

Administration (PA), Material Procurement (MP), and Real Estate (RE) have also

been provided.

Ver.08.23.2013 96

Project Name :Contract # :

Area/Cat Contingency Values Month 0 Month 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7 Month 8 Month 9 Month 10Plan Contingency $18,500,000

Cost Change Projections $0 $0 $0 $2,000,000 $3,500,000 $13,000,000 $700,000 $0

Additional Funding $8,000,000

Total Available Contingency $18,500,000 $18,500,000 $18,500,000 $16,500,000 $13,000,000 $0 $7,300,000 $7,300,000

XXXXXXX

SAMPLE PROJECT

Ver.08.23.2013 97

Project Name: SAMPLE PROJECTProject ID: XXXXXXXChange Orders Summary Sheet

See Note below Data Date Month 0 Month 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7Period Period Period Period Period Period

resp. code Description CO # 1 2 3 4 5 6 7 8

CN Construction -$ -$ -$ 1,500,000.00$ 3,500,000.00$ 13,000,000.00$ -$ -$

FA Force Account -$ -$ -$ -$ -$ -$ 700,000.00$ -$

IN Inspection -$ -$ -$ -$ -$ -$ -$ -$

PA Project Admin -$ -$ -$ -$ -$ -$ -$ -$

MP Material Procurement -$ -$ -$ -$ -$ -$ -$ -$

PS Design -$ -$ -$ 500,000.00$ -$ -$ -$ -$

RE Real Estate -$ -$ -$ -$ -$ -$ -$ -$

Period Total 2,000,000.00 3,500,000.00 13,000,000.00 700,000.00 -

Note: The Data Date information must be provided with each monthly update

Ver.08.23.2013 98

Ver.08.23.2013 99

PROJECT BUDGET DETAIL SHEET

Project Name: SAMPLE PROJECTContract #: XXXXXXXPeriod Ending 4/30/2013BA Input Date

A B C D E F G H I J K L M N O P

E+F G-K I-K D-I O-N

Grant WO

Resp. Code

Description CMS / FundingBase Estimated Cost

/ Base Committed Value

Contingency

Total Estimated Cost/Total Committed

value

Percentage EST/Contract vs

Funding

Estimate at completion

(EAC)

Percentage EAC vs

Funding

Expenditures (AC)

Remaining Total Contract Value to date

Estimate to complete (ETC)

Required Funding Before Use of Uncommitted

Funds

Uncommitted Funds

Additional Funding

Required

PS Professional Services/CPS $10,000,000 $8,500,000 $1,200,000 $9,700,000 97% $9,700,000 97% $2,450,000 $7,250,000 $7,250,000 $0 $300,000CN Construction $108,000,000 $85,000,000 $5,000,000 $90,000,000 83% $108,000,000 100% $17,510,000 $72,490,000 $90,490,000 $0 $0FA Force Account $20,000,000 $18,000,000 $1,000,000 $19,000,000 95% $19,000,000 95% $3,300,000 $15,700,000 $15,700,000 $0 $1,000,000RE Real Estate $0 0% 0% $0 $0 $0 $0MP Material Procurement $0 0% 0% $0 $0 $0 $0IN Inspection $0 0% 0% $0 $0 $0 $0PA Project Admin $0 0% 0% $0 $0 $0 $0XG Unallocated Contingency $0 0% 0% $0 $0 $0 $0

$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0$0 0% 0% $0 $0 $0 $0

Total $138,000,000 $111,500,000 $7,200,000 $118,700,000 86% $136,700,000 99% $23,260,000 $95,440,000 $113,440,000 $0 $1,300,000 $0

responsibilityPM/BA Grant # Work Order ValueBA GR001 WO001 $138,000,000FORMULA

Col. DCol. ECol. FCol. GCol. NCol. P

Total $138,000,000 This Matches with CMS

Sum of Col. E & Col. F (not always equal to Col. D)Funding available in the contract before using all available project contingencyFunding available to the project

Project Budget Summary

DefinitionCMS Distribution valueCMS Estimated Value or Committed if awarded (does not include contingency)Contingency based on Engineers estimate or associated with contract value (Allowance)

Ver.08.23.2013 100

Project Name: SAMPLE PROJECTContract #: XXXXXXXCategory CN - Construction

See Note below Data Date Month 0 Month 1 Month 2 Month 3 Month 4 Month 5 Month 6 Month 7Period Period Period Period Period Period

resp. code Change Description

List of Proposal or change orders anticipated CO # 1 2 3 4 5 6 7 8 9

CN PCO 1

CN PCO 1,500,000.00$

CN PCO 3,500,000.00$

CN PCO 13,000,000.00$

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

CN PCO

Ver.08.23.2013 101

Summary Report

C.N. #

Project Scope Summary Description

Resp. CodContract # / Account #

% EAC

PS GN001 100% 9,700,000.00$

CN GN002 114% 103,000,000.00$

FA GN003 100% 19,000,000.00$

RE GN004 0% -$

MP GN005 0%IN GN006 0%PA GN007 0%XG GN008 0%

Total 131,700,000.00$

Data Date

Update A Contract FCST/Actual A Date

6 A 9/28/14 9/28/14 3/28/13

Prof. Services/CPS 9,700,000.00$ 2,450,000.00$

Period Ending: Month 7

Project Ti tleConstruction Project A

XXXXXXX Project Manager XXXXXX

The work to be performed under these Contracts includes des ign and construction phase services for the rehabi l i tation 3 Bridges . These bridges were constructed in the early 1900s . The goal of this project i s to replace sub and superstructure whi le mainta ining trans i t service throughout construction. The services wi l l include completion of 4 phases of des ign to fina l des ign plans and speci fications fol lowed by a phase V- Construction Phase Services .

COST SUMMARY

DescriptionTota l Committed

ValueExpenditures

Construction 90,000,000.00$ 17,510,000.00$

Force Account 19,000,000.00$ 3,300,000.00$

Real Es tate -$

Materia l Procurement

Inspection

Project Admin

Unal located Contingenc

118,700,000.00$ 23,260,000.00$

SCHEDULE SUMMARY

Project NTP Substantial Completion

Name FCST/Actual

Construction Project A 9/28/12

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Jan. Feb, Mar. Apr. May June July Aug. Sept. Oct. Nov. Dec.

B25 Back Bay Roof Replacement

S09CN11 State Street Modernization

D07CN01 Ashmont Station Finishes

S10CN02 Orient Heights Car Yard & Maint. Facility

A40CN02 State Street Redundant Elevator

A40CN01 Harvard Square Vertical Transportation

H74CN05 Four Corners Commuter Rail Station

H78CN01 New Bedford 3 Bridges

G80CN01 Old Colony Tie Replacement

A40CN04 Porter Square Station

H74CN07 Tablot Ave Commuter Rail Station

H74CN06 New Market Commuter Rail Station

S50CN01 Silver Line Essex Street Enhancement

D38CN01 Wonderland Garage

A29CN04 Science Park/West End Station

B74CN01 Neponset River Bridges MP 219.74 & 220.35

H74CN08 Neponset River Bridge MP 220.78

Z92PS44 Everett Bus Repair Building, Floor Slab Repairs

D01CN01 Silver Line Busway & Shelter Improvements

G67 Fitchburg Line, South Acton Station Improvements

G67CN02 Fitchburg Line Bridge & Communications

G67PS01 Fitchburg CPF-43 Interlocking

MBCR PI 0924 Fitchburg Double Track

D40CN01 Littleton Station

D36CN01 Wedgemere Accessibility

S46CN01 North Quincy Sta. Platform Repairs

A40CN03 Park Street Redundant Elevator

* Highlight Months for Project Report Submitted Late

Contract #

Project Description P.M. Tel.Received Monthly Report Year: 2011

Exhibit 4 Monthly AGM Construction Report Submittal

Ver.08.23.2013 103

VIII. SCOPE MANAGEMENT Page No.

Defining Scope 104

Change Control 104

Change Control Process 105

Request Phase 106

Review Phase 106

Documentation Phase 106

Change Request Instructions & Form 108

Change Request Log 115

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VIII. SCOPE MANAGEMENT

Scope management is the process of monitoring project status and managing baseline changes. Scope management controls scope creep. The process of managing changes is described in this chapter.

1. Defining Scope

The Project shall prepare a written scope statement. A project scope statement describes, in detail, the project’s deliverables and the work required to create those deliverables. Project Managers are required to work closely with the Designer and other project stakeholders to define the project scope. Identify any and all documents that establish the baseline for project scope, cost and schedule. These documents include but are not limited to:

• Scope description – describes what the project is, defines project deliverables and identifies early action plans, design criteria, code requirements standard specifications and program plans

• Project assumptions and exclusions – explicitly states what is assumed and excluded from the project - helps to manage scope creep

• Project constraints – lists and describes specific project constraints that limits a project’s options

• Project budget – accepted budget of allocated funding for the project • Project schedule – determines duration of the project and identifies project

milestones Baseline Documents shall be formally accepted by the MBTA at or before the 30% design phase.

2. Change Control

A. The Change Control process delineated in this section is to be used for

requesting, reviewing, and documenting changes to the approved project baseline for design projects. Baseline changes may occur as a result of contractual modifications, application of undistributed budget, re-planning, or formal reprogramming. Managing change to the project baseline is crucial to ensure the project’s work scope, schedule, and cost do not spiral out of control. Changes to baseline documents should be minimized and are normally approved only in the interest of work scope changes, design adequacy, reliability, performance, cost reduction, or safety/environmental considerations. Changes that oftentimes occur during further developments of design criteria, baseline documentation preparation, final design, construction or

Ver.08.23.2013 105

testing/start-up phases of the Project can be accomplished routinely and are not subject to the formal change control process. Actions pertaining to change control may affect earned value and schedule. Refer to Sections III and IV to determine incorporated requirements.

B. The purpose of the Change Control process is to ensure that:

• The cost, schedule, and technical impacts of the proposed changes are developed and considered by all affected parties.

• The collected evaluations are considered in the approval or rejection of the proposed changes.

• All affected parties are informed of proposed changes and their dispositions. • Baseline documentation is controlled and updated as appropriate to reflect

approved changes. • Action on proposed changes occurs deliberately, but without undue delay

and without interfering disproportionately with project progress.

C. The stated goals of the Change Control process are:

• To anticipate, recognize, and predict changes to the approved design project baseline

• To prevent unauthorized or unintended deviations from the approved project design baseline

• To evaluate and understand the technical, schedule, cost and safety/quality impacts of each change to the approved project design baseline

• To identify, understand, and control the consequences of changes to the approved project design baseline

• To ensure each change is evaluated, reviewed, and dispositioned at the proper authority level

3. Change Control Process

A. The Change Control process allows the project team to identify, evaluate,

approve, and document proposed changes to the project baseline. The process is initiated with the generation of a Change Request. The Change Request is the formal mechanism for proposing and assessing a change, waiver, or deviation to the project. After an evaluation of the Change Request, an approval is granted at an appropriate level and the Change Request becomes an Amendment for implementation. The Amendment is expeditiously communicated to affected parties and incorporated in the project baseline documentation in an auditable manner. The Change Control process is accomplished in three phases: the Request Phase, the Review Phase, and the Documentation Phase. The Request Phase is where the Change Request originates and appropriate classification is determined. For the Review Phase, an assessment of the proposed Change

Ver.08.23.2013 106

Request is accomplished and approval is obtained from the appropriate authority level. Approved changes are implemented and integrated project baseline documents are revised in the Documentation Phase.

B. During the course of project execution, errors in accounting and cost/schedule

databases can occur. Integrity of the Performance Measurement Baseline is vital to a clear understanding of project status. Retroactive changes to the performance measurement data are to be avoided. Action should be taken promptly when errors are identified. Adjustments can be made to correct accounting and data entry errors and do not require instituting the formal change request process. These adjustments will not be made to historical project data, only the current and future accounting periods.

4. Request Phase

A. The Change Control process begins with the generation of a Change Request

form typically the MBTA PM will initiate the Change Request form. Some changes are considered design refinement within the designer’s original scope. The change management procedure only applies to changes that modify scope/program. Therefore, the PM needs to determine what kind of change is being requested in order to decide if a Design Change Request Form should be submitted and this procedure followed. The Change Request is then submitted to the Director of Design. Upon concurrence, the Director signs the Change Request and forwards it through to the appropriate authorization level. The Change Impact Assessment section records the potential impacts of the proposed change to the project baseline and addresses safety/quality concerns. The assessment is to be all-inclusive and thorough, to ensure the consequences of implementing (or not implementing) the proposed change is fully understood.

B. Change Requests are numbered sequentially in order of receipt for tracking

purposes. The Change Request Log is updated each time there is a change to the status of a Change Request.

5. Review Phase

A. The Review Phase is dictated by the Classification level of the Change Request. Changes are classified according to the extent that they impact the project baseline. The Budget Classification is determined by authorization levels.

B. During the review process, any rejected Change Request is sent back to the

MBTA Project Manager who will determine further action.

6. Documentation Phase

A. The Documentation Phase is where the project baseline is revised and the approved change is implemented. Once the Change Request documents have

Ver.08.23.2013 107

been signed by the proper level of authority, a budget reallocation or amendment should be processed. The MBTA Project Manager is responsible for coordinating with the design consultants for the purpose of revising cost/schedule baseline documents for changes impacting these project baselines. When appropriate, a new project baseline will be generated for each approved Change Request. This action will improve traceability between the Change Request and the Schedule and Cost Management Systems.

B. Once the baseline documents are revised, the Project Manager updates the

Change Request Log and implements the Amendment within his/her work scope.

C. Changes during construction should follow the MBTA Change Order Guidelines.

7. Exhibits

1. Exhibit A - Change Request Form 2. Exhibit B – Design Change Request Log

Ver.08.23.2013 108

Instructions for Design Change Request Form

Project Name: Self-explanatory.

Contract #: Self-explanatory (also place in header of 2nd

page).

Change Request #: This number will be filled in by PM. The forms will be numbered consecutively as they are received and will be entered into the Change Request Log (also place in header of 2nd

page).

WBS #: Work Breakdown Structure Number(s) affected by the change.

Date: Originator enters the date for the submission of the Change Request.

Date Required: Originator enters the estimated date approval is needed to avoid adverse impacts on technical performance, schedule, cost or quality/safety.

Description of Proposed Change: Describe the change requested. Use the continuation page, as required.

Basis of Original Design: What was the original intent/purpose of the project? Justification of Proposed Change: Justify the proposed change. Describe the problem or defect that will be corrected by the proposed change. Indicate the experience that dictates the need for the change. Summarize the capability to make the change. Include the impact if the change is not approved. Use the continuation page, as required.

Change Impact Assessment: Provide a statement of impact to technical performance, schedule, cost, and quality/safety. Use the continuation page, as required.

Schedule Impact (Design): Identify current schedule data date. List current design milestone (s) and end dates. Describe how this action will affect current design milestone (s). Schedule Impact (Construction): List anticipated construction advertising date and milestone. How will this action impact the anticipated advertising and milestone date? Cost Impact (Design): Identify current design budget. How will this action affect the current design budget? Cost Impact (Construction): Identify current construction budget. How will this action affect current construction budget? This number can be approximated.

Amendment: Change to a contract. Transfer Amendment: Transfer funds between one or more contract actions, new scope. Task Order: Change to an established contract with a maximum price.

Ver.08.23.2013 109

Budget Reallocation: Reallocates funds within one contract action; does not involve new scope.

Classification Level: Authorization Level.

Signature Approvals: Based on the Change Request classification, the appropriate authorization signee must provide a signature. Address: Provide an address for correspondence. Contact Person: Include a contact person for correspondence.

Ver.08.23.2013 110

MBTA

DESIGN CHANGE REQUEST FORM

PROJECT NAME: CONTRACT #: CHANGE REQUEST #: WBS #: DATE: DATE REQUIRED 1. DESCRIPTION OF PROPOSED CHANGE: 2. BASIS OF ORIGINAL DESIGN: 3. WHY WAS CHANGE NOT ANTICIPATED? 4. JUSTIFICATION OF PROPOSED CHANGE:

Exhibit A

Ver.08.23.2013 111

5. TECHNICAL/OPERATIONS IMPACT: 6. IMPACT IF CHANGE REQUEST NOT APPROVED: 7. SCHEDULE IMPACT:

a) DESIGN:

b) CONSTRUCTION: 8. COST IMPACT:

a) DESIGN:

b) CONSTRUCTION: 9. THIS CHANGE WILL REQUIRE?

