Project Management Plan Template

SECOND AVENUE SUBWAY 86TH STREET STATION PROJECT MANAGEMENT PLAN CIEN 4129 MANAGING ENGINEERING & CONSTRUCTION PROCESSES COLUMBIA UNIVERSITY

PARTICIPANTS: CURT TRUMAN MICHEL Z. NICOLÁS PÉREZ JASON GELNIK CHELSEA PHILLIPS THOMAS BONGIORNO JOSH BROWN MARIAM BASISHVILI

DATE: May 3, 2018

SAS 86TH STREET STATION

Project Management Plan

TABLE OF CONTENTS 1 PROJECT BACKGROUND, DESCRIPTION, AND OBJECTIVES .................................................. 6 1.1 PROJECT BACKGROUND AND HISTORY ..................................................................... 6 1.2 PROJECT DESCRIPTION .............................................................................................. 7 1.3 LEGAL AUTHORITY ..................................................................................................... 8 1.4 PROJECT OBJECTIVES................................................................................................. 9 1.5 ECONOMIC OBJECTIVES .......................................................................................... 10 1.6 MANAGEMENT OBJECTIVES .................................................................................... 11 1.7 TECHNICAL OBJECTIVES........................................................................................... 11 2 ORGANIZATION AND STAFFING ....................................................................................... 11 2.1 METROPOLITAN TRANSPORTATION AUTHORITY ORGANIZATION ......................... 12 2.2 METROPOLITAN TRANSPORTATION AUTHORITY CAPITAL CONSTRUCTION .......... 12 2.3 SECOND AVENUE SUBWAY PROJECT ORGANIZATION ............................................ 12 2.3.1 METROPOLITAN TRANSPORTATION AUTHORITY CAPITAL CONSTRUCTION EXECUTIVE LEADERSHIP ................................................................................................. 13 2.3.2 PROGRAM MANAGEMENT TEAM ...................................................................... 16 2.3.3 MTA MATRIX SERVICES ...................................................................................... 26 2.3.4 OTHER MATRIX SERVICES (NYCT AND MTA) MATRIX MANAGERS .................... 28 2.4 EQUAL EMPLOYMENT OPPORTUNITY POLICY ........................................................ 29 2.5 OVERSIGHT AGENCIES ............................................................................................. 30 2.5.1 FEDERAL TRANSIT ADMINISTRATION OVERSIGHT INTERFACE .......................... 30 2.5.2 MTA BOARD ....................................................................................................... 31 2.5.3 CAPITAL PROGRAM OVERSIGHT COMMITTEE ................................................... 31 2.5.4 NYCT COMMITTEE.............................................................................................. 32 3 SAFETY AND SECURITY PROGRAM ................................................................................... 32 3.1 SAFETY, SECURITY, AND RELIABILITY ASSURANCE OBJECTIVES .............................. 32 3.1.1 SAFETY CERTIFICATION ...................................................................................... 33 3.1.2 CODES AND STANDARDS COMPLIANCE............................................................. 33 3.1.3 RELIABILITY, MAINTAINABILITY, AND AVAILABILITY .......................................... 34 3.1.4 PROGRAM MONITORING AND UPDATES .......................................................... 34 3.2 PROJECT SAFETY AND HEALTH PLAN ...................................................................... 35 3.2.1 CONTENT OF THE PLAN ..................................................................................... 35 3.2.2 RESPONSIBILITY AND APPLICATION OF THE PLAN ............................................ 35 3.2.3 FIELD ACTIVITIES ................................................................................................ 35 3.2.4 OFFICE ACTIVITIES .............................................................................................. 36 Page 1 of 101



4 PROJECT MANAGEMENT CONTROL ................................................................................. 36 4.1 MANAGEMENT CONTROL SYSTEMS........................................................................ 37 4.2 COST MANAGEMENT .............................................................................................. 37 4.2.1 CONTROL OF DESIGN COSTS .............................................................................. 38 4.2.2 CONTROL OF CONSTRUCTION COSTS DURING DESIGN PHASES ....................... 38 4.3 SCHEDULE MANAGEMENT ...................................................................................... 39 4.3.1 WORK BREAKDOWN STRUCTURE ...................................................................... 40 4.3.2 BASELINE AND MASTER SCHEDULES ................................................................. 40 4.3.3 DETAILED SCHEDULE .......................................................................................... 40 4.3.4 RESOURCE LOADING .......................................................................................... 41 4.3.5 PROGRESS EVALUATIONS AND SCHEDULE UPDATES ........................................ 41 4.3.6 REAL ESTATE ACQUISITION SCHEDULE .............................................................. 42 4.4 DOCUMENT CONTROL ............................................................................................ 42 4.4.1 CONTROL OF CORRESPONDENCE ...................................................................... 42 4.4.2 CONTROLLED DOCUMENTS ............................................................................... 42 4.4.3 RETRIEVABILITY .................................................................................................. 43 4.4.4 DOCUMENT SECURITY ....................................................................................... 43 4.5 MANAGEMENT REPORTING .................................................................................... 45 4.5.1 REPORTING DURING DESIGN ............................................................................. 45 5 RISK MANAGEMENT........................................................................................................ 47 5.1 RISK ASSESSMENT ................................................................................................... 48 5.2 RISK MITIGATION..................................................................................................... 50 5.3 RISK MANAGEMENT ................................................................................................ 51 5.4 RISK REGISTER ......................................................................................................... 52 6 PROCUREMENT ............................................................................................................... 52 6.1 POLICY AND PROCEDURES ...................................................................................... 52 6.2 PROCUREMENT METHODOLOGIES ......................................................................... 52 6.3 PROCUREMENT OF CONSTRUCTION CONTRACTS .................................................. 53 6.4 PROCUREMENT PACKAGING ................................................................................... 54 6.5 PROCUREMENT OF VEHICLES AND OTHER ROLLING STOCK................................... 54 6.6 PROCUREMENT OF CONSULTANTS CONTRACTS .................................................... 54 6.7 AFFIRMATIVE ACTION GOALS ................................................................................. 55 6.8 CONTRACT MODIFICATIONS ................................................................................... 55 6.9 DISPUTE RESOLUTION ............................................................................................. 55 6.10 RESOLVING DISPUTES IN ACCORDANCE WITH THE DISPUTE RESOLUTION BOARD (DRB) 56