� AMENDMENT � TASK ORDER � BUDGET REALLOCATION � TRANSFER AMENDMENT

Contract #: Change Request #:

Ver.08.23.2013 112

10. CLASSIFICATION LEVEL:

� DIRECTOR $0 - ≤ $25,000 � CHIEF ENGINEER OF D&C >$25,000 - ≤$100,000 � ASSISTANT GM FOR D&C >$100,000 - ≤ $250,000 � GENERAL MANAGER >$250,000 - ≤$5,000,000 � SECRETARY OF TRANSPORTATION >$5,000,000 - ≤$15,000,000 � �

BOARD OF DIRECTORS >$15,000,000

ASSISTANT GM FOR D&C TIME EXTENSION

SUBMITTED BY: DATE: TITLE: SIGNATURE OF CONCURRENCE: DESIGNER: DATE: TITLE: ADDRESS:

CONTACT PERSON:

Contract #: Change Request #:

Ver.08.23.2013 113

Concur Not Concur SIGNATURE: ______ DIRECTOR OF DESIGN DATE COMMENTS: Concur Not Concur SIGNATURE: ______ DIRECTOR OF DATE PROJECT CONTROLS COMMENTS: Approved Not Approved SIGNATURE: AREA DIRECTOR DATE COMMENTS:

Approved Not Approved SIGNATURE: CHIEF ENGINEER OF DATE

DESIGN & CONSTRUCTION COMMENTS: Approved Not Approved SIGNATURE: AGM OF DESIGN DATE

& CONSTRUCTION COMMENTS:

Contract #: Change Request #:

Ver.08.23.2013 114

REQUIRED ATTACHMENTS: DESIGN EXTRA WORK ORDER REQUEST LETTER AT AUTHORIZED LEVEL CMS REPORT CMS-PS-020 - ACTION LIMIT SUMMARY INDEPENDENT COST ESTIMATE DESIGN CHANGE REQUEST LOG

Contract #: Change Request #:

Ver.08.23.2013 115

I.D # Class WBS # CR Title Date Submitted

Date Required

Originator Status Anticipated Design Cost

Anticipated Construction Cost

Approval Date

Not Approved

Design Change Request Log

Project Name:__________________________________________________________________________

Exhibit B

Ver.08.23.2013 116

IX. RISK ANALYSIS Page No.

Validation of Base Conditions 117

Risk Identification and Qualification 118

Risk Management 119

Implementation and Monitoring 120

Sample 2 - Risk Register 121

Ver.08.23.2013 117

IX. RISK ANALYSIS

Risk Analysis Process Risk Analysis is the systematic evaluation of uncertainty about the scope, cost, and duration of an MBTA project. This uncertainty is in the form of risks that the project may encounter during the course of various design development and construction phases. It also can be in the form of unknown opportunities for improving the cost and schedule prospects for a project. Risk Analysis offers a systematic, cost-effective approach for the MBTA to evaluate project uncertainty. This process provides valuable data about the project. The results from a Risk Analysis are an important management tool for the MBTA to manage and reduce project uncertainty through risk mitigation. The following are necessary components for an effective risk analysis:

• Validation of Base Conditions • Risk Identification & Quantification • Assessment (Modeling) • Discussion/Review • Risk Mitigation Planning (RMP) • Implementation/Monitoring

These six steps are divided into two parts. The first four steps comprise of the Risk Assessment and the last two steps cover Risk Management. At 30%, a qualitative risk analysis is required. The output of a qualitative risk analysis is a risk register and a prioritized list of risks classified as High, Moderate or Low. When the project design is between 90% and 100%, a quantitative risk analysis is required. The output of a quantitative risk analysis is a risk report, numerical analysis of the project’s likelihood of achieving its overall objectives, Monte Carlo simulation and a risk register. To set up a risk analysis, the Project should contact MBTA Project Controls. 1. Validation of Base Conditions A minimum of three (3) weeks prior to the risk workshop, the design consultant shall provide MBTA Project Controls with the following documents in order to review the project and validate the base conditions.

1. Plans (no CD’s)

2. Specifications (no CD’s)

Ver.08.23.2013 118

3. Estimate as required in Estimate section of Project Controls Manual

a) CSI Format b) Line #, CSI, MBTA Bid Item, Description, Labor, Materials, Equipment,

Quantity, Unit, Hours, Crew, Unit Cost, Total Cost c) Separate line items for General Conditions, Profit, Overhead, Bond, Design

Contingency, Construction Contingency and Escalation. d) Basis of Estimate

4. An anticipated Construction Schedule, also known as a Contract Time Determination

(CTD) as required in Chapter III – Project Schedule.

a) Full Schedule b) Critical Path c) Near Critical Path d) Milestones e) Work shifts (days, nights, non-revenue, shutdowns, etc...)

5. Design Schedule

6. List of potential risks

7. Project Budget

a) Design b) Construction c) Force Account

2. Risk Identification and Quantification The second step in risk assessment is identifying the risks that could affect the base scope, cost, and schedule. Once a Risk Officer (RO) is assigned, the PM and RO shall convene a group of individuals that have specific expertise and knowledge about the project. This group is known as the Risk Analysis Team for the project. The Risk Analysis Team shall include individuals involved in project design and planning, such as the design consultant, project scheduler and cost estimator. After each member of the Risk Analysis Team evaluates and identifies the risks or opportunities associated with project, the Risk Officer shall schedule a workshop, known as the Risk Analysis Workshop. The duration of the workshop will depend on project size and complexity.

Ver.08.23.2013 119

Each member of the Risk Analysis Team along with key subject experts shall attend this workshop. The attendees shall discuss, assess, and quantify the risks identified by the team members. During the workshop, the RO shall define the workshop objectives, elicit comments, and summarize the conclusions to the Risk Analysis Team. Using the information obtained from project scope validation and a risk checklist, the Risk Analysis Team develops a list of risks that are likely to affect the project under consideration. The risks identified by individual team members will then be discussed and augmented during the risk analysis workshop. After indentifying the risk factors, the RO and Risk Analysis Team must document and record the risks for review and evaluation. The risks identified by the Risk Analysis Team are recorded in the risk register; a sample is provided (Sample 2). In order to quantify the effect of risk, the Risk Analysis Team needs to consider the probability of occurrence of each risk event and the range of cost or schedule impact if the event occurs. All MBTA projects are subject to a Monte Carlo simulation after the probability of occurrence of each risk event and the impact is determined. The MBTA prefers using a P80 Confidence Level to project probable construction costs and completion dates. 3. Risk Management The RO shall provide the project with a report that includes:

• List of project risks ranked according to their significance.

• A quantified risk register and the histogram of possible project costs (and/or schedule delay) accompanied with a contingency analysis.

Each member of the risk team will review the report and provide feedback to the RO. When all feedback has been received, the task team will once again meet to begin developing strategies to mitigate the potential cost and schedule impacts of the risks. The risk team will determine which risks contribute to significant variance in total project cost and schedule and appropriately target risk mitigation measures. Risk mitigation planning involves:

• Identifying unacceptable risks • Identifying potential causes (risk drivers) • Establishing implementation requirements (time, costs) • Prioritizing risk mitigation strategies • Assigning mitigation responsibility • Allocating risks to owner, contractor and other parties

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The Risk Mitigation Plan assists the Project Manager and Risk Analysis Team in making decisions to influence risks and taking cost-effective actions to reduce adverse risks and to realize opportunities. The process involves preparing an action plan that prioritizes risks, identifies the underlying causes of risk events, describe the likelihood of the risk events occurring, and develop strategies that can mitigate the potential impact of the risks to the project. The Risk Mitigation Plan is the action plan with the most important tangible result of the overall risk analysis process. The summary outcome of the mitigation strategies are listed in a Risk Mitigation Register. The mitigation register should only contain risks that can be mitigated. The register should include:

• Cost of mitigation strategy • Probability of success of mitigation • Party responsible for mitigation

Project Contingency Determination Performing risk analysis allows the project management team to determine an appropriate monetary contingency for the project. Inclusion of a contingency amount in the cost estimate will minimize the impact of cost increases inherent in an overly optimistic estimate and provide for an earlier discussion of how potential risks can be addressed. Risks will be defined with specific costs allocated to them, as opposed to just "bumping up" the total cost. A risk allocated cost contingency will be included in the total project cost estimate for the mitigation of all significant risks. Risk management and contingency funding can be utilized to mitigate those risks that cause cost escalations throughout the project continuum. After all known risk mitigation, the cost estimate's contingency-funding levels should reflect the amount of remaining risk associated with the project's major cost elements. Additionally, an overall management contingency can be included to cover unknown, unanticipated risks. This contingency will be a "stand alone" piece of the cost estimate that is managed by the MBTA AGM and will be used for a broad spectrum of uncertainties. The risk analysis will also determine the appropriate project duration. 4. Implementation and Monitoring After risk mitigation measures are established and assigned to responsible parties, MBTA management must give final approval to implement the recommended measures. Approvals and decisions on the implementation process should be initiated as early as possible to minimize the cost of implementation, which is likely to increase as the project advances. The risk review is requested again when the project reaches between 90% and 100% Construction Documents. Throughout the life of the project, PM’s are required to monitor and manage risks.

Ver.08.23.2013 121

SAMPLE MITIGATION REGISTER

Cost ($)

Risk #

Phase (DN, P,

CN)Risk Description

Probability (VL, L, M, H, VH)

Min.Most likely

Max. Affected Party Min.Most likely

Max. Response Resp. Person

1 DN Lack of budget to do structural testing could result in need of a Force Account.

L 100K 200K

Lab will do structural testing or hire an independent lab. There is no Force Account set up for this. Need to get cost estimate from lab

W. Shia

2 DN Contractor not having enough area to store materials could add additional cost L 12K 25K

There is enough area. Did walk-through with hydro demo individual and space is adequate

3 CN Unidentified location for pump truck, during concrete operation, could lead to change order for additional cost.

M 25K 50K 70K

Pump truck will be in storage area during daytime. In Phase 2 piping will be placed; value currently in estimate

4 CN Uncertainty of how signals under platform are being protected could lead to additional cost.

Will be part of contractors lump sum.

5 CN Flaggers not showing up for assignment could lead to delay and inreased costs.

M 10K 20K 70K 1d 2d 7d

Signals are in one direction. Force Account for Flaggers has been set up but nothing has been established

6 CN Lack of information on signal work required, during track work, could lead to additional cost to the budget.

7 DN Budget of flagmen not adequate H 48K 150K

Mitigation ResponseSchedule (days)

Sample 2 SAMPLE RISK REGISTER

Risk No. Risk Event Proposed Risk Mitigation

Probability of Success Minimum Maximum

Expected Value

Cost of Implementation

6 skylight panels An allowance item could be added to cover the cost of further damage to the existing panels prior to construction.

75.00% 1,000$ 6,900$ $ 2,962.50 -$

7 skylight work during revenue hours

Project must indicate work will have to be done during non-revenue hours.

100.00% 100$ 850$ $ 475.00 145.00$

9 identifying bird guano locations

An allowance item for guano removal has been added to the Bid Documents (0160.010 Material Handling Allowance for $25,000)

75.00% 1,000$ 2,500$ $ 1,312.50 -$

14 undefined line painting scope

Exten of line painting scope to be identified 20.00% 100$ 425$ $ 52.50 -$

15 local residents concerns

Provision to be made to do work at night - 2AM-11AM for Bertucci's; 9PM - 6AM for Daycare

20.00% 800$ 1,400$ $ 220.00 240.00$

5,022.50$ 385.00$ 4,637.50$

Mitigation Benefits

Pre-Simulated Total Expected Savings

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X. CONSTRUCTABILITY REVIEW Page No.

Constructability Review Overview 123

Guideline for Constructability Review 125

Constructability Review Waiver Form 130

Ver.08.23.2013 123

X. CONSTRUCTABILITY REVIEW

Overview The MBTA recognizes the need for contract documents that will ensure rational bids and minimize problems during construction. The Constructability Review Process (CRP) establishes a formal, as well as a routine plan review. These reviews have the potential to minimize the number and magnitude of changes, disputes, cost overruns, and delays during construction. They are conducted to determine that the design is constructible with conventional construction techniques, without undue difficulty or expense, or, if the design is unusual, that a construction methodology exists or is developed prior to release of the design. It is also a form of QA/QC to ensure that major elements of the project have received a thorough review prior to the completion of the design documentation. The CRP must be flexible enough to be applied to all types of projects handled by the Authority. Furthermore, the process must address the critical issues impacting today’s transportation construction projects such as, ease of construction, environmental factors, construction phasing and scheduling, and project safety. To obtain maximum benefit from a constructability review, PM must assure that it is initiated early enough to give the reviewers and others sufficient time to review the project, and then sufficient time to allow the designers to incorporate the recommended revisions. Therefore, when designs reach 60% completion each MBTA project shall undergo a constructability review. The 60% design phase provides reviewers a nearly complete detailed plan to allow a constructability review. However, for large projects, the Assistant General Manager of Design and Construction may want to consider doing reviews during earlier phases of the design. The CRP must be flexible in order to adapt it to specific project characteristics and requirements. A key factor in determining the scope or type of the CRP is project complexity. Typically, total project cost and total work-hour effort reflects a level of complexity. Projects located in an urban setting and those involving reconstruction or grade separation are often more complex. Projects that involve many interfaces with other government agencies, utilities, the public, local officials etc. may indicate a higher level of complexity. Typically, the Design Engineer is required to have an independent consultant perform a review of the 60% design. An independent constructability review is a formal review of all project data and documents by a specially selected independent team. On occasion, the Authority may elect to have one of its Constructability Consultants perform the review through a task order prepared by Project Controls. Constructability Consultants shall preclude themselves from bidding the work they perform constructability reviews for. Project Managers shall obtain from the selected Constructability Consultant a signed and dated statement precluding themselves bidding said work if they are performing the constructability review.

Ver.08.23.2013 124

The constructability review team will be comprised of individuals with experience in the various aspects of design and construction required for the project at hand. The size of the team will depend on the complexity, regional significance and the number of experts from other program areas needed to conduct an effective and timely review. The PM shall notify Project Controls a minimum of three (3) weeks in advance prior to initiating constructability reviews and also provide all the documents associated for this review. Project Controls will participate in all Constructability Reviews. The Constructability Consultant selected to perform the constructability review will receive a thorough briefing of the project by the project designer and examine the project site (if appropriate). The Constructability Review shall receive all available pertinent reference materials, including but not limited to, the design document, advanced detail plans, cost estimate, environmental studies, traffic maintenance and traffic management plan , right of way , construction phasing, site investigation, any special specifications or special notes, the construction schedule, baseline data, utility & railroad agreements if available. The reviewer(s) will address as a minimum, each of the items listed in the “GUIDELINES FOR CONSTRUCTABILITY REVIEW” that applies to the project (Exhibit C). At the completion of the review, the Constructability Reviewer shall prepare a report addressing, at a minimum the topics outlined in this guideline. The completed report shall be submitted to the PM and Project Controls. After review and consideration of the recommendations contained in the report, the Design Engineer must document the reasons for their course of action concerning each recommendation and provide a copy to the Constructability Review team, Project Manager, and Project Controls. Constructability reviews, as currently conducted, should reduce the number of change orders, delays and disputes during construction, resulting in a net savings for the Authority. Project managers can request a waiver from the above requirement by providing justification and submitting a Waiver Request form as shown in Exhibit D. Provide MBTA Project Controls with a copy of all Constructability Waivers.

Ver.08.23.2013 125

GUIDELINE FOR CONSTRUCTABILITY REVIEW Exhibit C

a.

1

2

3

4

56

7

8

9

b.

1

2

3

4

5

6

7

8

9

10

Environmental Survey?