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7 DESIGN PROCESS............................................................................................................. 57 7.1 PROJECT DESIGN CRITERIA ...................................................................................... 57 7.1.1 NYCT REQUIREMENTS ........................................................................................ 57 7.1.2 CODES AND STANDARDS ................................................................................... 57 7.1.3 APPROVAL IN PRINCIPLE .................................................................................... 58 7.2 BASE CASE SCHEME ................................................................................................. 58 7.3 DESIGN CONTROL .................................................................................................... 59 7.4 COMMUNICATION BETWEEN DESIGN GROUPS AND ISSUES RESOLUTION ........... 59 7.4.1 WORKING DESIGN COMMITTEES ...................................................................... 59 7.4.2 PE TECHNICAL ADVISORY COMMITTEE AND EIS SENIOR STEERING COMMITTEE 61 7.4.3 EXPEDITIOUS RESOLUTION OF DESIGN ISSUES ................................................. 61 7.4.4 MONITORING DESIGN COMMITTEES................................................................. 62 7.5 DESIGN REVIEW PROCESSES ................................................................................... 62 7.5.1 REVIEW SYSTEMS ............................................................................................... 62 7.5.2 STANDARDS AND CRITERIA REVIEW .................................................................. 62 7.5.3 DESIGN REVIEWS ............................................................................................... 63 7.5.4 CONSTRUCTIBILITY REVIEWS ............................................................................. 64 7.5.5 BIDABILITY REVIEWS .......................................................................................... 64 7.6 DESIGN QUALITY OBJECTIVES ................................................................................. 65 7.7 DESIGN CHANGES .................................................................................................... 65 7.8 COMPUTER-AIDED DESIGN AND DRAFTING ........................................................... 66 7.9 GEOGRAPHIC INFORMATION SYSTEM .................................................................... 66 7.10 ENVIRONMENTAL MANAGEMENT SYSTEM ............................................................ 67 7.11 VALUE ENGINEERING .............................................................................................. 67 8 FUNDING, COST MANAGEMENT AND CONTROLS ............................................................ 68 8.1 FUNDING AND GRANT MANAGEMENT ................................................................... 68 8.1.1 MTA CAPITAL PROGRAM MANAGEMENT ......................................................... 68 8.1.2 FEDERAL TRANSIT ADMINISTRATION (FTA) ....................................................... 69 8.1.3 CAPITAL PROGRAM MANAGEMENT PROCEDURES AND GUIDELINES .............. 70 8.1.4 REPORTING STRUCTURE .................................................................................... 71 8.1.5 COST MANAGEMENT AND COST CONTROL....................................................... 71 8.1.6 CONTROL OF COSTS DURING DESIGN ............................................................... 72 8.1.7 CONTROL OF COSTS DURING CONSTRUCTION .................................................. 72 9 SCHEDULE MANAGEMENT AND CONTROLS ..................................................................... 74 9.1 CONTRACT SCHEDULES ........................................................................................... 74 9.1.1 CORRESPONDENCE AND COLLABORATION ....................................................... 74 Page 3 of 101



9.1.2 PRELIMINARY AND BASELINE CPM SCHEDULES ................................................ 74 9.1.3 MONTHLY UPDATES ........................................................................................... 75 9.1.4 CPM SCHEDULE CHANGES ................................................................................. 76 9.1.5 SCHEDULE AWO ANALYSIS AND DELAY CLAIMS ................................................ 76 9.1.6 DISPUTE RESOLUTION ........................................................................................ 77 9.2 FTA PROGRAM CONTROL ........................................................................................ 77 9.2.1 MASTER PROGRAM SCHEDULE .......................................................................... 77 9.2.2 MAJOR MILESTONES .......................................................................................... 77 10 COMMUNICATIONS MANAGEMENT ................................................................................ 77 10.1 PROJECT RECORDS .................................................................................................. 78 10.1.1 CONTROL OF CORRESPONDENCE ...................................................................... 79 10.1.2 PROJECT PHOTOGRAPHS ................................................................................... 79 10.1.3 PRESENTATIONS ................................................................................................. 80 10.1.4 DRAWING MANAGEMENT AND CONTROL ........................................................ 80 10.1.5 FILING ................................................................................................................. 81 10.1.6 DOCUMENT CONTROL ....................................................................................... 81 10.1.7 STATUS MEETINGS ............................................................................................. 81 10.2 PERFORMANCE REPORTING .................................................................................... 83 10.2.1 PROJECT STATUS REPORT (PSR) ......................................................................... 83 10.2.2 PROJECT REPORTS.............................................................................................. 84 10.2.3 FTA QUARTERLY REPORTING ............................................................................. 84 10.2.4 FTA MONTHLY REPORTING ................................................................................ 85 10.2.5 ARRA REPORTING............................................................................................... 85 11 CONSTRUCTION MANAGEMENT ...................................................................................... 85 11.1 Overview.................................................................................................................. 85 11.2 CONSTRUCTION CONTRACT ADMINISTRATION ...................................................... 87 11.3 CONTRACTOR SUBMISSIONS AND REQUESTS ........................................................ 88 11.3.1 APPROVAL OF SUBCONTRACTORS..................................................................... 88 11.3.2 SHOP DRAWING SUBMISSION ........................................................................... 89 11.3.3 REQUEST FOR INFORMATION ............................................................................ 89 11.3.4 OTHER REQUESTS .............................................................................................. 89 11.3.5 AS-BUILT DRAWING REVIEW AND DISTRIBUTION ............................................. 90 11.3.6 O&M MANUALS REVIEW AND DISTRIBUTION ................................................... 90 11.4 LEED REQUIREMENTS/COMMISSIONING/ TESTING ............................................... 93 11.5 QUALITY ASSURANCE/CONTROL DURING CONSTRUCTION ................................... 93 11.6 SAFETY ..................................................................................................................... 93 11.7 SITE SECURITY .......................................................................................................... 94 Page 4 of 101



12 ENVIRONMENTAL/CULTURAL RESOURCE MANAGEMENT/LEED ....................................... 94 12.1 INTRODUCTION ....................................................................................................... 94 12.2 ENVIRONMENTAL COMPLIANCE PROCESS ............................................................. 95 12.3 CULTURAL RESOURCE MANAGEMENT.................................................................... 96 12.4 LEED ......................................................................................................................... 96 13 QUALITY ASSURANCE ...................................................................................................... 97 13.1 TRANSITION FROM DESIGN TO CONSTRUCTION .................................................... 97 13.2 CONTRACT QUALITY REQUIREMENT ....................................................................... 97 13.2.1 QUALIFICATION HEARING .................................................................................. 97 13.2.2 CONSTRUCTION KICK-OFF MEETING ................................................................. 97 13.2.3 CONTRACT QUALITY ENGINEERING APPROVAL ................................................ 97 13.2.4 CONTRACTOR QUALITY PROGRAM.................................................................... 98 13.2.5 QUALITY CONTRACTOR VERIFICATION .............................................................. 98 13.3 CONSTRUCTION SITE VISITS .................................................................................... 98 13.3.1 QUARTERLY QUALITY OVERSIGHTS ................................................................... 98 13.3.2 JOB PROGRESS MEETINGS ................................................................................. 99 13.3.3 SUBMISSION SCHEDULE..................................................................................... 99 13.3.4 RECORDS MAINTENANCE AND CONTROL SUBMISSION .................................... 99 13.3.5 INSPECTION AND TESTING PLAN ....................................................................... 99 13.3.6 SUBCONTRACTOR AND SUPPLIER APPROVAL AND CONTROL .......................... 99 13.3.7 CORRECTIVE AND PREVENTIVE ACTION PROCESS ............................................. 99 13.4 CONSTRUCTION MANAGEMENT AND PROCESS VERIFICATION ........................... 100 13.4.1 FIELD INSPECTIONS, SHOP DRAWINGS, DAILY REPORTS ................................. 100 13.4.2 SUBMISSION MANAGEMENT APPROVALS ...................................................... 100 13.4.3 COORDINATION WITH DESIGN ENGINEERING ................................................ 100 13.4.4 RECORD MAINTENANCE AND CONTROL ......................................................... 100 13.4.5 ADDITIONAL WORK ORDER PROCESS/PAYMENT PROCESS............................. 100

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1


PROJECT BACKGROUND, DESCRIPTION, AND OBJECTIVES This section provides some historical background on the project and a general description

of the tasks to be undertaken. It also addresses the purpose, legal authority, intent of this plan, and an outline of its contents. The intended audience of the Second Avenue Subway 86th Street Station PMP is all project stakeholders including the project sponsor, senior leadership and the project team. 1.1

PROJECT BACKGROUND AND HISTORY Planning for the Second Avenue Subway (SAS) was initially started in the late 1920s as a

replacement for the Second Avenue Elevated Line. While the planning was halted with the advent of the Great Depression, various planning efforts were initiated over the next 30 years, but no construction or designs resulted from those efforts. In the late 1960s, the momentum to design and construct the subway line was reinvigorated by the availability of federal funding from the newly created federal Urban Mass Transportation Administration (UMTA). The purpose then, as now, was to develop a subway line that could relieve the crowding on the Lexington Avenue Line, provide greater mobility to the expanding east side of Manhattan, and provide the ability to eventually expand the subway line to the Bronx and other City boroughs. In the late 1960s and early 1970s, designs were partially completed when construction commenced in Manhattan on the proposed subway line between 125th Street and the Lower Manhattan Financial area. The design efforts and initial construction activities were halted in the mid-1970s due to the City of New York’s fiscal crisis leaving the project in various stages of design and construction. In the mid-1990s, the Metropolitan Transportation Authority through its subsidiary corporation, the New York City Transit (MTA NYCT) initiated a Major Investment Study/Draft Environmental Impact Statement (MIS/DEIS) to examine how to improve transit and transportation along the entire east side of Manhattan. That effort resulted in the issuance of a DEIS in August 1999, which identified constructing the SAS between 125 th and 63rd Streets. Based upon further input from the public, the recommendation of the MTA was to design and

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build a full-length SAS Line from 125th Street to Lower Manhattan. The proposed new line will incorporate existing segments previously constructed during the 1970s into the new line. MTA/NYCT completed the Final Environmental Impact Study (FEIS) April 2004. Subsequently, the Federal Transportation Agency (FTA) Record of Decision (ROD) was granted July 2004, securing FTA’s approval for funding of the design and construction of the SAS Project. Preliminary Engineering (PE) completed early 2006, as Final Design (FD) commenced April 18, 2006, to support the January 2007 early construction activities. The Full Funding Grant Agreement (FFGA) for the 86th Street Station of the SAS, as outlined below, was approved on November 19, 2007. The basis of the FFGA was a budget of $5 billion (exclusive of finance charges). The lump sum contract for the 86th Street Station is $302 million. 1.2

PROJECT DESCRIPTION The 86th Street Station, for which this Project Management Plan (PMP) is written, is part of

the Second Avenue Subway (SAS) Project, which is to be configured as a double-track subway system extending approximately 8.5 miles on a North/South axis from the vicinity of 125th Street and Lexington Avenue to a point South of Broad Street in Lower Manhattan. This alignment will include 16 new and one rehabilitated underground stations, each having mezzanine and platform construction. The SAS Project incorporates three sections of previously constructed tunnel and is to be completed in four separate segments (see Figure 1).

Figure 1: Illustrates the key plan and scope of work for the project.

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The scope of work also includes station/ancillary facility construction; track, signal, and electrical work; activation; and start-up, in addition to all other miscellaneous subway systems necessary for revenue operations. Completion of SAS 86th Street Station will permit revenue operations along Second Avenue from 96th Street to 63rd Street, with trains connecting to the N/R/W Services that rundown Broadway. 1.3

LEGAL AUTHORITY The MTA was created by the New York State Legislature in 1968. As a New York State

public benefit corporation, the MTA is an umbrella organization whose responsibilities include developing and implementing a unified mass transportation policy and obtaining financial resources for the benefit of the New York City metropolitan area's public transportation systems. The MTA works with its agencies to coordinate planning and develop general policies, complete operating and capital budgets and performance plans, carry out the financing of operating and capital programs, and monitor financial and operating activities. They receive federal funding, state grants, and other state and local funding, and additionally, the MTA can issue bonds, notes or obligations, and raise revenues through a variety of financing methods. State statutes govern investment activity involving operating and capital funds, including bond proceeds and bond resolutions. The agencies serve the public by operating transportation facilities and services and by implementing construction projects. As the nation’s largest transportation provider, the MTA oversees America’s most extensive subway and bus fleet, two of its largest commuter railroads, and its largest bridge and tunnel authority. Nearly 8.5 million daily rides are provided by the system and, at rush hour, the MTA provides almost 90% of the commutes to the Manhattan central business district—the nation’s, if not the entire world’s, economic center. MTA operates its services through these affiliated agencies: •

MTA New York City Transit (MTA NYCT, legally the New York City Transit Authority): subways and buses in New York City.

•

MTA Staten Island Railway (MTA SIR): rail service in the NYC borough of Staten Island. Page 8 of 101


•


MTA Long Island Rail Road (MTA LIRR): commuter rail service within Queens, Brooklyn, Nassau, and Suffolk Counties, and to Manhattan.

•

MTA Metro-North Railroad (MTA MNR): commuter rail service within Bronx, Westchester, Putnam, Orange, Dutchess, and Rockland Counties, and to Manhattan

•

MTA Bridges and Tunnels (MTA B&T, legally the Triborough Bridge and Tunnel Authority): seven bridges and two tunnels in New York City.

•

MTA Long Island Bus (MTA LIB): bus service within Nassau County and to Queens MTA Bus Company: bus service within the City of New York.

•

MTA Capital Construction: responsible for the management and construction of the

•

MTA’s large network expansion projects and agency-wide security program.

•

The MTA also provides transportation on the New Haven Line in Connecticut, and under contract, on the New Jersey Transit Hoboken-Port Jervis and Pascack Valley Lines to Rockland and Orange Counties, New York.

The Second Avenue Subway Project 86th Street Station Management Team will design and construct the project in accordance with all applicable federal and state laws, regulations, codes, and guidelines. Under Section 1266(8) of the New York PAL, NYCT is exempt from local laws, regulations, and permit requirements. However, the Management Team for the Second Avenue Subway Project will consult with New York City regulatory and permitting agencies throughout all phases of the project’s design and construction to ensure that the project is compatible with City regulations, services, and facilities. 1.4

PROJECT OBJECTIVES This Project Management Plan (PMP) has been prepared to: •

Establish the framework for project operations consistent with the requirements of the Federal Transit Administration (FTA) Project and Construction/Management Guidelines.

•

Establish the management structure and protocols required for effective management; and define the relationships within the project and the relationship with those external organizations having an interface role on the project.

•

Meet Enterprise Level Project Execution Plan (ELPEP). Page 9 of 101


•


Establish principles as approved by MTA and FTA on 01/15/10 through an Enterprise Level Project Execution Plan.