Pedestrian Circulation?

Site Investigation

BUILDABILITY

Train headway & schedule?

Access to work areas?

Adequate temp. passenger platforms?

Bus birthing & circulation?

Signage?

Right-of-Way/Stations

Sufficient R.O.W. available for all operations

Equipment, material and hazardous waste storage?

Staging?

Field Office?

Access requirements?

Current site survey (horizontal & vertical controls)? Subsurface exploration?

Utility investigation?

Current vehicular traffic counts?

Structural inspection?

Emergency/interim structural repairs been considered?

Sufficient field investigation has been done to ascertain that contract work can be performed as shown on plans?

The accuracy and completeness of the contract plans so that the design as shown on the final plans can be built

Description YES NO NA MORE INFO NEEDED

Ver.08.23.2013 126

c.

1

2

3

4

5

6

d.1

2

3

4

5

6

7

e.1

2

3

4

5

6

Description YES NO NA MORE INFO NEEDED

Processing of shop drawings and related approvals?

Schedule Length of time and production rates for work reasonable?Is sequence of construction reasonable?

Seasonal limits on construction operations?

Utility relocation schedule reasonable?

Design adequate for averting delays /congestion?

Is a detour necessary for averting delays/congestion?

Signing and traffic control adequate?

Can construction operations be carried out safely under TMP and staging?

TMP/Traffic Control TMP requirements realistic for site conditions?

Are lane closures reasonable for traffic volumes?

Adequate provisions for access for pedestrians and abutting properties?

Can the details as shown on the plans be constructed using standard industry practices, operations and equipment?

Proposed adjacent contracts, restrictions, constraints identified and accounted for?

Are there areas with restricted access?

Are widths of work zones and travel lanes adequate? Does staging cause special conditions (i.e., structural adequacy/stability)?

Construction Staging

Phased to provide minimum number of stages and reasonable work areas and access?

Regulatory permit restrictions?

GUIDELINE FOR CONSTRUCTABILITY REVIEW

Ver.08.23.2013 127

e.7

8

9

10

11

12

13

14

f.

1

2

3

4

5

6

NO NA MORE INFO NEEDED

Schedule (cont'd)

Description

Safety requirements, fall protection, electric lines, and other utilities, RR requirements?

Winter concreting and the schedule for delivery of concrete?

Relationship with adjacent contracts?

Impact of additional work (emergency structural repairs, additional quantities of concrete/ steel repair)?

Time related specs - completion / milestone realistic?

Night and weekend work proposed, and impacts considered?

Special Materials/Conditions

Service outages, weekend shutdowns/diversions?

Pertinent provisions and restrictions clearly indicated?

Any special (unique / proprietary) materials, methods of technologies required for contract?

Special coordination required, RR, Permits, Regulatory?

Presence of asbestos, hazardous waste or toxic materials?

Materials ordering, fabrication and delivery requirements

Restricted hours impact on production?

All necessary construction operations identified?

YES

GUIDELINE FOR CONSTRUCTABILITY REVIEW

Ver.08.23.2013 128

GUIDELINE FOR CONSTRUCTABILITY REVIEW

g.1

2

3

4

5

6

7

8

9

10

11

12

Ensure MBTA Operation/Operation Support understands how and when construction will take place.Has Value Engineering been performed on the project?

Ensure Value Engineering incorporated if it was performed?Review the economic viability of selected materials and products.

General

Verify requirements for QA/QC during construction.

Check that selected materials are available and appropriate for the anticipated work conditions.

Review unique conditions and material transitions to insure clear and detailed delineation.

Review all project drawings and specifications for clarity, completeness, coordination, economic feasibility, and schedule impact. The review shall provide assurance that plans and spec are consistent and do not contradict themselves and that vague or incomplete requirements are avoided.

Description YES NO NA MORE INFO NEEDED

Make certain adequate provisions are provided for access, staging, and storage of waste and supplies; parking for worker and construction vehicle, and mitigation of environmental impacts during construction.

Pay attention to the requirements of the public including adjacent land use functions, existing transit patrons, and persons with disabilities.

Determine requirements for Authority-provided services, and utility connections.

Clearly define procedures for scheduling outages and the reasonableness of utility relocation efforts.

Ver.08.23.2013 129

GUIDELINE FOR CONSTRUCTABILITY REVIEW

g.13

14

15

16

17

18

19

20

21

YES NO NA MORE INFO NEEDED

General (cont'd)

Eliminate construction requirements that are impossible or impractical to build.

Verify accurate depictions of site conditions with regard to access, utilities, ROW, soils, and general configuration.

Maximize constructability, recognizing the availability and suitability of materials and the standards of practice of the construction resources.

Description

TMP adequate and complete?

TMP too restrictive?

Cross referencing between various contract documents consistent?

Permits have been identified and sufficient time allowed to secure?

Information sufficient to avoid major field changes? Coordination and agreements with appropriate agencies/parties?

Ver.08.23.2013 130

Constructability Review Waiver

Contract #: Description: Project Manager: Date: All projects are required to undergo the process of a constructability review when they reach the 60% design stage, unless a waiver is requested. The project is formally requesting a waiver from the constructability requirement shown above. Please provide a reason for the waiver request in the allotted space below: Print Name: Signature: Date: Approved Denied Date:

AGM for Design and Construction

Exhibit D

Ver.08.23.2013 131

XI. VALUE ENGINEERING Page No.

Value Engineering Process & Cost Threshold 132

Scheduling and Team Selection 132

Value Engineering Workflow Process 136

Value Engineering Forms 137

Value Engineering Waiver 141

Ver.08.23.2013 132

XI. VALUE ENGINEERING The Federal Transit Administration (FTA) encourages agencies to utilize Value Engineering techniques on all construction projects. Value Engineering (VE) is a systematic, multi-discipline approach designed to optimize the value of each dollar spent on a project. To accomplish this goal, an independent team of architects/engineers identifies, analyzes and establishes a value for a function at the lowest total cost (capital, operating, and maintenance) over the life of a project consistent with the requirements of performance, reliability, maintainability, safety and esthetics. Value Engineering Process The intent of a Value Engineering process is to make sure good alternatives are reviewed objectively and real attempts are made to incorporate these alternatives into a design. The benefits of value engineering can be realized at design, construction, and post construction phases. Project Managers are responsible for complying with the VE Program requirements as outlined in this section (shown in the Value Engineering Process and Procedures flow chart). Project Design Engineers are responsible to provide study materials and address study recommendations by implementing accepted recommendations and providing justification for unaccepted recommendations. Project Controls is responsible for coordinating the VE workshops, serving as a liaison between the project and VE Consultants and developing and processing Task Orders associated with the VE effort.

1. Cost Threshold Projects with construction costs over $5M require a VE study.

2. Value Engineering Waiver A waiver from the VE requirement may be requested by filling out a VE Waiver form and submitting it to the AGM for Design and Construction for approval (Exhibit E). Provide MBTA Project Controls with a copy of all VE Waivers.

3. Scheduling & Team Selection Scheduling: The highest return on the VE effort can be expected when a VE workshop (or study) is performed early in the design process before major decisions have been completely incorporated into the design. Value Engineering should occur when design reaches 30%. Value Engineering may occur earlier in the design

Ver.08.23.2013 133

stage for some large, complex projects that the FTA defines as a major capital project typically involving design of a new fixed guideway at a cost in excess of $100M. In that case, two (2) VE workshops will be held. The first VE workshop should be conducted at the 10% level and the second at the 30% design level. Contact Project Controls to arrange a VE study. Team Selection: Project Controls will select a consultant to perform the VE study. After receipt of a task order, the VE Consultant will propose a VE Team, which should consist of the Team Leader and technical experts. The technical experts shall have the expertise to evaluate the major areas of design included in the project scope. The VE Consultant Team Leader shall be a Certified Value Specialist (CVS) with experience in managing the VE process for transportation system facilities.

A. Value Engineering Study

All VE studies shall be conducted in accordance with the following methodology as prescribed by AASHTO VE Guidelines and SAVE International. Each study will have three distinct parts:

• Pre-Study Activities (Pre-Workshop) - Gather information, select Team, develop cost model, finalize logistics and agenda, review all project documents, conduct site visit, and coordinate with the designer who shall present a project overview to the VE Team.

• VE Study (Workshop) - Typically a 5-day workshop, but could be less for smaller projects.

• Post-Study Activities (Post Workshop) - Prepare Preliminary Report, conduct Implementation meeting, attend VERC meeting and prepare Final Report.

B. Required Study Elements The following items shall be required of the VE Team:

1. Define the original project objective. 2. Identify the design criteria for the project. 3. Verify all valid project constraints. 4. Identify specifically the components and elements of high cost. 5. Determine basic and secondary functions. 6. Evaluate the alternatives by comparison. 7. Consider life cycle cost of alternatives. 8. Determine high risk factors (cost and/or schedule). 9. Develop a detailed implementation plan.

Ver.08.23.2013 134

10. Define which VE alternatives can be implemented and which stand alone. The VE Team shall select which combination of developed solutions is being specifically recommended.

11. VE studies for design build projects shall review the proposed RFP. 12. VE studies for bridge projects shall consider bridge substructure requirements

based on construction materials, evaluation using life cycle costs and construction duration, and evaluation of acceptable bridge design based on sound engineering and economic considerations.

C. VE Study Report The VE report shall be organized in sections by areas of focus consistent with the VE job plan. The format of any report should contain at a minimum the following:

1. Executive summary 2. Participant list 3. Research sources 4. Project history (including project criteria, commitments and constraints) 5. Potential Study Areas 6. Existing design description 7. Performance Criteria 8. Evidence that a function analysis was performed 9. Cost Model 10. Life cycle cost estimate 11. VE Alternative Description 12. VE Alternative Cost calculation 13. Risk register 14. Evaluation by comparison 15. Proposed design 16. Detailed findings or analysis 17. Specific recommendations and costs 18. Design suggestions 19. Implementation Plan 20. Final report to include a summary section that includes the study findings

D. Post Workshop

The VE Consultant forwards a draft VE report to MBTA Project Controls for review. The report will be forwarded to the PM and Design Consultant. The Design Consultant reviews the report. If there are no comments, a final report is issued within 14 calendar days of the workshop. When the final report is issued, the design team shall provide responses to the alternatives with Attachments B and C. Alternatives that the design team suggests not to incorporate into the design will need justification provided by the design team. Attachment B provides justification of the selected alternatives, while Attachment C provides confirmation of all chosen alternatives.

Ver.08.23.2013 135

Within 35 calendar days of the workshop, there is a review of the final VE report by a Value Engineering Review Committee (VERC), the Project team and Project Controls. The committee consists of the following: Principal within the design firm, MBTA Area Director, Director of Design, and the AGM for Design & Construction or MBTA’s Chief of Design & Construction. The design team shall present to the VERC the reasoning as to why the alternatives suggested will or will not be incorporated into the design. The VERC will make the final decision as to whether an alternative shall be incorporated into the design. A project shall not advance to the next design phase without the completion of the V.E. process. Seven (7) days after the VERC meeting, the MBTA Project Manager shall provide a signed Final List of VE Alternatives Selected for Implementation (Attachment A) along with copies of Attachments B and C and the Value Engineering Approval Form to the Project Controls group. Project controls will then furnish these documents to the FTA.

Ver.08.23.2013 136

Pre Workshop

Project Controls Receives Notification of Need to Do a VE

Project Controls Selects Consultant to Perform VE Study Based on Scope

Design Consultant Places Plans, Specs, Estimate & Schedule, etc. on

an FTP Site

Proposal is Received From VE Consultant; Reviewed with Project

and Task Order is Issued

VE Consultant Reviews Project Documents

VE Agenda Prepared and Issued; VE Workshop Date Set

MBTA PM Invites Internal Depts., Subject Matter Experts, or

Stakeholders to VE Workshop

Workshop

Design Engineer/Project Team Does a Presentation of Project to VE

Consultant

VE Consultant Performs Study; Usually 3-5Days

1. VE Consultant Presents Findings to Entire Project Team

2. T PM sets up Mtg with Value Engineering Review Committee. Mtg

w/ VERC should happen within 35 cal. days of completed VE work shop

Post Workshop

VE Consultant Provides Draft Report to Project Team

Draft Report Reviewed by Project Team

Final Report Issued by VE Consultant within 14 cal. days of workshop

Within 14 Days of Issuance of Final Report, Design Team Provides

Documentation (Attachments B, C) to Project Controls

Value Engineering Review Committee and Design Team meet w/in 35 days of

completed workshop. VERC reviews and discusses items on Attachments B

and C.

7 Days After Review Committee Meeting, Project Manager Fills Out VE Approval Form and all attachment and

Forwards to Project Controls

Project Controls Forwards Documentation to FTA

Value Engineering Process

Ver.08.23.2013 137

Value Engineering Approval Form Project Name: Design Contract No.: Date of VE Workshop: VE Report Issue Date:

Summary of Workshop Activity:

Number of Ideas Generated During Creative Phase:

Number of Recommendations Presented for Consideration:

List All Accepted Recommendations (please provide as Attachment A):

Value of Recommendations requiring Further Study:

Provide a List of All Other Recommendations (Attachments B, C):

Original Construction Cost:

Projected Saving from Value Engineering:

Revised Construction Cost:

Designer Project Manager: Date

Signature (please sign)

MBTA Project Manager: Date

Signature (please sign)

Return Completed Form to Horace Cooper within 7 Days of the VE Review Committee Meeting. Please recognize that approval of the VE Recommendations, as indicated by the signatures on Attachments A, B & C, is a prerequisite to entering next design phase.

Date:

Ver.08.23.2013 138

Project Name:Design Contract #:Date Submitted to MBTA:

Section 1:Design Team will Include the following options in current design.

Alternative # DescriptionImplementation cost $ Savings

Principal (Designer) Date

Director Date

Director of Design Date

AGM of Design and DateConstruction

Attachment AFinal List of Value Engineering Alternatives Selected for Implementation

Ver.08.23.2013 139

Project Name:Design Contract #:Date Submitted to MBTA:

Section 1: Section 2:Design Team's request not to include the following options in design: VE Committee Final RecommendationsAlternative # Description Reason Accepted Rejected * Further Study Comments

Principal (Designer) Date

Director Date

Director of Design Date

AGM or Chief of Design Dateand Construction

Section 1 to be filled out by Design Consultant and submitted to the MBTA within 14 days of receipt of VE ReportSection 2 and signatures are completed by Value Engineering Review Committee during VE review meeting

This sheet is used as a summary. Provide additional pages as required to support reasons included above.

*If the Designer proposes not to adopt a VE alternative (as shown in Section 1) and the VERC has rejected the request (as shown in Section 2), that VE alternative must be incorporated into the design.

Attachment BList of Value Engineering Alternatives Not Selected by Design Team for Implementation

Ver.08.23.2013 140

Project Name:Design Contract #:Date Submitted to MBTA:

Section 1: Section 2:Design Team proposes to include the following options in current design: VE Committee Final Recommendations

Alternative # Description

Estimated Implementation Cost

Estimated Cost Savings Accepted Rejected Comments

Principal (Designer) Date

Director Date

Director of Design Date

AGM or Chief of Design Dateand Construction

Attachment CList of Selected Value Engineering Alternatives Recommended by Designer for Implementation

Ver.08.23.2013 141

Value Engineering Waiver

Contract #: Description: Project Manager: Date: All projects over $5 Million are required to undergo the process of value engineering when they reach the 30% design stage*. The project is formally requesting a waiver from value engineering requirements shown above. Please provide a reason for the waiver request in the allotted space below: Print Name: Signature: Date: Approved Denied Date:

AGM for Design and Construction

*Major capital projects are encouraged to undergo the process of value engineering at the 10% design stage. Forward a signed copy to Project Controls

Exhibit E

Ver.08.23.2013 142

XII. LESSONS LEARNED Page No.

Lessons Learned Overview 143

Lessons Learned Instructions & Form 144

Ver.08.23.2013 143

XII. LESSONS LEARNED

OVERVIEW

In accordance with FTA requirements of sharing experiences gained in the planning, design, construction and revenue operations of major capital transit projects, the Design and Construction Department has mandated the incorporation of Lessons Learned on every MBTA project. Lessons Learned can potentially produce higher quality projects while saving time and cost and help the project team share knowledge gained from experience so that the entire organization may benefit. A successful Lessons Learned program will help project teams:

• Repeat desirable outcomes • Avoid undesirable outcomes

Project Managers are required to record Lessons Learned throughout the life cycle of each project. The form, Exhibit F, should be submitted annually, prior to March 15th

- an exception of this would be when there is a safety incident, in which case, the form will need to be filled out immediately. A minimum of one (1) Lessons Learned, for each project, from each PM, is due at the end of each quarter. The data that is compiled will be available for PM’s and design consultants to review as they are assigned new projects or as projects enter new phases. Completed Lessons Learned should be sent to Project Controls.

During project close-out, PM’s are required to archive Lessons Learned with project records.

Ver.08.23.2013 144

Instructions for Lessons Learned Form

Limit one (1) form per Lesson Learned.

Project Managers are encouraged to document as many lessons learned as possible in an effort to share their experiences with others. Lessons Learned are submitted yearly to Design & Construction Project Controls.

1. Project Title: Self-explanatory.

2. Contract #: If project is in design, provide design contract number. If project is in construction, provide construction contract number.

3. Lessons Learned #: For the duration of design, each lesson learned shall have a unique designated number. Numbering shall be sequential. The same applies to projects in construction.

4. Date: Indicate date Lessons Learned is recorded.

5. Project Delivery Method: Self-explanatory.

6. Phase: Choose one phase Lessons Learned applies to.

7. Project Classification: Choose appropriate project classification.

8. Lessons Learned Category: Determine which category the Lessons Learned issue applies to. What was the root cause of the issue? Choose one.

9. Safety Related: Self-explanatory.

10. Title of Lesson Learned: The project lessons should be descriptively titled to allow the reader to understand the lesson content through the title alone.

11. Background: Briefly describe scope. What happened during the execution of the project that brought to light the deficiency or need to create or modify a process, procedure, plan and/or specification?

12. Lessons Learned: Describe the issue surrounding the lesson. This should include just enough information to facilitate understanding the lesson.

13. Lessons Learned Recommendation: How would you improve or avoid the situation? What would you do differently?

14. Applicability: When or where can this particular Lessons Learned be used?

15. Submitted By: Individual completing the Lessons Learned form.

16. Telephone # & Email: Self-explanatory.

Ver.08.23.2013 145

Lessons Learned Form

1. Project Title:

2. Contract #:

3. Lessons Learned #:

4. Date:

5. Project Delivery Method (choose only one):

Design - Bid - Build Design Build CM @ Risk CM GC

6. Phase (choose only one):

Design Procurement Construction

7. Project Classification (choose only one):

System Improvement (Ops. Project) Building Demo Parking Lot Maintenance Facility Improvement Roadway Elevator Commuter Rail Light Rail Right-of-Way Bridge New Vertical Construction Station Renovation (rapid transit) Environmental Noise Wall Signal/Comm./Power Upgrade New Capital Expansion (i.e., Greenbush, GLX)

8. Lessons Learned Impacted Category:

Scope Time Cost Management

9. Is this a safety related lesson?

Yes No

Ver.08.23.2013 146

10. Title of Lessons Learned:

11. Background:

12. Lessons Learned:

13. Lessons Learned Recommendations (how would you improve or avoid or why do you think it

went so well?):

14. Applicability:

Submitted by: Telephone #: Email:

Ver.08.23.2013 147

XIII. PROJECT MANAGEMENT FILING SYSTEM Page No.

Project Management Filing System Overview 148

Filing System Diagrams 149

Ver.08.23.2013 148

XIII. PROJECT MANAGEMENT FILING SYSTEM

OVERVIEW

In order to maintain proper documentation and proper archiving throughout a project life cycle, the following standard format shall be followed.

The filing system for projects shall be divided into two phases: Design phase and Construction phase.

The Design phase of the project shall then be subdivided into 2 categories; Pre-design (PDN) and Design (DN).

The Construction phase shall be subdivided into two categories: Pre-construction (PCN) and Construction (CN).

See Figure 9, 10 and 11 for more details. The first 2 letters shall represent the project name abbreviation, i.e. SL (Shoreline Bridge), followed by the phase of the contract (PDN, CN etc...) and the sequential number for each document.

Project Management Filing System

Project ( SL) Shoreline Bridge

Construction (DN)

Pre-Design (PDN) Design (DN)

Pre-Construction (PCN)

Figure 9

Ver.08.23.2013 149

Project Management Filing SystemDesign Phase

Contract No. “SL”

Design (DN)

SL.PDN-001 LOISL.PDN-002 RFPSL.PDN-003 RFQSL.PDN-004 Budget Concurrence MemoSL.PDN-005 Public AnnouncementSL.PDN-006 Authorization Cover MemoSL.PDN-007 Selection CommitteeSL.PDN-008 Proposal Evaluation Sheet & ScoringSL.PDN-009 Letter to Selected Firm

Pre-Design (PDN)

SL.DN-001 Award DocumentsSL.DN-002 AmendmentsSL.DN-003 ReallocationsSL.DN-004 PDG MeetingsSL.DN-005 Environmental PermitsSL.DN-006 Design Reports (EVM)SL.DN-007 Project Design Schedules and UpdatesSL.DN-008A 0-15% Plans/Specs/Review CommentsSL.DN-008B 15-30% Plans/Specs/Review CommentsSL.DN-008C 30-60% Plans/Specs/Review CommentsSL.DN-008D 60-90% Plans/Specs/Review CommentsSL.DN-008E 90-100% Plans/Specs/Review CommentsSL.DN-009 Contract Document/Plan/Spec/Addendum SL.DN-010 Conformed Documents SL.DN-011 VE ReportsSL.DN-012 Risk AssessmentsSL.DN-013 Engineers estimatesSL.DN-014 IA AgreementsSL.DN-015 P.I AgreementsSL.DN-016 Utility F.A AgreementsSL.DN-017 MBTA F.A Agreements (TRS)

SL.DN-018 Letter from Design ConsultantSL.DN-019 Letter to Design ConsultantSL.DN-020 Design MeetingSL. DN-021 Real Estate AcquisitionSL.DN-022 Peer ReviewsSL.DN-023 DPS, Fire ApprovalsSL.DN-024 VariancesSL.DN-025 Pre-bid Control Sheets w/back-upSL.DN-026 Anticipated Construction Schedule from DesignerSL.DN-027 Change Management Document and LogSL.DN-028 Bid Escrow Task OrderSL.DN-029 Misc. Files:

-AGM Report (Design )-Budget Documents-Consultant Evaluation-Errors & Omissions

SL.DN-030 InvoicesSL.DN-031 Lessons Learned

Figure 10

Ver.08.23.2013 150

Ver.08.23.2013 151

Project Management Filing SystemConstruction Phase

Contract No.” SL”

Pre-Construction (PCN)

SL.PCN-001 PrebidSL.PCN-002 Notice of AwardSL.PCN-003 Pre-Award MeetingsSL.PCN-004 PreconstructionSL.PCN-005 NTP

SL.CN-006 Construction Baseline Schedule and UpdatesSL.CN-007 Schedule Workshop MeetingSL.CN-008 Progress Meeting MinutesSL.CN-009 Letters from ContractorSL.CN-010 Letters to ContractorSL.CN-011 Memo to FileSL.CN-012 Subcontractor ApprovalSL.CN-013 Submittal LogSL.CN-013.submittal section.submittal #.rev # Submittal No. 1SL.CN-013.submittal section.submittal #.rev # Submittal No. 2SL.CN-013.submittal section.submittal #.rev # Submittal No. 3SL.CN- 014 RFI Log SL.CN-015 RFI’SSL.CN-016 Shop Drawing LogSL.CN-016.submittal section.sd1 Shop Drawing No. 1SL.CN-016.submittal section.sd2 Shop Drawing No. 2SL.CN-017FCN/Construction Change Directives (Modifications)SL.CN-018 FCN LogSL.CN-019 Misc. Correspondence ( external stakeholder) to MBTASL.CN-020 Misc. Correspondence ( external stakeholder)from MBTA

SL.CN- 021 Change OrderSL.CN- 021.1 Change Order No. 1SL.CN- 021.2 Change Order No. 2SL.CN- 022 EWOLSL.CN- 023 ClaimsSL.CN- 024 Photos/VideosSL.CN- 025 Contractor Schedule of ValuesSL.CN- 026 Meeting ( misc.)SL.CN- 027 Misc Files:-AGM Report (Construction)- Budget Documents-Contractor Evaluation-Errors and OmissionsSL.CN-028 Lessons LearnedSL.CN-029 Form 6, 7, 8 & 9SL.CN-030 Contract Closeout DocumentsSL.CN-031 As-builtSL.CN-032 O and M ManualsSL.CN-033 CertificationsSL.CN-034 Pay RequisitionsSL.CN-035.0 PermitsSL.CN-035.1 Fire/Burn PermitSL.CN-035.2 Excavation PermitSL.CN-035.3 “ etc.“

Construction (CN)

Figure 11

Ver.08.23.2013 152

Project Management Filing SystemConstruction Phase (continued)

Contract No.” SL”

SL.CN-036.0 Resolution Report LogSL.CN-036.1 Resolution Report No. 1SL.CN-036.2 Resolution Report No. 2SL.CN-037 Material Inspection LogSL.CN-037.1 Concrete LogSL.CN-037.2 Grout LogSL.CN-037.3 Shotcrete LogsSL.CN-038 Test ReportsSL.CN-038.1 Grout Inspection ReportsSL.CN-038.2 Shotcrete Inspection ReportsSL.CN-038.3 Rebar Inspection ReportsSL.CN-038.4 Rock Anchor Tests/Inspection ReportsSL.CN-038.5 Soils Tests/Inspection ReportsSL.CN-038.6 Asphalt Tests/Inspection ReportsSL.CN-038.7 Structural Tests/Inspection ReportsSL.CN-038.8 Architectural Tests/Inspection ReportsSL.CN-038.9 Mechanical Systems Tests/Inspection ReportsSL.CN-038.10 Electrical Systems Tests/Inspection ReportsSL.CN-038.11 Other Equipment Tests/Inspection ReportsSL.CN-038.12 Contractor Equip. Inspections (cranes, etc.)SL.CN-038.13 Other Tests/Inspection ReportsSL.CN-038.14 Open Items List

Construction (CN)

Figure 11A

SL.CN-039 Safety DocumentsSL.CN-039.1 Contractor Safety PlanSL.CN-039.2 Contractor Safety Inspection ReportsSL.CN-039.3 Contractor’s Tool Box MeetingSL.CN-039.4 Material Safety Data Sheets (MSDS)SL.CN-039.5 Accident ReportsSL.CN-039.6 MBTA Safety Inspection ReportsSL.CN-039.7 Safety Open Items ListSL.CN-039.8 Safety Walk DocumentationSL.CN-039.9 Other Safety ItemsSL.CN-040 Construction Environmental DocumentsSL.CN-040.1 Contractor’s Environmental PlanSL.CN-040.2 Insp. ReportsSL.CN-040.3 MBTA Environmental Insp. ReportsSL.CN-040.4 Environmental Open Items ListSL.CN-040.5 Other Environmental ItemsSL.CN-041 InspectionSL.CN-041.1 Daily Inspector’s ReportSL.CN-041.2 Other Inspection (flagmen, traffic, etc.) LogsSL.CN-041.3 RE’s Daily ReportsSL.CN-042 CQV

Ver.08.23.2013 153

XIV . PROJECT MANAGEMENT PLAN

Page No.

Project Management Plan Overview 153

Project Management Plan 154

Ver.08.23.2013 154

XIV. PROJECT MANAGEMENT PLAN OVERVIEW

All MBTA projects require a Project Management Plan (PMP) The purpose of a PMP is to establish when and how a project will be managed, monitored, controlled and closed throughout the project life cycle. A Project Management Plan contains important project information.

Once a PMP has been developed for a project the parties involved will have a clear understanding of the project’s organization structure along with the responsibilities of most parties and external stakeholders. A PMP serves as a roadmap for each project. The Federal Transit Administration has recommended the use of a PMP on all Design and Construction projects.

A sample PMP template has been included in this chapter and will serve as a guide to each project’s PMP development. It is recommended that a PMP be developed prior to a project’s design reaching 30% and then continually be updated throughout the project’s life cycle.

MBTA-[project name] Project

PROJECT MANAGEMENT PLAN Page 155 [Month/Year]

MBTA [Insert project name]

PROJECT MANAGEMENT

PLAN Template

[insert date]

PROJECT MANAGEMENT PLAN –[insert project phase]

MBTA-[project name] Project

PROJECT MANAGEMENT PLAN Page 156 [Month/Year]

ENDORSEMENT PAGE

[Insert name of project manager] Project Manager

Reviewed by: [insert name] Project Controls

Approved by: [insert name of AGM] Assistant General Manager for Design and Construction

MBTA-[project name] Project

PROJECT MANAGEMENT PLAN Page 157 [Month/Year]

Revision Log

Revision Date of Issuance Description of Changes Sections Revised

[revision #] [insert date]

[description of change]

[section revised]

MBTA-[project name] Project

PROJECT MANAGEMENT PLAN Page 158 [Month/Year]

TABLE OF CONTENTS

1. Introduction ........................................................................................................................................ 161 1.1 Purpose of the Project Management Plan ................................................................................. 161 1.2 MBTA Legal Authority ................................................................................................................ 161 1.3 Project Objectives ...................................................................................................................... 162 1.4 Project Description ..................................................................................................................... 162

2. Organization and Staffing .................................................................................................................. 162 2.1 Project Organization ................................................................................................................... 162 2.2 Project Management Team ........................................................................................................ 163 2.3 Design Consultant ...................................................................................................................... 167

2.3.1 Design Consultant Team .................................................................................................... 167 2.4 Governmental and Oversight Agencies ..................................................................................... 167

2.4.1 Federal Agencies (if applicable) ......................................................................................... 167 2.4.2 Local Agencies ................................................................................................................... 167 2.4.3 Regulatory Agencies .......................................................................................................... 167 2.4.4 Utilities ................................................................................................................................ 167 2.4.5 Developer Team (if applicable) .......................................................................................... 168

2.5 Equal Employment Opportunity Policy ....................................................................................... 168 3. Management Control ......................................................................................................................... 168

3.1 Technical Control ....................................................................................................................... 168 3.1.1 Technical Baseline /Configuration Control ......................................................................... 169 3.1.2 Design Reviews/Constructability/Risk ................................................................................ 169 3.1.3 QA/QC Program ................................................................................................................. 169

3.2. Cost Control ............................................................................................................................... 169 3.2.1 Maintaining Baseline Project Cost ..................................................................................... 169 3.2.2 Performance Measurement ................................................................................................ 170 3.2.3 Cost Estimating .................................................................................................................. 170 3.2.3.1 Estimating Methodology ..................................................................................................... 170 3.2.3.2 Quantity Take-offs .............................................................................................................. 170 3.2.3.3 Pricing ................................................................................................................................ 170 3.2.3.4 Estimating Software ........................................................................................................... 170 3.2.4 Contingency Management ................................................................................................. 170 3.2.5 Escalation Factor Derivation .............................................................................................. 172 3.2.6 Contracting Techniques ..................................................................................................... 172 3.2.7 Cost Allocation Plan ........................................................................................................... 172 3.2.8 Cost Accounting Plan ......................................................................................................... 172 3.2.9 MBTA Force Account Plan ................................................................................................. 178

3.3 Schedule Control ........................................................................................................................ 178 3.3.1 Types of Schedules ............................................................................................................ 178 3.3.2 Schedule Development, Progress Monitoring .................................................................... 180 3.3.5 Schedule Reporting ............................................................................................................ 180 3.3.6 Earned Value Reporting .......................................................................................................... 180 3.3.7 Schedule Updates .............................................................................................................. 180