The PMP is a top-level control document that provides general frameworks and requirements consistent with established requirements and commitments. It will demonstrate the project team’s technical capacity to design, control, and measure project performance. As needed, the project will develop detailed plans and procedures to meet the commitments made and to provide an adequate level of direction and instruction to project participants. The PMP is the most important document and it requires updates on a regular basis to ensure direction consistent with established agreements and the current operating environment and project phase. The PMP covers the project’s life cycle including preliminary engineering, final design, construction, testing and start-up, and revenue service phases. As the project progresses, the PMP will be updated to reflect new and more precise information concerning contractors, personnel, MTA Capital Construction (MTACC) organization, and cost and schedule estimates. At a minimum, the PMP will be updated for any major transition in project phase. The Project objectives are to design, build, and operate a full-length SAS 86th Street Station, incorporating existing segments constructed during the 1970s, relieving the crowding on the Lexington Avenue Line, provide greater mobility to the expanding east side of Manhattan, and provide the ability to eventually expand the subway line to the Bronx and other boroughs of the City. It is Management’s goal is to design and build the SAS 86 th Street Station without sacrifice of safety or quality, within the project’s budget and schedule. 1.5

ECONOMIC OBJECTIVES •

To alleviate congestion, improve travel time, and create a viable commuting option for hundreds of thousands of people who travel to and from Manhattan’s East Side every day;

•

To provide economic stimulus for the construction industry and long term economic growth to mid-town and downtown Manhattan business districts; and

•

Increase the core capacity of the MTA system by building new routes and extending Page 10 of 101



existing routes. 1.6

MANAGEMENT OBJECTIVES •

To fully comply with the Final Environmental Impact Statement (FEIS);

•

To meet or exceed affirmative action goals for employment and disadvantaged business utilization;

•

To develop a project team that is committed to the realization of a fully operational, high quality transit system delivered on schedule and with the budget approved while minimizing risks; and

•

To continuously examine systems, procedures, and policies to ensure that the quality, budget and schedule objectives; including those delineated in MTA’s Enterprise Level Project Execution Plan (ELPEP), can be fulfilled and that the management systems support the Project objectives.

1.7

TECHNICAL OBJECTIVES •

To design and construct a rail system that meets the highest design and construction quality standards and that will provide excellent transit service;

•

To significantly expand and improve public transportation services for all people, particularly the disabled and mass transit dependent;

•

To ensure that the system will be able to meet or exceed national quality standards for transit operations; and

•

To meet or exceed all environmental requirements established by the regulatory and permitting agencies.

2

ORGANIZATION AND STAFFING To successfully manage the planning, design, and construction of the SAS 86th Street

Station, an integrated team of agency, consultant, and contracting staff will be established. This section describes the organization and its structure; and provides a description of the functions, major responsibilities, and qualifications of the senior executives and key managers involved. Partnering will continue to be incorporated into all phases of the project. The SAS 86th Street Station Equal Employment Opportunity (EEO) policy is the same one that is incorporated Page 11 of 101



by the MTA, NYCT, and the consultant and contracting 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

METROPOLITAN TRANSPORTATION AUTHORITY ORGANIZATION The Metropolitan Transportation Authority is the governing agency for the public

transportation services in New York City metropolitan region. Its operating agencies include: New York City Transit (NYCT), Capital Construction (MTACC), Metro North Railroad (MNR), Long Island Railroad (LIRR), Long Island Bus (LIB) and Tunnel and Bridges (TBTA). Each division has an Agency President. The Agency President reports to the MTA Chairman and Chief Executive Officer who reports to the MTA Board. The MTA Board is composed of 17 members who are officially appointed by the Governor and confirmed by the New York State Senate. 2.2

METROPOLITAN TRANSPORTATION AUTHORITY CAPITAL CONSTRUCTION In July 2003, the MTA Board authorized the creation of the MTA Capital Construction

Company, (MTACC) as a new subsidiary company of the MTA with a specific mission to plan, design and construct current and future major MTA System Expansion projects, which include Second Avenue, East Side Access, the Number 7 Service Extension, the Lower Manhattan Fulton Transit Center, the newly completed South Street Ferry station complex, and system wide security projects. The MTA Capital Construction Organization Chart is shown in Figure 3. The MTACC is responsible to plan, design, and construct the SAS 86th Street Station for NYCT who will operate the new SAS 86th Street Station project once completed. The MTA will utilize available resources within the various MTA agencies to support the project. 2.3

SECOND AVENUE SUBWAY PROJECT ORGANIZATION The SAS 86th Project will be completed through 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 team primarily includes staff from MTACC, NYCT, Design Consultants, Construction Management Consultant and Construction Contractors. The team also consists of other key support staff from MTA. The Page 12 of 101



Project Team will work towards the common goal of successfully completing the project and meeting the expectations of the City of New York and project stakeholders. MTACC/NYCT has relied on NYCT Project Management Procedures and Project Management Guidelines, as well as FTA Project Management Guidelines, to guide its capital project staff in the implementation of its projects but has found it necessary to tailor the use of those procedures to more effectively and efficiently manage the MTA Capital Construction Program “Mega Projects.” In the interest of quality and consistency in managing its projects, MTACC saw that it was necessary to document its best practices in a set of procedures that would properly guide its staff and its consultants. 2.3.1 METROPOLITAN TRANSPORTATION AUTHORITY CAPITAL CONSTRUCTION EXECUTIVE LEADERSHIP 2.3.1.1 METROPOLITAN TRANSPORTATION AUTHORITY CAPITAL CONSTRUCTION PRESIDENT The MTACC President, in consultation with the MTA, provides executive leadership and guidance regarding policy issues and project financing. Issues requiring top-level decisionmaking are presented with all supporting information to the MTACC President for executive decisions to be made in support of the Project. The MTACC President reports directly to the MTA Chairman and Chief Executive Officer. 2.3.1.2 SENIOR VICE PRESIDENT/PROGRAM EXECUTIVE The Senior Vice President/Program Executive (SVP/PE) reports directly to the MTACC President and has ultimate responsibility for the successful implementation of the Second Avenue Subway Project. The SVP/PE provides monthly progress updates and project briefings to the President of Capital Construction and NYCT. Issues requiring top-level decision-making are presented with all supporting information to the NYCT and MTACC Presidents for executive decisions to be made in support of the Project. The SVP/PE implements the policy and operating framework for the team, and acts as liaison to senior management.

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2.3.1.3 VICE PRESIDENT, PROGRAM CONTROL, QUALITY/SAFETY, RISK AND CONTINGENCY MONITORING The Vice President, Program Control, Quality/Safety, Risk and Contingency Monitoring reports directly to the MTACC President and oversees estimating and scheduling activities for all MTACC projects and provides oversight in areas that require independence from day-to-day management activities, including Quality and Safety areas. 2.3.1.4 CHIEF, QUALITY AND SAFETY Major Responsibilities: •

The Chief, Quality and Safety is responsible to develop policies and procedures and direct the implementation of quality control and safety issues for all MTACC projects.

•

The Chief, Quality and Safety will provide matrixed staff in the Quality and Safety areas on MTACC projects.

Qualifications: •

Bachelor’s degree in Engineering or a satisfactory equivalent and a minimum of 20 years of practical experience including 15 years in progressively responsible managerial levels.