3.4 Cash Management ..................................................................................................................... 180 3.5 Change Control .......................................................................................................................... 180 3.6 Document Control ...................................................................................................................... 180

3.6.1 Records Management ........................................................................................................ 181 3.6.2 Document Control .............................................................................................................. 181

4. Human Resources Management ....................................................................................................... 181 4.1 General Approach and Responsibilities ..................................................................................... 181 4.2 Statutory and Regulatory Requirements .................................................................................... 182 4.3 Employment and Business Utilization Goals ............................................................................. 182 4.4 Labor Relations .......................................................................................................................... 182

5. Risk Management and Insurance ...................................................................................................... 182

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5.1 Scope ......................................................................................................................................... 182 5.2 Risk Identification ....................................................................................................................... 182 5.3 Evaluation ................................................................................................................................... 183 5.4 Risk Mitigation/Control ............................................................................................................... 183 5.6 Insurance .................................................................................................................................... 183

6. Environmental Assessment and Mitigation ....................................................................................... 184 7. Procurement of Services .................................................................................................................. 184

7.1 Procurement of Construction Contracts ..................................................................................... 184 7.2 Affirmative Action Goals ............................................................................................................. 184

8. Procurement of Materials and Equipment ........................................................................................ 184 8.1 General Approach and Responsibilities ..................................................................................... 184 8.2 Regulatory Environment for Procurement .................................................................................. 184 8.3 Contract Types ........................................................................................................................... 184 8.4 Code of Conduct ........................................................................................................................ 185 8.5 Contract Proposal and Award Process ...................................................................................... 185

9. Design Program ................................................................................................................................. 185 9.1 Requirements and Standards .................................................................................................... 185 9.2 Design Supervision .................................................................................................................... 186 9.3 Design Coordination – Internal, External ................................................................................... 186 9.4 Design Review Process ............................................................................................................. 187 9.5 Value Engineering ...................................................................................................................... 188 9.6 Constructability Reviews ............................................................................................................ 189 9.7 Operations and Management (O&M) ......................................................................................... 190 9.8 Change Control .......................................................................................................................... 190 9.9 Systems Integration ................................................................................................................... 190 9.10 Reliability, Availability, Dependability and Safety ................................................................... 190

10. Right-of-Way Acquisition ................................................................................................................ 190 10.1 Overview ................................................................................................................................ 190 10.2 Conceptual to 30% Design Property Acquisition Cost Estimates .......................................... 191 10.3 Negotiation of Final Appraised Value with Landowner .......................................................... 191 10.4 License Agreements .............................................................................................................. 192 10.5 Eminent Domain ..................................................................................................................... 192

11. Community Outreach Plan ............................................................................................................. 192 11.1 Community Outreach Program Objectives ............................................................................ 192 11.2 Community Outreach Program .............................................................................................. 193 11.3 Interfaces with Elected Officials and Government Agencies ................................................. 193 11.4 Media Interface ....................................................................................................................... 193

12. Construction Program .................................................................................................................... 193 12.1 General Approach and Responsibilities ................................................................................. 193 12.2 Pre-Award Activities ............................................................................................................... 194 12.3 Prequalification of Contractors and Vendors ......................................................................... 194 12.4 Coordination of Construction .................................................................................................. 194

12.4.1 Project Schedule ................................................................................................................ 194 12.4.3 Bi-Weekly Meetings............................................................................................................ 194 12.4.4 Establish Point of Contact .................................................................................................. 195

12.5 Change Management ............................................................................................................. 195 12.6 Verification, Testing and Acceptance ..................................................................................... 195 12.7 Warranties/Equipment Guarantees ........................................................................................ 196

13. Safety/Security ............................................................................................................................... 196 13.1 General Approach .................................................................................................................. 196 13.2 Design Safety and Security .................................................................................................... 196 13.3 Protection of MBTA Operations during Construction ............................................................. 198

14. Interagency Coordination ............................................................................................................... 198 14.1 MBTA Interagency Agreements with Utility Providers ........................................................... 198 14.2 Tracking Interagency Inputs ................................................................................................... 199 14.3 Agreements with City and State Agencies and Authorities .................................................... 199

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List of Figures

1. Organization Chart 2. Schedule 3. Work Breakdown Structure (WBS)

List of Tables

1. Budget Table List of Appendices Appendix A: Reference List of Policies & Procedure Manuals Appendix B: Grant Documents

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1. Introduction

1.1 Purpose of the Project Management Plan The Massachusetts Bay Transportation Authority (MBTA) has prepared this Project Management Plan that provides a basis for administering the design, construction of the [insert project name] Project. This document outlines the management philosophy, goals and objectives, and organizational structure; defines the responsibilities and roles of project participants; identifies the interactions among project staff and consultants; and specifies the general procedures and management tools that will be implemented to ensure effective project management and successful project completion. This Project Management Plan defines the details of management of project implementation during preliminary engineering design and provides the framework for managing the subsequent final design, construction, procurement, testing and startup phases. In addition to serving as a guide for all project participants and assisting in clarifying their respective roles, responsibilities and assignments, this document will serve as a basis for measuring and assessing the project’s performance and consistency with the plan. The MBTA will provide the necessary elements to allow for proper and effective management upon completion of this project. As design and construction work advances and additional procedures are developed the MBTA will update the plan as needed and appropriate. The development of the Project Management Plan will be an evolutionary process. The PMP will be updated and revised as needed, as the program proceeds through its various phases. The maintenance of and subsequent revisions to the PMP are the responsibility of the MBTA. The parties requesting the revision issues a written request to the MBTA stating the proposed change(s) and the reason(s) for the changes. The MBTA reviews each request. If the proposed revision(s) is approved, the MBTA issues the change(s) to all recipients of the manual. A published revision will include: 1.1.1 a cover memo describing how and where to place the revision in the manual

(revision instructions); 1.1.2 a new cover page with revised date; 1.1.3 a revised Table of Contents, if required; 1.1.4 the revised pages of text with revision number and revision date placed at the

bottom of the page; and 1.1.5 a side-bar in the right hand margin of the page for changes to the text.

1.2 MBTA Legal Authority Massachusetts Bay Transportation Authority (MBTA) is a body politic and corporate, and a political subdivision of the Commonwealth of Massachusetts. The MBTA is duly organized and existing pursuant to Chapter 161A of the Massachusetts General Laws (as amended) and having a usual place of business at 10 Park Plaza, Boston, Massachusetts. Its primary purpose is to hold, operate and manage the mass transportation facilities and equipment acquired by the Authority.

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The [insert project name] Project Management Team will design and oversee the construction of the project in accordance with all applicable federal and state laws and regulations, codes and guidelines. In addition, the Team will proactively work to provide community outreach and relations to ensure the project is compatible not only with city regulations, services and facilities, but with the community and businesses abutting the project.

1.3 Project Objectives

[Explain project objectives] 1.4 Project Description [Brief overview of project] 1.5 Grant Budget

[List each grant and its value] 1.6 Total Project Budget

[Provide Project budget] 1.7 Project Completion Date

[Provide grant project completion date and current substantial completion date]

2. Organization and Staffing

To successfully manage the planning, design, and construction of the [insert project name] Project, an integrated team of Authority and consultant staff will be established. This section describes the organization and its structure. It provides a description of the functions, major responsibilities, and qualifications of the senior executives and key managers involved. The [insert project name] Equal Employment Opportunity (EEO) policy is the same one that is incorporated by the MBTA and the consultant firms that comprise the Project Team. This section affirms the project’s commitment to fair employment considerations for all applicants considered for employment or procurement activities. 2.1 Project Organization The [insert project name] Project will be accomplished by the concerted efforts of various organizations and responsible parties, who will work together as an integrated team providing multiple levels of oversight to ensure a successful outcome. The “Project Team” for [insert project name] Project is the combined staff of the MBTA and the Design Consultant. The Design Team primarily includes the Design Consultant and all associated sub-consultants. The Team also consists of other key support and oversight organizations such as the FTA. The Project Team will work towards the common goal of successfully completing the project and meeting the expectations of the Project stakeholders. The

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Design Team is responsible for planning, designing, and completion of all state and federal environmental review documents as well as all documents and submittals required. The following sections describe the structure, integration, and interfaces of the project organization. For clarity, the MBTA organization will be described in Section 2.2 followed by the Design Consultant described in Section 2.3. Organization charts for both the MBTA and Design Consultant are provided in Figures 2-1 and 2-2, respectively, at the end of this section. 2.2 Project Management Team

The Project Management Team (PMT) is an integrated staff of managers and personnel from the MBTA and the Design Consultant. The PMT reduces overlaps in duties and functions and provides the flexibility to accomplish project objectives effectively and efficiently. To illustrate the structure, refer to the organization chart (Figure 1) at the end of this section. The PMT is led by the Project Manager, Area Director and Assistant General Manager for Design and Construction, who report to the General Manager and Rail & Transit Administrator of the MBTA. Different areas of expertise from various departments within the MBTA support the GM. This basic structure will be maintained throughout the project’s life providing continuity between phases and maintaining effective project communications. The positions of General Manager and Rail & Transit Administrator, Assistant General Manager for Design and Construction, Project Manager and listed staff define the Project Management Team. In addition, various MBTA departments are supporting the Project Management Team.

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Figure 1 – Integrated Project Management Team

[Insert Organizational Chart of MBTA and Design Consultant]

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The MBTA key staff by position (and current personnel) is: MBTA General Manager and Rail & Transit Administrator The MBTA General Manager and Rail & Transit Administrator (GM) provides executive leadership and guidance regarding policy issues and project financing. The GM is responsible for all operations, facilities, and projects at the MBTA. The GM is available to address issues requiring top-level decision-making in support of the project schedule.

Assistant General Manager for Design and Construction The Assistant General Manager (AGM) for Design and Construction reports directly to the GM of the MBTA. The AGM for Design and Construction serves as the direct supervisor of all MBTA design and construction projects providing executive guidance. Accountability The AGM reports directly to the MBTA General Manager. Chief of Design and Construction The Chief of Design and Construction reports directly to the AGM. The Chief of Design and Construction provides oversight to all projects in relation to design and construction issues. Accountability The Chief of Design and Construction reports directly to the AGM. Director of [Provide Area] The Director reports directly to the Chief of Design and Construction. The Director serves as the supervisor of this project providing executive guidance. Accountability The Director reports directly to the Chief of Design and Construction. Project Manager The Project Manager is the authorized representative of the MBTA and reports to the AGM for Design and Construction indirectly through the Director of Design and Construction. The Project Manager is responsible for day-to-day oversight of the Design Consultant in accordance to specifications, design direction, and schedule. The Project Manager directs all elements of work required for the scope, design, construction, and delivery of the Project. The Project Manager is the single point of contact for all official information on the project. All project activities are coordinated through the Project Manager including acting as liaison with the FTA. Major Responsibilities

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• Evaluate project cost at each design phase submissions. • Review all project documents at each design phase submission. • Review all related project agreements, including interagency and other third party

agreements. • Assist with managing the planning, scope, design and engineering, construction

administration, and construction inspection to deliver timely, cost-effective, and high quality projects for the MBTA.

• Review progress reports in accordance with the scope to maintain schedule and budget.

• Coordinate with MBTA Departments and other key stakeholders. • Represent the MBTA with outside agencies and community groups. • Manage/Oversee the Contractor during the construction process to ensure the

successful completion of the Project. Accountability The Project Manager reports directly to the Director for Design and Construction.

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2.3 Design Consultant

[Identify the Design Consultant, their role and responsibility]

The Design Consultant organization/Team consists of the following:

[List the Team disciplines]

The Design Consultant organization is described in more detail in the descriptions that follow.

2.3.1 Design Consultant Team

[Identify each task discipline classification lead (i.e Officer in Charge, Project Manager, Design Lead, Architectural Lead, Structural Design Lead, Signal Lead, Project Controls Lead, Civil, Electrical Lead, ect…] [List task leader’s responsibilities as it relates to this project] [Identify what position the task leaders are accountable to]

2.4 Governmental and Oversight Agencies

2.4.1 Federal Agencies (if applicable) [Indicate if this project will be federally funded] [Identify which Federal agency has oversight of this project]

2.4.2 Local Agencies [Identify the location of the project] [Identify which local agencies and departments the project must coordinate with] 2.4.3 Regulatory Agencies [Describe all regulatory agencies the Project will have to interface with] The Project designed will be reviewed the Massachusetts Department of Public Safety for compliance with the State Building Code, ________ Edition, NFPA _______and ADA.

2.4.4 Utilities This project may affect the right-of-way of various utilities. The following is a list of utilities that may be affected:

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• [insert utility - example; City of Somerville DPW] • [insert utility - example; Verizon] • [insert utility - example; Nstar]

2.4.5 Developer Team (if applicable) [Name of developer team, if applicable]

2.5 Equal Employment Opportunity Policy

The MBTA has developed its EEO policy, which prohibits discrimination against any person in employment and/or in access to contracts. Further, it is the MBTA’s policy to make certain that all applicants are considered for employment, or procurement opportunities regardless of race, religion, creed, color, sex, age, national origin, disability, or marital status. All consultants will comply with the MBTA policy, as well as the Federal EEO policy.

The [insert project name] Project EEO policy will adopt the policy of the MBTA. As defined in this policy, affirmative action will include, but not be limited to, recruitment, hiring, promotion, compensation, benefits, transfers, layoffs, recalls, company sponsored training, education, and social and recreational programs. Goals with specific measurement factors are established to assist management’s progress toward finding remedies to any apparent discrimination.

The [insert project name] Project bases decisions on the individual’s qualifications as related to the position for which he or she is being considered. In this regard, rules of conduct are enforced equitably and impartially.

3. Management Control

3.1 Technical Control Functional control of the Project will be guided by the MBTA Project Manager’s Manual (PMM) and the Project Controls Policy Manual (PCPM) that will be used by the Design Consultant and the MBTA. The PMM and PCPM will include topics such as correspondence control, invoicing procedures, project reporting, file management, and other items pertinent to the execution of the Program. The format and content of the PMP will be consistent with the MBTA Project Controls Policy Manual, and will be submitted to the MBTA for review and concurrence. The PMP will outline in general terms the procedures common to all Project participants. Technical control of the Project will be administered by the Design Consultant and will follow the requirements of and full knowledge of input sources and guidance documents by the use of Design Task Protocols (DTP’s). The intent of DTP’s is to provide those preparing technical documents with the input, references, criteria, direction, and background information necessary to carry out their tasks in a complete and efficient manner. DTP’s will be completed for calculations, and may be used as input to specifications, drawings, and technical reports and studies. Exceptions to this requirement are cases where the tasks are simple or for information only, or where the input information is readily available or developed in another manner for the project (e.g. Design Criteria Document). Depending on complexity, DTP’s may be developed for single documents or tasks, groups of documents or tasks, or at the project level.

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3.1.1 Technical Baseline /Configuration Control [What is the project’s approach to defining and establishing a technical baseline] [Explain the project approach to configuration management] 3.1.2 Design Reviews/Constructability/Risk

Design Reviews, as described in the MBTA’s design review procedure (as contained in the MBTA’s Project Management Manual, which is appended to this PMP as Attachment B) are an integral part of the design process and necessary to ensure that both the right problem is solved and that it is solved correctly. The quality assurance process for reviews is organized by phase, by discipline and across disciplines. It is both a pro-active and a reactive process; it is pro-active in the systems that are set up and the steps that are required, and it is reactive in the review of data and drawings by senior staff.

[Describe the process the Project will use for design reviews and constructability reviews] [Against what criteria will design reviews and constructability reviews be based]

3.1.3 QA/QC Program

[Describe in detail the QA/QC plan that will be used for this project]

3.2. Cost Control

[Explain the cost controls system that will be utilized for this project] [What reporting system will be used?] [How often will reports be submitted to T?] [How will trends, forecasts and variances be reported on and by what means?] [Identify what cost elements of the project will be monitored and what is excluded] [How will requirements of the MBTA’s Project Controls Policy Manual are incorporated into the Projects Cost Control Program] 3.2.1 Maintaining Baseline Project Cost The Baseline Program budget will be developed at the end of the [ enter phase ] phase (approximately 30%), after the alignment is refined and the project is very well defined. This will be the cost basis against which future performance will be measured. The Engineer’s Estimate will be reviewed at each design phase of completion to assure budget accuracy.

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Contractor bids and performance will be constantly monitored during construction for consistency with the baseline budget. The program budget will be updated as conditions or changes warrant. Any updates to the budget require review and approval, at a minimum, by the MBTA Director. 3.2.2 Performance Measurement

[Explain what kind of performance metrics will the Project utilize during design and construction to monitor and measure progress?] 3.2.3 Cost Estimating 3.2.3.1 Estimating Methodology [Explain what estimating methodology will be used] 3.2.3.2 Quantity Take-offs [How will quantity take offs be performed?] [What technology will be utilized?] 3.2.3.3 Pricing [Explain how pricing will be obtained for labor, equipment, materials and indirect costs] 3.2.3.4 Estimating Software [What estimating software will the project employ?] 3.2.4 Contingency Management

[Explain how contingency will be determined and managed? See sample below.]

Sample

Contingency funding is a fiscal planning tool for managing the risk of cost escalations and covering potential cost estimate shortfalls. Inclusion of a contingency amount in the cost estimate will minimize the impact of cost increases inherent in an overly optimistic estimate and provide for an earlier discussion of how potential circumstances can be addressed.

Risks will be defined with specific costs allocated to them, as determined by a risk analysis, as opposed to just "bumping up" the total cost. A risk allocated cost contingency will be included in the total project cost estimate for the mitigation of all significant risks. Risk management and contingency funding can be utilized to mitigate those risks that cause cost escalations throughout the project continuum.

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During the preparation of the initial estimate, a risk assessment will be performed on the entire project in order to define and quantify the potential risk areas and types. Risk assessments will continue also be performed periodically throughout the project continuum to update contingency amounts. Some examples of risk assessment areas include the analysis of differing site conditions, utility impacts, hazardous materials, environmental considerations, third-party concerns, geological conditions, etc.

When preparing the project cost estimate, a risk assessment will include allocating risk contingencies for major cost elements. This will assist in the mitigation of uncertainties and help create a conservative cost expectation. Probability of occurrence, severity and expected dollar value are variables that may be utilized when quantifying risk as a contingency amount. After all known risk mitigation, the cost estimate's contingency-funding levels should reflect the amount of remaining risk associated with the project's major cost elements. Additionally, an overall management contingency can be included to cover unknown, unanticipated risks.

The following are major cost elements for contingencies that should be considered for Major Projects: 1) a Construction contingency to cover cost growth during construction; 2) a Design contingency (based on different levels of design completion); 3) an overall Management contingency for third-party and other unanticipated changes; and 4) other contingencies for areas that may show a high potential for risk and change, i.e., environmental mitigation, right-of-way, utilities, highly specialized designs, etc. Other areas of interest for contingency cost estimating may include contractor availability and historical contingency levels for similar projects.

Construction contingencies will be established and adjusted based on the assessed risk in exposure to construction cost escalations. Project funding will be reviewed at periodic intervals and unused contingency funds can be released to be made available for other contracts.

Design contingency amounts will be based on the amount of design completed. When the final design is complete, the design contingency amount in the cost estimate will equal zero. Projects under design are not over estimated; however the contingency is based on the uncertainty inherent in the remaining design to be completed.

The MBTA’s Management responsibility will include managing cost and schedule deviations from the approved budget and schedule, impacts resulting from the deviations, and initiatives being analyzed or implemented in order to recover any cost overruns or schedule delays. While individual construction contracts will be analyzed for exposure to changes, comprehensive risk and contingency management tools and processes are not always in place. Project contingency funding management procedures will include continual comprehensive risk analysis to quantify and refine contract contingencies, individual contract contingency tracking, and a contingency drawdown plan that includes contingency forecasting.

An overall management contingency will be incorporated. This contingency will be a "stand alone" piece of the cost estimate that is managed by the MBTA Director and will be used for a broad spectrum of uncertainties.

Management of the transfer of costs to and from contingency line items will be administered and tracked carefully for decision makers. Cost transfers will be correlated to the major element type of cost escalation. For example, if work outside of a clearly defined scope is found to be essential and justifiable in the future, then a management decision can be made

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to pay for the added work from the management contingency or another appropriate contingency. On the other hand, if a specific utility issue that has a utility contingency, careful tracking of this particular contingency can help management better analyze cost overruns.

Reasons supporting contingency transfers will be noted and included in all pertinent reporting. This is so a comparison analysis to the available contingency amounts can be periodically analyzed for contingency usage rates. This analysis will show MBTA Executive Managers that a reasonable and sufficient amount of contingency remains to keep the project within the latest approved budget.

3.2.5 Escalation Factor Derivation

[Explain how escalation for this project will be derived. ] 3.2.6 Contracting Techniques

[Which project delivery methods are being considered for this project?]

[Explain each method]

[At what point in the design will the project delivery method be chosen?]

3.2.7 Cost Allocation Plan

The Preliminary Project Budget is $XXXX million as outlined below.

Category Budget (millions)

Professional Services $

Real Estate $

Construction $

Inspection $

Force Account $

Project Administration $

Contingency $

Table 1

3.2.8 Cost Accounting Plan

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The MBTA Project Manager is responsible for monitoring of project commitments, expenditures, and other costs. A computerized cost control system will be used to facilitate the gathering and analysis of cost information. The cost tracking system will be based on the WBS detail elements and detailed Chart of Accounts. Information will be gathered and entered into the system at the account level and summarized or recombined as needed.

A Work Breakdown Structure (WBS) has been developed as a means of organizing all work elements to be completed for the Program/Project. By coding the cost and schedule information to the appropriate WBS element, detailed reports are produced for all levels of reporting. The WBS forms the basis for all scheduling, cost, estimating, document control reporting. The Program/Project WBS is arranged in hierarchical levels. Figure 3 on the next page shows the MBTA typical WBS structure. The [insert project name] Project will develop a project specific WBS in line with the MBTA’s typical WBS:

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The Cost Control System will include the following basic elements:

[List and define the elements of the cost control system]

3.2.9 MBTA Force Account Plan

A preliminary force account budget and plan has been developed in cooperation with the Design Consultant. The anticipated force account needs include the following:

• [Insert line, ex. red, orange..]Line Diversions –[insert amount] • [Commuter Rail] Diversion – [insert amount]

The force account budget currently available is presented in the Cost Allocation Plan in Section 3.2.7. The total force account budget as of [insert date] is approximately [insert amount] .

The force account budget will be updated at regular intervals during the design phase. Joint meetings with the Director of Subway Operations, the AGM for Design and Construction and other MBTA personnel will be held to balance operations requirements, customer service, and construction activities.

Force account costs for the use of MBTA Transit Police are contained in the construction estimate.

3.3 Schedule Control

Through the use of several levels of schedules, in accordance with the Project Controls Policy Manual, strict schedule management and control is the responsibility of the Design Consultant, with input from MBTA Project Manager and all project participants on the [insert project name] Project. This is accomplished through a stringent change control process, and a comprehensive monitoring and reporting system as described in the Project Controls Policy Manual.

The [name of project] uses industry standard scheduling software to develop and manage the schedule. The [name of project] has selected Primavera to provide consistent reporting of the Master Schedule and all program/project elements. Schedules generated by the consultant and all contractors, use the Primavera software for the purpose of maintaining uniformity and compatibility between interrelated project schedules, work calendars and resources

3.3.1 Types of Schedules

The schedules used for the [insert project name] Project will be:

[List the types of schedules to be used on this project]

[Explain the level of detail that will make up each schedule type]

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Figure 2 – Project Schedule [Insert Master Schedule]

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3.3.2 Schedule Development, Progress Monitoring

[Explain how schedules will be developed and how progress will be monitored]

3.3.5 Schedule Reporting

[Identify who will issue schedule reports]

[What will be reported on?]

[How often will reports be issued]

[Who will receive schedule reports?]

3.3.6 Earned Value Reporting

[Explain how Earned Value will be incorporated, monitored and reported on for this Project. See Project Controls Policy Manual for more information.] 3.3.7 Schedule Updates

[Explain the schedule update process that will be used for this Project]

[Identify who is responsible for providing schedule updates]

[Identify who is responsible reviewing schedule updates]

3.4 Cash Management The Authority’s Capital Investment Program is financed by five sources of funds: revenue bonds, federal grant anticipation notes, pay-as-you-go capital, federal grants and project financing. In the event the Authority requests federal funds and those funds are not available in a timely manner, the MBTA would use either bond funds or pay-as-you-go-capital until the federal funds are received. Upon receipt of the federal funds either bond funds or pay-as-you-go-capital would be reimbursed. 3.5 Change Control

[Explain the Change Control process that will be used for this Project. See the MBTA’s Project Controls Policy Manual and Change Order Guidelines for more information for more information]

The Project will follow procedures outlined in the Project Controls Policy Manual and Change Order Guidelines.

3.6 Document Control

The Project will follow procedures outlined in the MBTA’s Project Manager’s Manual; Project Controls Policy Manual and Change Order Guidelines.

The Design Consultant will be responsible for maintaining the official project documents including, but not limited to:

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• Central Files – All correspondence/documentation between the MBTA, Design Consultant, Contractors, and third parties.

• Controlled Files – A controlled set of project documents (plans, specifications, manuals and procedures), including approved changes.

• Library – Reference documentation for use by project personnel, such as Environmental Assessment, codes, standards, maps, etc.

In addition, the Design Consultant will establish measures for the storage and protection of vital records that will assure the continued operations of the project, in the event of a disaster.

3.6.1 Records Management

The Design Consultant will use the established MBTA archival system, using standardized forms that incorporate file descriptions and control fields that will automate the date entry process for archiving project documentation.

3.6.2 Document Control

[Identify and explain any specialized software that will be used for Document Control]

All project personnel generating or receiving project documentation will be responsible for conforming to the document preparation and identification standards set forth in the Project Document Control Procedures.

The Design Consultant will maintain the Central Files, Controlled Files, and Library. The Design Consultant will establish a universal file coding structure which will index all incoming and outgoing project correspondence and documentation received by postal mail, courier mail, hand delivery, fax, and email.

All documentation that is generated for the project will be forwarded to the Design Consultant who will be responsible for processing all project correspondence/documentation and filing including stamping, logging, copying, routing and distribution to designated project personnel.

The Project Design Quality Assurance Manager and Document Control Manager will perform routine audits of the files to ensure file integrity and compliance with the Document Control procedures. The Project Design Quality Assurance Manager will report violations and recommend corrective actions to the Project Manager.

4. Human Resources Management

4.1 General Approach and Responsibilities

The MBTA Project Manager reserves the right to request replacement of key staff when, in his/her sole discretion, the existing staff does not serve the best interests of the Project. The MBTA Project Manager will request a decision will be made based on a mutual agreement with both parties as to what is most beneficial to the Project.

Each participating contractor has a separate and unique human resources system and each retains the right to hire, promote, transfer or terminate employees in accordance with its own specific policies and consistent with federal, state and local laws and regulations. Payroll

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and benefits administration remain the responsibility of the individual firms as does staffing, selection, evaluation and discipline.

4.2 Statutory and Regulatory Requirements

The Project’s participants, including the PM, and design and construction contractors, shall use their best efforts to comply with all relevant federal and State laws and regulations.

4.3 Employment and Business Utilization Goals

The contract documents contain provisions concerning employment requirements and the Disadvantaged Business Enterprise goals for the selected Construction Contractor. These include:

• Design Disadvantaged Business Enterprise (DBE) participation goals of [insert %] • Construction Disadvantaged Business Enterprise (DBE) participation goals of [insert %]. 4.4 Labor Relations

All federally funded MBTA Projects will comply with the Federal Davis Bacon Act regarding wages on federally assisted construction projects.

5. Risk Management and Insurance

5.1 Scope

The Project will follow the procedures outlined in the Project Controls Policy Manual.

The scope of the MBTA’s approach to Risk Management, and ultimately a decision on how to obtain cost-effective insurance coverage, is structured and well founded on significant experience in the development and construction of major capital projects. Risk Management is broken down into five distinct activities:

1. Risk Identification

2. Risk Evaluation: Magnitude; Probability; Schedule Implications

3. Risk Mitigation/Control

4. Risk Allocation

5. Insurance Methodology

Managing the risks associated with the project in this manner allows a more accurate reflection of the costs and contingencies necessary to ensure that a project budget is established that allows for a high probability that the project may be constructed and closed out within the budget and schedule established.

5.2 Risk Identification

Through a coordinated effort between the MBTA the Design Consultant, and the FTA, a Risk Register is prepared identifying all of the possible risks that may affect the Project anywhere along the course of its development from design to construction to start-up and being placed into revenue service. Risks may span from geo-political to design to procurement to environmental to technical to economical.

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The Risk Register is used to identify, classify, organize, evaluate, and track all levels of risks that may affect the project. Mitigation strategies are then identified and tracked for implementation at the appropriate times during the timeline of the project.

5.3 Evaluation

Each risk identified and listed on the Risk Register is evaluated for its potential affect on scope, cost, and/or schedule of the project. A determination is made as to the following:

• Magnitude of the cost to the project should this risk occur;

• Probability of the risk occurring; and

• Impact to the schedule should the risk occur; and

• Mitigation strategies that when implemented may eliminate or reduce the cost impact, eliminate or reduce the likelihood of occurrence, and/or eliminate or reduce the potential impact to the project schedule of that particular risk.

5.4 Risk Mitigation/Control

Mitigation strategies that when implemented may eliminate or reduce the cost impact, eliminate or reduce the likelihood of occurrence, and/or eliminate or reduce the potential impact to the project schedule of that particular risk.

Risk Control is facilitated by maintaining the Risk Register as a “living” document throughout the life of the project. After Risk Identification and Evaluation, Controlling of the risks is done through determination of proper and potential mitigations that could be implemented. Those mitigation strategies are tracked and confirmed that they were in fact implemented and results monitored. Then proper Risk Allocation is accomplished through the MBTA’s Terms and Conditions and through the strategy used in the writing of the Technical Provisions, i.e., determination of measurement and payment provisions. 5.5 Risk Allocation Allocation of risk should be to the entity that can best control that particular risk. Massachusetts Bay Transportation Authority (MBTA) is a body politic and corporate, and a political subdivision of the Commonwealth of Massachusetts. Therefore, as an agency it is inherently conservative and risk adverse. Allocation of risk onto contractors and/or through the purchase of insurance protects the MBTA. However, in today’s construction environment and contractor’s growing aversion or unwillingness to take on unquantifiable risks, a more strategic allocation of risk must be made to the entity that can best control or mitigate that risk – and in certain cases that may be the MBTA. 5.6 Insurance The MBTA has utilized both Contractor Supplied Insurance(CCIP) and Owner Controlled Insurance Programs (OCIP) on its various capital projects and the determination as to which to use was made on a project by project basis.

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The decision as to which insurance avenue to pursue for the project must be made in early [insert year] in order to facilitate the commencement of construction in [insert month/year]. The MBTA’s procurement of an OCIP policy for the Project will take approximately [insert duration].

6. Environmental Assessment and Mitigation

[Describe environmental requirements and processes]

7. Procurement of Services This section focuses on the development of procurement packages for construction to achieve project goals. The section also addresses affirmative action requirements and contract modifications. The section is broken down as follows: • Procurement of Construction Contracts • Affirmative Action Goals • Contract Modifications

7.1 Procurement of Construction Contracts [Describe procurement planned] The contractor procurement will be in accordance with MBTA’s Procurement Policy that also defines the level and degree of responsibilities. 7.2 Affirmative Action Goals The MBTA EEO Office establishes the affirmative action goals for both consultant and construction contracts, within the parameters of State and Federal guidelines that require that construction by third parties be procured by free, open and unrestricted competition.

8. Procurement of Materials and Equipment

8.1 General Approach and Responsibilities Conventional procurement has been successfully used for major projects by the MBTA, and throughout the United States, and will be utilized for the [insert project name] Project Procurement objectives include:

[Describe approach]

8.2 Regulatory Environment for Procurement [Describe Regulatory Requirements] 8.3 Contract Types

The Contractor will follow the procedures of the MBTA Procurement Manual.