•

Training and practical experience in quality management and assurance at an engineering/construction firm.

Accountability: •

The Chief, Quality and Safety, reports directly to the Vice President, Program Control and Quality/Safety.

2.3.1.5 CHIEF ESTIMATOR Major Responsibilities: •

The Chief Estimator is responsible for directing the development of estimates and cost control.

•

The Chief will provide matrixed staff to MTACC projects to support estimating activities.

Qualifications: Page 14 of 101


•



•

Training

and

practical

experience

in

estimating

management

at

an

engineering/construction firm. Accountability: •

The Chief Estimator reports directly to the Vice President, Program Control and Quality/Safety.

2.3.1.6 CHIEF SCHEDULER Major Responsibilities: •

The Chief will direct scheduling activities for each major MTACC project.

•

The Chief will provide matrixed staff to MTACC projects to support scheduling activities.

Qualifications: •


•

Training

and

practical

experience

in

scheduling

management

at

an


The Chief Scheduler reports directly to the Vice President, Program Control and Quality/Safety.

2.3.1.7 CHIEF RISK MANAGEMENT Major Responsibilities: •

The Chief will direct risk assessment and risk management activities for each major MTACC project.

•

The Chief will provide matrixed staff to MTACC projects to support risk related activities.

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Qualifications: •


•

Training

and

practical

experience

in

risk

management

at

an


The Chief of Risk Management reports directly to the Vice President, Program Control and Quality/Safety.

2.3.2 PROGRAM MANAGEMENT TEAM The Program Management Team (PMT) is an integrated staff of managers and personnel from the MTACC, NYCT Department of Capital Program Management (CPM), and other Departments/NYCT divisions. This basic structure will be maintained throughout the project’s life providing continuity between phases and maintaining effective project communications. The PMT reduces overlaps in duties and functions and provides the flexibility to accomplish project objectives effectively and efficiently. The Program Management Team consists of the following: Program Manager; Senior Director; Safety Manager; Schedule Manager; Environmental Manager; Quality Manager; Cost Control/Estimating Manager; Risk Manager Real Estate Coordinator; Design Managers Construction Managers and Director Community Outreach. 2.3.2.1 PROGRAM MANAGER The Program Manager manages the overall activities of the SAS 86th Street Station team, including planning, directing, managing, and integrating the Design and Construction functions of the project. The Program Manager also oversees Quality, Safety, Scheduling and Estimating Staff as well as a non-CPM Matrix staff, including Law; Risk/Safety Management; Procurement; and Government and Community Relations. The program planning and activities are coordinated through the Program Manager including acting as liaison with the FTA.

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Major Responsibilities: •

Manage the planning, scope development, design and engineering, construction administration, and construction oversight inspection to deliver timely, costeffective, and high-quality projects to designated CPM clients;

•

Establish performance measures with respect to key program area goals of quality, cost-effectiveness, and timeliness; and Represent the NYCT with outside agencies and community groups.

Qualifications: •

A baccalaureate degree in either Engineering or Architecture with 15 years of experience, including 12 years of management experience;

•

A valid New York State Professional Engineer or Registered Architect License; and Knowledge of New York City Transit operations and practices.

Accountability: •

The Program Manager reports to the SVP/PE.

2.3.2.2 SENIOR DIRECTOR The Senior Director has overall responsibility for all non-technical functions including financial, planning, administrative, and support activities. The Senior Director is responsible for handling all capital and operating budget issues and staff requirements; managing capital and consultant contract budgets and administration; overseeing and coordinating organizational changes; developing capital project master plans; directing/coordinating all human resources, training, and administrative tasks; ensuring all manpower needs and requirements are satisfied. Major Responsibilities: •

With direction from the Program Manager, manage the Program Area’s annual and 5-year Capital Programs;

•

Interface with senior and/or middle management to ensure the flow of requested data and information are appropriate and correct;

•

Work with the PMT and Sponsor/User groups in the determination of technical and operational requirements; and Plan and control the distribution of all proposed projects for the program area in current and future Capital Programs. Page 17 of 101



Qualifications: •

A Bachelor of Science degree in Engineering, Finance or Public Administration; and Ten years of relevant experience, 4 years of which will have been in a managerial or supervisory capacity.

Accountability: •

The Senior Director reports to the Program Manager.

2.3.2.3 SAFETY MANAGER The Safety Manager is responsible for the establishment and maintenance of project wide construction safety. The Safety Manager will review and approve the Contractor’s written plans and ensure that all work is performed in a safe manner. Major Responsibilities: •

Schedule and Conduct regular Safety Meetings;

•

Monitor that Contractors comply with required safety inspections and reporting requirements;

•

Monitor the performance of the Contractor’s Safety Plan;

•

Provide or coordinate training on safety related aspects of the project; and Keep the Project Manager informed of safety issues.

Qualifications: •

A Bachelor of Science degree in Engineering or Architecture or related field; and 10 years of safety or safety related experience in related underground work, 4 years of which are at the managerial level.

Accountability: •

The Safety Manager has dual reporting responsibilities, one to the Program Manager, one to the Chief, Quality and Safety.

2.3.2.4 SCHEDULE MANAGER The Schedule Manager directs the preparation and monitoring of schedules. In this capacity, this Manager oversees individual Contract Schedulers, the quality, timeliness, and efficiency of all schedule preparation including the SAS 86th Street Station Integrated Project Schedule (IPS). The Manager is also responsible for working and coordinating with CPM staff, Page 18 of 101



Program Managers, Construction Managers, and Design Managers on all schedule-related issues. Major Responsibilities: •

Manage the preparation and monitoring of schedule activity in support of Program Manager;

•

Ensure the quality and timeliness of estimates, and coordinate the resolution of scheduling issues with the relevant parties;

•

Direct the adherence to scheduling standards and guidelines for all projects in the Program Areas; and

•

Keep the Project Manager informed of scheduling issues.

Qualifications: •

A Bachelor of Science degree in Engineering or Architecture; and

•

15 to 20 years of related experience in scheduling techniques and analyses for design and construction, 10 years of which are at the managerial level.

Accountability: •

The Schedule Manager has dual reporting responsibilities, one to the Program Manager, one to the Chief, Scheduler.

2.3.2.5 RISK MANAGER (COST & SCHEDULE) The Risk Manager coordinates the preparation of contract and program level risk assessments. The Risk Manager is also responsible for maintaining an updated project risk register and working with project staff to implement and monitor risk mitigation strategies. Major Responsibilities: •

Manage the preparation and quality of contract and program level risk assessments in compliance with MTA policy;

•

Monitor and update the project risk register;

•

Meet regularly with construction and design managers to update status of active risks; and

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•


Hold monthly risk management meetings and keep the Program Manager informed of risk issues.

Qualifications: •


•

Ten years of related experience in risk management and analyses for design and construction, 4 years of which are at the managerial level.

Accountability: •

The Risk Manager has dual reporting responsibilities, one to the Program Manager, one to the Chief, of Risk.