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8.4 Code of Conduct

The Project is governed by guidelines set forth in the MBTA Procurement Manual.

8.5 Contract Proposal and Award Process

The process of contract award will follow the listed sequence, with primary responsibility for each sequence item listed in parentheses:

• Prepare wording and procedure for advertisement for Bidders (PMT), • Place advertisement, according to the agreed procedure (MBTA); • Construction bid documents will be available (MBTA); • Information meeting for qualified contractors (MBTA); • Receive and open sealed bids (MBTA); • Complete evaluation of bids., (PMT); • Final contractor discussion, prior to final bid and award (PMT); and • Award contracts (MBTA).

9. Design Program

The design phase will be undertaken with multidisciplinary teams and provide designs that meet the project objectives and the various targets of quality, cost, and time. Design management and planning will be accomplished through the project management and control elements as described herein. This section describes the design input and criteria control, design control, design review processes, design changes and CADD and GIS design standards. It also defines the use of an EMS and its components and implementation. The use of a value engineering (VE) consultant is stipulated, and the roles of value engineers are defined. The MBTA will procure the VE consultant and manage this process. 9.1 Requirements and Standards The MBTA will have design requirements for the project, which will include: • Project Objectives • Operational Requirements • Functional Requirements • Operational and Maintenance Preferences • Existing Design Standards and Guidelines • Project approved design criteria The Design Consultant will review all relevant MBTA, city, state, and federal codes and standards and select the most appropriate design criteria for the project. The Design Consultant will consolidate the criteria for the project in the Project Design Criteria memorandum, which will then be used to complete the design. Design inputs may include: • Functional and Performance Requirements • Regulatory Requirements, including the Americans with Disabilities Act (ADA)

Compliance

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• Codes and Standards • MBTA Requirements or Preferences • Previous Experience (Lessons Learned from Stage II) • Proven Methods or Processes • Engineering Judgment • Investigation Data • Existing or Previous Design Data Design inputs shall be controlled to ensure that the history of design is maintained and that proper changes are made when they occur. Control is maintained through the process of identification, maintenance, and update of criteria. Identification occurs in design criteria documents, calculations, and design reports. The input documents are maintained through the document control process. 9.2 Design Supervision The overall responsibility for the technical aspects of the design rests with the individual Discipline Design Leads and upwards to the Deputy Project Manager – Engineering/Design and ultimately to the Project Manager. The Design Consultant will establish a standard method of communication and protocols to ensure that high-level technical decisions are made in an open and expeditious manner. This manner of communication also provides an efficient means for senior project committees to achieve timely decisions consistent with the overall project goals while keeping MBTA management and technical staff abreast of design issues. The process ensures that real-time knowledge is shared allowing for immediate action in response to changes to the in-process design. Confirmation of design decisions will be provided by the MBTA Project Manager and upwards through the Director to the Assistant General Manager for Design and Construction. 9.3 Design Coordination – Internal, External There are two levels of Internal Design Coordination, first being internal to the Design Consultant and the second being internal to the MBTA/Design Consultant Team. [Designer explains their design coordination here] The Design Consultant holds regularly scheduled weekly Senior/Technical Management meetings where specific design coordination issues are discussed and major technical resolutions are presented. The MBTA Management Team attends these meetings as well. At these meetings, further meetings are established between the Design Consultant and the various MBTA Engineering and/or Facilities and Operations people for their input, review and confirmation of specific technical solutions to issues. Major technical issues and proposed solutions are presented to the Project Development Group (PDG). The PDG is comprised of the MBTA senior management and technical and operations staff to be identified. This group is responsible for collectively evaluating technical proposals, suggestions, or significant issues requiring resolution. The group will

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then make recommendations to the MBTA Program Manager who is ultimately responsible for the project decisions. To ensure expeditious resolution of design issues and proper coordination, and as stated in Section 2.0 Organization and Staffing, the Project Manager is responsible for all aspects of the project. The MBTA Program Manager is responsible for the day-to-day activities of the project and regular interface with the Design Team. The PDG was formed to have senior representatives with a common goal of advising the MBTA Program Manager on technical and operational issues and have a forum for discussion and input with various points of view. 9.4 Design Review Process Design reviews, as described in the MBTA’s design review procedure (as contained in the MBTA’s Project Management Manual) are an integral part of the design process and necessary to ensure that both the right problem is solved and that it is solved correctly. The quality assurance process for reviews is organized by Phase, by discipline, and across disciplines. It is both a pro-active and a reactive process; it is pro-active in the systems that are set up and the steps that are required, and it is reactive in the review of data and drawings after their creation by senior staff. The “Pro-active” Review systems are developed to assist engineering in controlling the design process. These systems elements are set up at the beginning of the project to enable efficient and complete project reviews including: • Deliverables matrices that define what is required for each deliverable by discipline. • Information management systems that ensure the latest information is available to all

parties. • Issue tracking system to ensure resolution before deliverables are due. • Identification of responsible reviewer by discipline and by overall deliverable (cross-

discipline). • Creation of project-specific checklists for reviews, both within discipline and cross-

discipline. The “Standards and Criteria” Review process used during design will begin with the: • Review of list of all applicable codes and standards; • Review of emerging standards and agreement on their use; • Agreement on operational and functional criteria; • Review of study and field investigation results; and • Review of concept design for key issues and their solutions. Design reviews will be conducted for both individual disciplines and for multi-disciplinary coordination by senior staff, utilizing the review system tools including checklists, deliverable matrices and issues lists. Reviews will be both formal on a scheduled basis, and informal as the work progresses. The requirements for the review and approval of design deliverables are addressed within the Implementing Procedures. These elements include the internal checks from the preparer and reviewer. The procedures also address the need for interdisciplinary reviews and coordination between the departments and groups. In addition

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to the in-process steps, the project conducts high-level design reviews, independent reviews and peer reviews at critical project junctures. Reviews will be occurring on an on-going basis by the senior staff. Commentary from those reviews, as well as feedback from presentations and discussions with team members, will be documented in an issues tracking system. The system works to keep all interface disciplines and organizations informed on issues, to engender discussion and provide a way of tracking an issue to resolution. The issues list then serves as a final checklist in reviews. 9.5 Value Engineering The Project will follow the procedures outlined in the MBTA Project Controls Policy Manual. The objective of Value Engineering is to generate a plan to satisfy the required function of a project at the lowest cost consistent with performance requirements, reliability and maintainability. Value Engineering must be performed early in design in order to maximize cost benefits and for the recommendations to be implemented without causing delays to the construction schedule. A formal Value Engineering Review workshop will be conducted at the Preliminary Design (30%) submission. The review will be conducted by an independent Value Engineering Panel consisting of technical specialists from various disciplines. The Value Engineering process is independent of both the PDG design review, risk analysis and constructability reviews. The Value Engineering Review will be conducted through the following approach endorsed by the Society of American Value Engineers (SAVE): Pre-Coordination (Pre-Workshop) – The Value Engineering Team Coordinator will collect drawings, specifications, and review information. The Coordinator will make all arrangements for the study, including logistics and participant scheduling. The Design Consultant will supply the participants with copies of drawings, background reports, detailed cost data, design calculations, specifications, and design criteria. The team members will then familiarize themselves with the project. Orientation with Design Consultant – This orientation will be included as part of the first workshop session. The Design Consultant will present their design rationale to the VE Team. Value Engineering Workshop – The VE Workshop will be divided into the following five phases: 1. The Information Phase – The VE Team will become familiar with all detailed data

pertinent to the design. 2. The Creative Phase – During this phase, the team will create an extensive list of

alternatives (i.e., materials, systems, etc.). There will be no evaluation of alternatives in this phase in order to encourage the free flow of ideas.

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3. The Analytical Phase – At this time, the VE Team considers the feasibility of the various alternatives developed during the Creative Phase. Each alternative will be evaluated positively rather than critically with the best ideas selected for further development.

4. The Investigation Phase – The most feasible design alternatives selected in the

Analytical Phase are evaluated. Factors such as cost, performance, reliability, aesthetics, and constructability will be evaluated.

5. The Recommendation Phase – The VE Team will draft recommendations for review with

the MBTA and Design Consultant. Following the review of the preliminary report, the recommendations will be finalized in the post-workshop stage, incorporating both MBTA and Design Consultant comments.

Following the workshop, the Coordinator will prepare a preliminary report summarizing the results of the team investigations for review by the designers and the MBTA. The Coordinator will also make an oral presentation to the MBTA and Design Consultant. The Coordinator will also be available to further review potential results. The PDG will provide concurrence or suggest rejection for each VE Team recommendation. The MBTA Program Manager, however, will be responsible for making all final decisions. After the MBTA has made final selections, the Coordinator will prepare a final report, including a project description, all VE worksheets, the listing of potential savings, and a description of the costs. The report will also discuss the cost of re-design, environmental impact studies, and any other required items resulting from the selected changes. The recommendations made in the report, with the concurrence of the MBTA, will be forwarded to the Design Consultant. The Design Consultant will implement the report recommendations in the 60% Submission. 9.6 Constructability Reviews

The Project will follow the procedures outlined in the MBTA Project Controls Policy Manual. Constructability Reviews will be performed at the 60% submission. The constructability review performed at the 60% design submission is important since it provides the last chance for incorporating design modifications and revisions without significant impact on the design schedule and budget. The constructability review will include a thorough review for design errors and omissions, potential constructability issues, use of design standards, and intersystem compatibility. Items of particular concern are schedule and project interfaces, drawing interfaces, construction package interfaces, general and special conditions, milestones, long lead procurement items, liquidated damages and penalties, and risk assignment. Contract documents are also examined to verify the contract language is consistent across the various contracts within the project. The constructability reviews will be performed by members of both the MBTA and independent construction specialists of the Design Consultant that have not participated specifically in the design. Each constructability review will be formally documented with all comments, recommendations, alternatives proposals, etc. incorporated together with the proposed response by the Design Consultant.

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9.7 Operations and Management (O&M) During the course of design, all specific elements are reviewed for conformance to the Manual of Design Criteria established for the [insert project name] Project. Additionally, special meeting and/or reviews are held with the appropriate MBTA Operations or Maintenance Department to review the design and incorporate any comments pertaining to operations management or maintenance. Comments are recorded, dispositioned and tracked to ensure incorporation into the design as it progresses. 9.8 Change Control The Project will follow the procedures outlined in the MBTA Project Controls Policy Manual. 9.9 Systems Integration System integration is the bringing together of the component subsystems into one system and ensuring that the subsystems function together as a system. During design, the Design Consultant will develop and maintain a Systems Integration Matrix that will list all critical project components, subsystems and interfaces, and responsibilities by discipline for ensuring that in fact those specific interfaces are considered and addressed in the design. During design of project elements, review will be made by the MBTA and PDG to ensure compatibility with existing systems. As construction and installation of systems is nearing completion, tests and other checks will be made by contractors to ensure complete system integration. 9.10 Reliability, Availability, Dependability and Safety [Insert requirements]

10. Right-of-Way Acquisition 10.1 Overview The Project will follow the procedures outlined in the MBTA Project Manager’s Manual. Many MBTA projects require acquisition of property on a temporary and/or permanent basis. Property acquisition costs sometimes represent a large percentage of the Project budget. Accounting for property acquisition needs and costs early in a Project’s design helps avoid costly design modifications and change orders. This procedure describes how the MBTA manages Real Estate Acquisition and explains how this process is integrated into the development of the Project schedule and budget. Some projects require acquisitions (fees, permanent easements, temporary easements, licenses, etc.). An early and accurate understanding of property acquisition and easement needs and costs allow the Project Manager to develop the most favorable land acquisition plan and an accurate Project budget and schedule by the 30% design milestone. The Project Manager works with the Acquisition staff to acquire a comprehensive understanding

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of the Project’s property acquisition needs and costs prior to submission of the Authorized Budget and Schedule. The appraised property value serves as a basis for negotiation with the landowner, and is also the value that is used if it is necessary to acquire property by eminent domain. It is intended that all acquisitions and/or temporary/permanent easement agreements be completed prior to the advertisement of a construction contract. 10.2 Conceptual to 30% Design Property Acquisition Cost Estimates Upon assignment to the project, the Project Manager recommends a Conceptual Budget and Schedule. This recommendation must include an estimate of property acquisition and appraisal costs. In order to ascertain these costs, the Project Manager meets with the Acquisition staff to review anticipated property acquisition needs. The two explore issues such as partial takings versus full takings, and permanent acquisition versus temporary license. Following the meeting, the Project Manager requests that the Acquisition staff provide a summary of the preliminary estimate of property acquisition costs based upon the property acquisition plans to date. These costs may be determined through the utilization of an independent appraiser and/or review of prior appraisal reports completed in the Project area. Also a review of city or town assessor’s records may help to determine the preliminary acquisition budget for the Project. At the Preliminary Engineering completion milestone, the Project Manager and the Design Consultant will have finalized all property acquisition needs. The Project Manager also convenes at least one meeting prior to this milestone with the Acquisition staff and Design Consultant (and Real Estate Consultant, as necessary) to review the acquisition plans and explore less costly alternatives to those proposed. The Project Manager then transfers the 30% design plans and an explanation of all property requirements to the Acquisition staff. A Right-of-Way Agent is assigned to solicit an independent appraiser to perform the appraisal assignment. Before receiving the appraisers report, Acquisition staff meets with the appraiser to verify the assumptions and methodology to see if it meets the requirements of the solicitation. After receiving the appraisal from the Certified Appraiser, the Acquisition staff review it and clarify the assumptions and methodology. Following the review, the Right-of-Way Agent assigns a Review Appraiser to conduct a formal peer review of the assumptions and methodology underlying the first appraisal and conduct a review of the first appraisal. The final recommendation of the review appraiser (Final Appraised Value) is incorporated into the Authorized Budget and Schedule and serves as the basis for negotiations with the landowner. 10.3 Negotiation of Final Appraised Value with Landowner Acquisition staff forwards a formal offer to the property owner based upon the final appraised value or fair market value and negotiations commence. If preliminary agreement is reached, but the dollar amount established exceeds the Final Appraised Value, the Project Manager follows the budget modification approval procedure defined in the Authorization of Budget and Schedule procedure. Final agreement on price cannot be reached until these approval processes have been completed and the appropriate authorities of the MBTA approve the negotiated settlement.

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10.4 License Agreements Rather than permanently acquiring a property right, the MBTA may enter into a License Agreement with the landowner whereby the MBTA is granted temporary use of property. The Project Manager and Acquisition staff determines if the Project requires a License Agreement prior to the 30% milestone. Any funds required for a License Agreement must be incorporated into the Authorized Budget and Schedule and, if required, the approval processes set forth in the Authorization of Budget and Schedule procedures are observed. 10.5 Eminent Domain If the MBTA and the landowner are unable to agree upon a price for the property in question, the MBTA acquires the property via the eminent domain process. All Orders of Taking require Board approval. Any acquisitions will be identified during Preliminary Engineering and will be subject to the following process: • Acquisition staff prepares a Board agenda item on the taking. • If the Board approves the Order of Taking, it must be recorded at the appropriate

Registry of Deeds within 30 days of the Board vote, pursuant to Chapter 79 of the Massachusetts General Laws.

• If there are any tenants on the property being acquired, Chapter 79Aof the Massachusetts General Laws applies and each tenant must be given four (4) months notice to vacate after the recording of the Order of Taking. In addition, each tenant is entitled to relocation assistance in accordance with state and federal regulations.

• Acquisition staff maintains all acquisition files for a period of at least three (3) years from the sale of acquisition. If an action is filed regarding an Order of Taking, Acquisition staff work with the General Counsel’s office.