2.3.2.6 ENVIRONMENTAL MANAGER The Manager’s responsibilities include assuring conformance with the procedural and substantive aspects of the National Environmental Policy Act (NEPA) and commitments made in the SDEIS/FEIS/Record of Decision (ROD), and related project environmental permits for design and construction. Major Responsibilities: •

Provide the appropriate environmental, scientific, and engineering expertise to the NYCT CPM SAS 86th Street Station Team;

•

Serve as interface between PE, design, and construction; and

•

Ensure that relevant and appropriate environmental commitments made in the NEPA and related regulatory permit process are understood, reflected and adhered to in design, construction, and start-up of the Project.

Qualifications: •


•

Eight years of practical experience in environmental issues and design/construction, 4 years of which are at the managerial level.

Accountability: •

The Environmental Manager reports to the Program Manager.

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2.3.2.7 QUALITY MANAGER The Project Quality Manager implements quality programs within the program and project areas consistent with MTACC’s Quality Management System (QMS). The activities associated with the implementation of the QMS include, but are not limited to: Major Responsibilities: •

Providing Quality consultation and direction to design, construction management, and contractor’s supplier organizations;

•

Monitoring and evaluating the implementation, adequacy, and effectiveness of the SAS 86th Street Station QMS;

•

Staffing the MTACC SAS 86th Street Station Quality Assurance Organization;

•

Coordination and correlation of the MTACC SAS 86th Street Station QMS with contractor/consultant Quality Programs; and

•

Keep the Program Manager informed on quality issues.

Qualifications: •


•

Ten years of related experience in quality process and techniques for design and construction, 4 years of which are at the managerial level.

Accountability: •

The Quality Manager has dual reporting responsibilities, one to the Program Manager, one to the Chief, Quality and Safety.

2.3.2.8 COST CONTROL/ESTIMATING MANAGER The Cost Control/Estimating Manager provides cost estimates in support of the Capital Program as related to the individual program areas; and oversees the quality, timeliness, and efficiency of the cost estimate preparation process of work including additional work orders. The Cost Control Manager will also identify cost savings for the program areas. Major Responsibilities: •

Oversee the preparation of cost estimates in support of program areas;

•

Ensure the quality and timeliness of cost estimates produced by the staff in their respective cost program area; Page 21 of 101


•


Manage staff in the reviewing and evaluation of contractor/consultant estimates, work order claims, and cost loaded schedules; and

•

Keep the Program Manager informed on budgetary issues.

Qualifications: •


•

Ten years of related experience in cost estimating and control techniques for design and construction, 4 years of which at the managerial level.

Accountability: •

The Cost Control/Estimating Manager has dual reporting responsibilities, one to the Program Manager, one to the Chief, Estimator.

2.3.2.9 REAL ESTATE COORDINATOR The Real Estate Coordinator will coordinate with the MTA Real Estate Department and Design Team to ensure the scope, budget, schedule, and property acquisition and relocation issues are addressed during the design and construction phases. Major Responsibilities: •

Coordinate property acquisition and easement related issues with MTA Real Estate.

Qualifications: •

A Bachelor of Science degree in Business, Finance, Engineering, or Architecture; and

•

Ten years of practical experience in the real estate field, 5 years of which are at the managerial level.

Accountability: •

The Real Estate Coordinator reports to the Program Manager.

2.3.2.10 DESIGN MANAGER Manages the day-to-day design of the project. There are presently three Design Mangers on the project. DM – Phase III Construction Support for Design/Build; DM – Stations and Infrastructures; and DM – Systems Duties include design support during construction phase. Page 22 of 101



2.3.2.10.1 DESIGN MANAGER – PHASE III CONSTRUCTION SUPPORT FOR DESIGN/BUILD The Design/Final Design Manager will support the Construction Managers during the construction phase. 2.3.2.10.2 DESIGN MANAGER – STATIONS/INFRASTRUCTURES The Design Manager for Stations and Infrastructures will be responsible for all the efforts required to facilitate and complete the design of the subway stations and the systems within the subway envelope. The Design Manager also will be responsible for the civil and structural design; coordinate with all parties (designer, users, maintainers, and schedulers); and mitigate any delay on the project. The Design Manager, acting as a liaison and coordinator between NYCT, the Design Consultant, utility providers, and public and private agencies, will provide the Design Consultant with the necessary information to complete the design. 2.3.2.10.3 DESIGN MANAGER – SYSTEMS The Design Manager for Systems is responsible for all the efforts required to facilitate and complete the design of subway systems outside of the station envelope traction power, communications; signals; and other wayside systems. The Design Manager – Systems will develop the criteria for the design and construction of these systems; monitor the progress; and oversee their impact on the scope, budget, and schedule of the overall project. Qualifications: •

A valid New York State Professional Engineer’s License or New York State

•

Registration as an Architect;

•

Bachelor of Science Degree in Engineering or Architecture; and

•

Ten years of practical experience in an engineering/architectural field, 5 years of which are at the managerial level.

Accountability: •

The Design Managers report to the Program Manager.

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2.3.2.11 CONSTRUCTION MANAGERS Manages the day-to-day construction/operation of the project. Duties include monitoring the work of Quality and Safety Managers, Agency Coordinators, and Environmental Manager. The Construction Manager is the only point of contact for all construction activities. Major Responsibilities: •

Manage the planning, scope, engineering, construction administration and construction oversight inspection to deliver timely, cost-effective, and high-quality projects to designated CPM clients;

•

Establish performance measures with respect to key program area goals of quality, cost-effectiveness, and timeliness; and

•

Primary MTACC representative with outside agencies and community groups.

Qualifications: •

A valid New York State Professional Engineer License;

•


•

Eight years of practical experience in environmental issues and design/construction, 4 years of which are at the managerial level.

Accountability: •

The Construction Managers report to the Program Manager.

2.3.2.12 PROGRAM ADMINISTRATOR Program Administrator is responsible for the management of major aspects of nontechnical administrative actions for the SAS Project. The Program Administrator will provide the Consultant staff with administrative requirements necessary for the project team. Major Responsibilities: •

Manage and supervise the activities of the support staff related to the conceptual design and preliminary engineering phase, final design phase and construction phase services for the final design.

•

Reports to the Program Manager.

Qualification: •

Bachelor’s Degree; and Page 24 of 101


•


Five Years of Administrative Experience. Accountability

2.3.2.13 DIRECTOR COMMUNITY OUTREACH The Director of Community Outreach for the SAS 86th Street Station project will be primarily responsible for the management of the community relations liaisons staffing the SAS 86th Street Station. This will require a close working relationship with the Construction Managers to keep apprised of day-to- day work activities that impact the community. Providing oversight to the four stations area liaisons the Community Outreach Director will be the final voice on all correspondence between the Station Area and the Community. He/She will serve as an intermediary between the community, stakeholders, and elected officials and the Senior Director of Government and Community Affairs for the MTACC. Additionally, he/she will oversee operations of the SAS 86th Street Station Community Information Center as it relates to hours, staffing, and information disseminated. Major Responsibilities: •

Manage community outreach liaisons for all four stations areas that make up the SAS 86th Street Station Responsible for providing timely direction, feedback, and oversight on all written communications between the station area liaisons and the community. This includes, but is not limited to: responses to inquiries and complaints, email notifications, newsletter content, presentations, follow up reports, and update of website content.

•

Serve as a senior point of contact for residents, business owners, stakeholders, community organizations, schools, and elected officials along the Second Avenue Subway Project alignment; educating them on the need and benefits of this project.

•

Serve as the point of contact for MTACC, MTAHQ and the Senior Project Team on community outreach efforts as they relate to the Second Avenue Subway Project. Including preparation of workshop presentation, collateral materials and the formulation and analysis of reports on trending issues for management.

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Qualifications: •

Bachelor of Science Degree in Communications (Or related field), plus seven to 10 years of professional level experience in Public Relations with an emphasis on Community Relations. Experience in Transportation or Construction a plus.

•

Effective written and oral communications skills and;

•

At least three years managing and supervising others and;

•

Must be comfortable with professional speaking and presentations and possess a high level of tolerance to critics and comments by outsiders and;

•

A proven ability to problem solve, multi-task, meet deadlines, and deal with various layers of the community.

Accountability: •

The Community Outreach Director for the Second Avenue Subway Project reports directly to the Senior Director for Government and Community Affairs, MTA Capital Construction.

2.3.3 MTA MATRIX SERVICES The SAS 86th Street Station Team is generally defined as an organizational form using the dual reporting relationship of a matrix structure as shown on the organization chart. Personnel assigned to the project report to the Program Manager regarding work priorities, and to a Functional Manager for issues relating to technical adequacy of work and executive guidance. The Matrix staff permits the integration of technical specialists and firms drawn from various sources inside and outside of the organization. In the case of quality and safety, the matrix positions from MTACC provide support in areas that require independence from day-to-day management activities. Staffing support from NYCT is planned on a regular basis. MTACC provides NYCT with their staffing needs for the major projects. NYCT uses forecast resource requirements and determines if they can provide the support requested. If not, MTACC will use IQ consultants or hire permanent staff directly for positions.

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2.3.3.1 PRINCIPAL ENGINEERS Principal Engineers have technical authority for their respective engineering disciplines including Civil/Structural, Electrical, Mechanical, Signals, Utility Coordination, Architecture, Communications, and Capital Program Support. They are accountable for the quality of work on the project in engineering for scope development, engineering design, construction support, and field inspection for MTACC Project. As part of the Matrix staff, the Principal Engineers have dual reporting responsibilities, one to the Program Manager and one to the NYCT CPM Chief Discipline Engineer. This allows staff to be assigned on an as-needed basis while remaining functionally affiliated. Staff assigned to the project report to the Program Manager regarding work priorities, and to a Chief for the technical adequacy of work. The Matrix permits the integration of technical specialists, who may participate on several individual projects to effectively contribute, along with others, to the accomplishment of the project objective for which the organization is responsible. Major Responsibilities: •

Review, improve, and ensure on-going quality of project scopes and construction documents, including contractor submittals and field changes for an engineering discipline.

•

Direct the development of standards and guidelines for inspection and testing for construction phase of engineering and construction in coordination with operating departments and program areas.

•

Direct the administration and assignment of personnel to one or more program areas for field inspection functions.

Qualifications: •

A valid New York State Professional Engineer’s License or New York State Registration as an Architect.

•

Bachelor of Science Degree in Engineering or Architecture.

•

Ten years of practical experience in an engineering/architectural field, 5 years of which are at the managerial level.

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Accountability: •

The Principal Engineers report to the NYCT CPM Chief Discipline Engineer and Program Manager.

2.3.3.2 RAILROAD OPERATION AND MAINTENANCE MANAGER The Manager coordinates between the NYCT Department of Subways Rapid Transit Operations Division for Second Avenue Subway Operations. This position is matrixed to the project from the NYCT Department of Subways. Major Responsibilities: •

Interface between the PMT, NYCT Departments, and outside agencies.

•

Coordinate system integration, interagency agreements, and coordination of the design review process with the operating railroads and design consultants.

•

Act as liaison to SAS 86th Street Station Project on railroad operation issues.

Qualifications: •

Fifteen years of practical experience in NYCT subway operations and maintenance.

Accountability: •

The Railroad Operation and Maintenance Manager supports the Program Manager and reports to the Chief Officer, Capital Programs in the NYCT Department of Subways.

2.3.4 OTHER MATRIX SERVICES (NYCT AND MTA) MATRIX MANAGERS Matrix Managers (Law, Risk/Safety, Procurement, and Public Relations/Community Outreach) will be assigned to the SAS Project and report to the Program Manager regarding work priorities and to a Functional Manager for executive guidance and advice on technical adequacy of the work. 2.3.4.1 LEGAL MANAGER-ASSIGNED FROM NEW YORK CITY TRANSIT’S LAW DEPARTMENT •

Provide legal opinions and interpretations as needed.

•

Review and approve consultant contracts, modifications, and Certificates of Insurance.

•

Responsible for legal issues. Page 28 of 101



2.3.4.2 SAFETY RISK MANAGER-ASSIGNED FROM METROPOLITAN TRANSPORTATION AUTHORITY’S RISK MANAGEMENT DEPARTMENT •

Provide engineering for field safety and construction stage modification to existing infrastructure.

•

Review the design plans to assure compliance with current safety standards and practices.

2.3.4.3 PROCUREMENT MANAGER-ASSIGNED FROM NEW YORK CITY TRANSIT’S •

Manage project procurement activities and coordinate the technical scope of work developed by the NYCT Design Team into procurement packages.

•

Prepare Consultant Modification during the design phase of the contact.

•

Process Construction Change Orders during the Construction Phase of the project.

2.3.4.4 GOVERNMENT AND COMMUNITY AFFAIRS MANAGER MTACCGOVERNMENT AND COMMUNITY RELATIONS •

ASSIGNED

FROM

Coordinate with community groups and government agencies for the success of the project.

2.4

EQUAL EMPLOYMENT OPPORTUNITY POLICY The MTA/NYCT has developed its EEO policy, which does not discriminate against any

person in employment and/or in access to contracts. Further, it is the MTA/NYCT’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 MTA/NYCT policy, as well as the Federal EEO policy. The Second Avenue 86th Street Station Project EEO policy will adopt the policy of the MTA/NYCT. 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.

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The Second Avenue 86th Street Station Project bases decisions on the individual’s qualification as related to the position for which he or she is being considered. In this regard, rules of conduct are enforced equitably and impartially. 2.5

OVERSIGHT AGENCIES

2.5.1 FEDERAL TRANSIT ADMINISTRATION OVERSIGHT INTERFACE The FTA has established a Project Management Oversight Program to monitor a grantee’s project development and implementation. The focus of this effort is to determine if a project is on time, within budget, and in conformance with the grantee’s approved plans and specifications. This project will adopt the FTA Oversight concept and fully cooperate with the FTA’s Project Management Oversight Consultant (PMOC). The PMT will hold and coordinate periodic review meetings with the FTA and its PMOC. The meetings will comply with the requirements as specified by the FTA in its policies, operating guidelines, and grant agreements. Additional meetings will be scheduled, if required. As part of the Oversight effort, the PMT is required to prepare and submit quarterly reports, which will advise the FTA of all aspects of the project, including: •

The status relative to baseline schedule and budget;

•

Major accomplishments during the quarter and identification of actual or anticipated problems that could lead to schedule delays, adverse budget impacts, or other difficulties;

•

The status of the financial plan;

•

The status of critical project elements and a discussion of corrective actions being taken;

•

The results of cost reduction and value engineering efforts during the quarter and period to date;

•

Information on the eligibility of the proposed use of FTA funds;

•

The status of extraordinary costs for the quarter; and

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•


In addition, and in compliance with ELPEP, the Project holds monthly budget and schedule presentations with the FTA/PMOC as well as monthly risk mitigation meetings.