11. Community Outreach Plan

Community outreach and public participation is a crucial element to the [insert project name] Project. Its importance is so vital that the MBTA has assigned the Assistant General Manager for Community Outreach as the liaison to government officials, stakeholders, the media, and the general public. A detailed Public Participation and Community Outreach Program has been developed for preliminary engineering and design, which outlines the interfaces set up with stakeholders elected officials and government agencies. Basic information on meetings and media interface is also included. 11.1 Community Outreach Program Objectives The objectives of the community relations and public participation program are to encourage an exchange of ideas and information on issues related to the project, including design consensus, identify and resolve public issues and concerns as they arise, and generate interest in and support for the [insert project name] Project. The MBTA and its consultants will be responsible for the overall public affairs program that will be in effect for the project’s life-cycle. The Community Relations and Public Participation Outreach Program is intended to work alongside the technical and design work efforts and conform to MBTA policies. It requires a careful mix of informational activities designed to inform stakeholders about the progress of

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the project, and receive feedback from stakeholders that will improve the design and mitigate impacts. 11.2 Community Outreach Program During each phase, outreach activities will be scheduled and structured to reflect the project’s demographic and commercial diversity; and to facilitate open communications, problem resolution, and consensus building. The community relations and public participation plan is designed to address the concerns of: • [insert City/Town] • Community-based organizations, neighborhood advocacy groups, and civic groups; • Elected officials, and government agencies In addition, the program provides a forum for affected communities and other stakeholders, allowing the Project Team to identify and address new or unanticipated local priorities and issues. The Public Outreach Plan will consist of the following: • Targeted stakeholder meeting • General information meetings for all stakeholders • Printed materials, including fact sheets, brochures, and newsletters; • Presentations, possibly including three dimensional models so that stakeholders may

better visualize outcome

11.3 Interfaces with Elected Officials and Government Agencies The team will make certain that every agency involved in, or affected by, the project receives all necessary information in a timely, accurate manner.

Contact with elected officials and federal, state, and local agencies will be coordinated through the MBTA and its consultants. 11.4 Media Interface MBTA Public Affairs will handle all media requests. The MBTA Project Manager will work with the MBTA Press Office to provide information, materials, and any other support required to assist with media briefings, announcements, and press releases.

12. Construction Program

The Project will follow the procedures outlined in the MBTA Resident Engineer’s Manual.

12.1 General Approach and Responsibilities

The [insert project name] Project organization will provide an integrated team of design and construction professionals and it will emphasize safety, quality and on-time, within-budget

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Project completion. Construction oversight services will be a key element of the organization. The construction oversight staff will be active throughout the preliminary design, proposal and award; final design, construction and post-construction phases of the Project.

12.2 Pre-Award Activities

The involvement of the MBTA Design and Construction Managers during the pre-award stage of the Project is crucial to ensure that constructability issues are addressed in the preliminary design phase and in developing the methods and procedures to monitor the construction.

During the preliminary design phase, the MBTA Design and Construction Managers and their staff will be responsible for reviewing preliminary design documents for constructability and interface issues, special construction conditions and compatibility with contractual language and schedule requirements.

During the proposal phase, the MBTA Design and Construction Managers and staff will be available to attend meetings, answer questions, tour work sites with prospective contractors, review proposal cost estimates and schedules and assist in the development and issuance of addenda related to construction as required by the MBTA Project Manager.

12.3 Prequalification of Contractors and Vendors

All Contractors and Vendors shall be prequalified according to the requirements set forth in the MBTA’s Procedures Governing Classification and Rating of Prospective bidders.

12.4 Coordination of Construction

12.4.1 Project Schedule

A CPM Project schedule with critical milestones will be developed and made part of the bid documents. The CPM schedule is a cost-resource loaded schedule and will be used to determine the progress on the work activities which will be the basis for partial monthly payments to the Contractor. Upon contract award, the Contractor will be requested within two weeks of notice of award, to sign off on the bid schedule or to submit requests for modifications to the Project schedule. Upon review and acceptance, at the sole discretion of the MBTA, of the Contractor requested modifications, a revised construction schedule will be issued and monitored. The revised construction schedule will be issued within weeks from notice of award. The CPM Project schedule will be structured and updated on a bi-monthly basis by the Contractor and submitted to the MBTA.

12.4.2 Daily On-Site Meetings

The MBTA RE will hold daily meetings, as necessary, with the Contractor’s field staff to discuss and coordinate operations scheduled for that day.

12.4.3 Bi-Weekly Meetings

The MBTA Project Manager and RE will conduct bi-weekly progress meetings with the Contractor’s management and appropriate stakeholders and the design team to coordinate, discuss, and resolve various Project issues such as:

• Co-ordinate Monthly Activity,

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• Construction Progress and Schedule Revisions, • Material Procurement, • Design Issues, • Shop Drawing Submissions, and • Safety.

12.4.4 Establish Point of Contact

The Contractor will assign a staff person for all contract administration issues. Meetings will be scheduled as required.

12.5 Change Management

The Project will follow procedures of the MBTA Change Order Guidelines.

At award, the design criteria, technical provisions, contract drawings, key schedule milestones and the contractor’s cost proposal; constitute the contractual baseline from which changes will be measured. Thereafter, any deviations from the contract baseline must be carefully documented in order to effectively manage contract changes. During construction, the MBTA’s Resident Engineer (RE) will monitor changes by maintaining an accurate and current record of the status of all change requests issued by the contractor and subsequently-approved change notices. A summary report on the status of changes will be compiled by the RE each month.

The RE will have the responsibility for reviewing Contractor change requests and making recommendations. All change requests shall be reviewed by the Design Consultant. The MBTA Project Manager will have the authority to approve changes via extra work orders or change orders.

12.6 Verification, Testing and Acceptance

The MBTA will monitor and review the performance of the Contractor’s approved quality program and will verify the design process and observe inspection and testing activities associated with construction and manufacturing. The MBTA RE will have the authority to perform its own inspection and testing of work to ensure that the work is in accordance with the contract requirements. Noncompliance with contract requirements will be documented utilizing the non-conformance reporting procedure.

After substantial completion of the contract, the contractor will formally request an inspection of the work and a Project "punch list" will be prepared jointly by the contractor and the RE. The RE will make a determination of final completion of the contract after all punch-list items are resolved, and upon determining that:

• All final permits, approvals, licenses, certificates, affidavits and authorizations for use and occupancy have been obtained,

• All record documentation, including as-built drawings have been submitted,

• All operating and maintenance manuals have been issued, and

• Proof that any claims or liens arising out of the work have been resolved or released.

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Having confirmed that those conditions and all other contractual obligations have been met, the MBTA RE will issue a Certificate of Final Completion to the MBTA Project Manager, who will have the authority to approve final payment.

12.7 Warranties/Equipment Guarantees

The contract documents contain provisions requiring that the contractors warrant all work for a period of one year. For those items placed into service prior to the end of construction, the warranty period will continue for one year after the completion of construction. In addition to the items listed in Subsection 12.4 above, the contractor will warrant that:

• All work will be carried out according to the approved final design, using materials, equipment, goods and employing workmanship that are of the quality required in the contract documents, and

• All work will comply with all applicable laws, regulations, and industry standards.

The Project Manager will ensure that the Contractors’ warranty and guarantee obligations are met. Should the Project Manager discover or determine that a warranty or guarantee issue exists, the Project Manager will notify the Contractor and the Contractor will have no more than ten days to propose a method for correcting the problem. The Project Manager will evaluate the Contractor’s proposal and if approved will make a recommendation for its implementation to the Contracting Officer. The Contractor will then be required to perform the corrective work using the most expedient means in order to minimize operational disruption

13. Safety/Security

13.1 General Approach

The primary objective of the [insert project name] Project Safety Program is the well-being, comfort, and security of patrons, travelers, employees and the general public. This program emphasizes the early detection and elimination or mitigation of hazards and concerns during the entire lifecycle of the project, including final design, construction, testing, startup, and operations stages. This safety program will enhance and secure the Project site as well as all interfaces with the surrounding community.

The program provides for an accident and drug-free workplace; employee safety training; the use of prescribed safety equipment on the job site; construction accident reporting and corrective actions; procurement of reliable equipment; safety programs for subcontractors; safety certification checklists; accident investigations during start-up and operations; preventive and corrective maintenance procedures; surveillance of all locations by MBTA Police; supervised evacuation of patrons as required; and the coordination of emergency response from police, ambulance and fire departments.

13.2 Design Safety and Security

The Project Manager and design and construction Contractors will be jointly responsible for developing, implementing and maintaining a series of programs which control and preserve safety and security during the final design stages. These programs will continue into the construction and operating phases. The specific programs are:

• Fire/Life Safety and Safety Design Reviews;

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• Systems Safety - Hazard Analysis; • Systems Assurance - Reliability Availability and Maintainability; and • Safety Certification.

The physical design of the [insert project name] will be checked and modified to ensure protection from the effects of fire and smoke; ease of vehicular and pedestrian approach and egress; elimination of vehicular and pedestrian blind spots, dead ends, or dangerous intersections; adequate lighting; security surveillance by camera and security personnel; backup power supplies; and compliance with the Americans with Disabilities Act.

The design and construction Contractors will be responsible for submitting Systems Safety Programs which are comprised of various hazard analyses including preliminary, fault and interface studies. Any system wide hazard or those that could result in serious injury will be compiled into a Catastrophic/Critical Items List. These identified safety and security hazards will be eliminated or minimized by design measures or through the use of safety devices or procedures. System Safety Programs will also include a Hazard Reporting System and the submission of Test Plans which will verify the effectiveness of the design with respect to safety and security during the startup phases of the Project.

The [insert project name] Project’s facilities will be designed using only proven methods and equipment. The design will emphasize the use of interchangeable modular components and the use of redundant, fail-safe systems whenever possible.

A Safety Certification Program managed jointly by the Project Manager and the design and construction Contractors will assure that all safety related requirements have been correctly translated into design criteria, specifications, drawings, calculations and sub-tier submittals, and eventually the installed condition. Safety-related requirements are extracted from design criteria and specifications. These requirements are compiled into checklists for each contract. Every checklist item such as a test report or certificate of conformance must be satisfactorily completed before operations commence.

The [insert project name] Project’s construction site shall comply with all requirements of the Federal Occupational Safety and Health Act of 1970, the MBTA’s safety regulations and all local laws, ordinances and regulations. To verify compliance with federal and local requirements, the construction Contractors will submit Construction Site Safety Programs.

These programs specify that Contractors assign Safety and Security managers; define interfaces and responsibilities of key personnel; and possess written procedures which control the work site operations. Further program requirements include the formation of an Emergency Response Team; safety and security drills; participation in the Fire/Life Safety Committee; classroom training and certification of staff in safety and security matters; hazard identification and elimination at construction sites; accident reporting systems; substance abuse program; sub-tier safety programs; and periodic audits by the local fire department.

Safety and security equipment employed at the sites includes entry barriers, perimeter fencing, alarms, exterior lighting, identification badges, warning signs, helmets, footwear, eye goggles, ear protection, safety harnesses, lifelines, gloves, knee pads, belts, respirators, fluorescent garments and foul weather gear.

The Project will comply voluntarily with all municipal requirements for a site safety project. The Project Manager will retain the services of a Site Safety Manager to oversee the Contractor’s compliance with the Contractor’s safety programs.

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13.3 Protection of MBTA Operations during Construction

In general, all of the subways/railroads will be in continuous operation throughout the performance of the construction work. The railroads affected by the project include MBTA [insert name of lines affected]. The safety and continuity of the railroads’ operation will be of primary importance.

Where the project includes work across, over, under, or adjacent to active railroad tracks or railroad right-of-way, the contractor will safeguard the traffic, tracks, and appurtenances, and other railroad property affected by its work. Construction will be scheduled and executed in a manner that will enable each of the railroads to maintain its full level of scheduled service to the fullest extent possible.

The contractors will be required to submit for approval, plans, computations, a detailed description of the construction procedures, and a schedule for accomplishing the work, including methods of protecting railroad traffic.

Contractors’ employees working on the project will be required to attend a railroad and/or MBTA safety training class. All personnel will comply with the rules and regulations and safety requirements of the respective railroads throughout the project.

During the construction phase, the construction contractors will develop, maintain, and implement a plan of operations for maintaining and protecting all passenger and pedestrian operations, concessions, services, and flows. This plan will include working drawings showing the placement of barricades and barriers as well as a detailed narrative describing how the plan is to be implemented and how passengers and pedestrians will receive advisories regarding routings and detours. This plan will also include information on the location and installation of temporary directional signs. The plan will be coordinated with all system and utility work plans. TV monitors, public address speakers, signs, and public telephones will be placed in specific, affected areas.

14. Interagency Coordination

Effective coordination between participating agencies will be an important on-going activity on the project. This section addresses the coordination process through the discussion of the following key areas: • Interagency Agreements with Utility Providers • Tracking Interagency Inputs • Agreements with City and State Agencies • Protection of the MBTA Operations During Construction • Impact Mitigation • Easement Agreement

14.1 MBTA Interagency Agreements with Utility Providers

MBTA will enter into Cooperative and Force Account agreements with other agencies and utility providers for the project. These agreements will provide the legal framework for the project and the owners of the affected areas to identify, plan, design, rearrange, and construct facilities in the most cost-effective manner. The agreements will also provide the basis for identifying the scope of work; developing cost estimates; issuing work orders; and

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authorizing costs and betterment credits, if applicable, and method of payment. They will also define the parties responsible for executing the documented tasks associated with the agreements and the funding source.

During the Preliminary Engineering design phase, the Design Team will coordinate with utility providers to develop preliminary plans for the rearrangement of the affected utilities and integrate these proposals with project plans. Utility and agency representatives will be included in kick-off discussions for each construction contract and develop schedules for rearrangement of impacted facilities. During the Final Design phase, the Team will coordinate with utility providers to develop detailed plans for facility rearrangements and integrate these plans into the construction contract documents. Utility and agency representatives will be included in kick-off discussions for each construction contract and develop schedules for rearrangement of the impacted facilities. The Design Team will coordinate the utility design with the [insert project name] Project design team during the Project. The major utility providers include: • [list utility] • [list utility] • [list utility] • [list utility]

14.2 Tracking Interagency Inputs The Team will develop a master list of all involved agencies that require deliverables whether it is for the approval of designs or the development and approval of the permits necessary to maintain the project’s progress. A list of contacts within the various relevant agencies or within the departments of the same agency will be developed. This will ensure that a comprehensive list of existing and planned future contacts is produced. Based upon review of the list, an initial contact will be established via letter and meetings, as appropriate, for each phase of the project. Based upon the initial contacts, required signoffs; deliverables; and approvals for each department or agency will be identified and coordinated with a master project schedule. 14.3 Agreements with City and State Agencies and Authorities The project will establish procedures for [City/Town] (City) services and the relocation of City facilities impacted by construction. The procedures will secure the city’s assistance to the project in the areas of public works engineering, hazardous waste control, traffic engineering, and fire safety. Police services will be provided by the MBTA Transit Police. The following are the major City agencies:

• Department of Public Works; • Police Department (Coordination with the [City/Town] Police will be through the

MBTA Transit Police); • Fire Department; and • Office of Strategic Planning and Community Development.

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XV. REFERENCES & CONTRIBUTORS

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XV. REFERENCES

1. Jefferson Science Associate “Project Control System Manual” (2010) 2. Association for the Advancement of Cost Engineering International - Cost

Estimating & Budgeting; Basis of Estimate Recommended Practice #34R-05 3. General Services Administration P120 Project Estimating Requirements for

Public Buildings Service (2007) 4. American Association of State Highway and Transportation Officials -

Constructability Review Best Practice Guide (2000) 5. Department of Defense Earned Value Management Guide (October 2006) 6. Department of Health and Human Services Policy for Earned Value

Management (June 11, 2007) 7. Massachusetts Highway Department’s Value Engineering S.O.P No. HED-09-

09-1-000 (2009) 8. PMI Project Management Body of Knowledge, Fourth Edition (2008)

CONTRIBUTORS Horace Cooper, Director, CPE, PMP, CCM, PSP Pierre Destouches, Project Controls Analyst Sandra Sterlin, Staff Assistant Stephen Stock, Intern Adriana Echeverri, Project Controls Analyst, PSP Courtney Lackard, Project Controls Analyst, PSP, CCE Ashok Kaul, Project Controls Analyst