2.5.2 MTA BOARD The MTA is a member of the New York Metropolitan Transportation Council and maintains close ties with local community planning boards as well as with governments in New York City, the seven surrounding counties, the state capitol, and Washington, D.C. to encourage support and funding of public transportation in the New York metropolitan area. The MTA is governed by a 17-member board. Members are recommended by the Governor, New York City’s Mayor, and the county executives of the outlying New York State counties served by the MTA. The members from the counties of Dutchess, Orange, Putnam, and Rockland cast one collective vote. The Board also has six nonvoting members. These seats are held by representatives of organized labor and the Permanent Citizens Advisory Committee (PCAC), which serves as the voice for users of MTA transit and commuter facilities. All Board members are officially appointed by the Governor and confirmed by the New York State Senate. The operations presently conducted by the MTA through its subsidiary corporations and affiliates include: The MTA is the parent agency of the MTACC. The MTA Board makes all the major decisions of the MTA and its agencies, including approval of the capital investment program. 2.5.3 CAPITAL PROGRAM OVERSIGHT COMMITTEE With the approval of a second 5-year Capital Program in 1986, the New York State Legislature included a provision that required the MTA Board to monitor overall program and project progress independently from the implementing agency. The legislation required that the Board consult with a “nationally recognized transit consultant to provide technical oversight and advice. This Independent Engineering Consultant (IEC) role was established to supplement the oversight role of the FTA PMOC, and to report on both federally funded and non-federally funded projects.

Page 31 of 101



Because of this legislative mandate, a CPOC of the MTA Board was established. The CPOC monitors various capital program actions and activities, including current and future funding availability, contract awards, program expenditures, and timely progress of projects within the programs at each of the agencies. The Committee is assisted by a small professional staff in the Office of Construction Oversight to administer and direct the activities of the IEC quarterly on the progress and performance of the project. 2.5.4 NYCT COMMITTEE The goals, performance, major activities, and procurements of SAS 86th Street Station Project is presented to MTA Board and its Chairperson which is tracked through the NYCT Committee.

3

SAFETY AND SECURITY PROGRAM Section 3 outlines the safety and security measures that will be incorporated into the

planning, design, and construction of the Second Avenue Subway. The goal of this comprehensive program is to ensure the safety and security of the workers and the public during construction and the riders once service commences. It outlines the safety certification process, adherence to codes and standards, and establishment of a Safety and Reliability Program Manual. This section also describes a required Project Safety and Health Plan that assigns responsibility and protocols to maintain a safe environment throughout the project. 3.1

SAFETY, SECURITY, AND RELIABILITY ASSURANCE OBJECTIVES An important requisite of the design is to provide a project that ensures a safe

environment for its workers and the riding public. A program for safety, security, and reliability assurance will consist of a series of activities required during the design phase of the project to meet the safety and security necessary for an operating railroad. The objective of this program is to ensure that: •

All design and construction activities are to be performed in such a way that hazards are systematically identified and corrected;

•

The completed project will meet all requirements for system safety and reliability;

Page 32 of 101


•


The safety and reliability of the project is thoroughly documented by contemporaneous records of hazard disposition compiled over the course of the project; and

•

A complete and satisfactory safety certification document is available at project completion.

NYCT will implement a formal safety, security, and reliability assurance program for the project. This program will govern all project activities by all members of the project team and will include, as appropriate, use of a risk-based management approach and formal safety assurance methodologies, including hazard logging and hazard management; hazard and operability (HazOp) studies; IHA; failure modes, effects, and criticality analyses (FMECA); quantified risk assessments (QRAS); and other measures and procedures. The Design Consultant is responsible for supporting the NYCT with the program evaluation and implementation. The program will address the activities of the consultant, its own team, and all other project consultants and contractors, including the rolling stock manufacturer and the Tunnel Boring Machine (TBM) manufacturer, over the life of the project based upon the overall safety policies and plans to be provided by NYCT, as well as all applicable state and federal regulations. 3.1.1 SAFETY CERTIFICATION A complete and satisfactory safety certification document, supported by operational safety reports, will be available at project completion to support certification of the project for revenue service. During the design phase, the consultant shall ensure that all safety issues are addressed in the final design documents to obtain NYCT sign off. 3.1.2 CODES AND STANDARDS COMPLIANCE Throughout the design process, a NYCT Office of System Safety representative will review the design to assure a compliance with the applicable safety standards and practice. Procedures relating to personnel clearances will be in accordance with NYCT’s Project Management Procedure (NYCT PMP) 110, Safety. The consultant shall execute its work in conformance with safety, security, and reliability assurance program standards and procedures to assure that every element; system; and

Page 33 of 101



aspect, individually and collectively, shall perform during construction; testing; start-up; and operation in accordance with established system safety objectives. During the design, it will be necessary for in-house design personnel and consultants to enter the operating railroad. All such personnel must be trained in the safety procedures, as described in NYCT PMP 110, Safety and certified in the MTA-NYCT’s track safety-training course. As described in Section 3.2, the program requires the development of a safety plan and training, as necessary, to support field activities. 3.1.3 RELIABILITY, MAINTAINABILITY, AND AVAILABILITY The consultant is required to develop detailed system safety and reliability program manuals and procedures for issue as controlled documents for implementation by all project design consultants and contractors. In addition, the consultant is required to: •

Design and implement a computerized hazard logging and disposition database system to be implemented by all project participants;

•

Evaluate and recommend safety and reliability requirements based upon an established risk management approach and application of the “As Low As Reasonably Achievable” principle or other recognized approaches;

•

Develop a detailed system safety and reliability assurance specification for, inclusion in all project contracts for systems procurements and installation or other contracts involving the execution of design services with system implications; and

•

Monitor and review implementation of system safety and reliability program requirements by all project contractors, including design reviews and audits as required. Recommend corrective actions to NYCT where deficiencies are noted.

3.1.4 PROGRAM MONITORING AND UPDATES The consultant and NYCT will monitor implementation of the program throughout the contract, record the adoption and/or amendment of objectives and methodologies, and report the findings.

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3.2


PROJECT SAFETY AND HEALTH PLAN The Team shall maintain a Project Safety and Health Plan addressing safety issues

throughout the project, including requirements to protect workers involved in office and field activities. 3.2.1 CONTENT OF THE PLAN The plan shall address the following to the extent required for a given project phase: •

Office Safety

•

Field Safety

•

Construction Safety

•

Railroad Safety

•

Environmental Safety

3.2.2 RESPONSIBILITY AND APPLICATION OF THE PLAN Each consultant, subconsultant, or contractor will designate an individual to be responsible for the implementation of safety and health requirements within the organization. Each consultant, subconsultant, or contractor will designate an individual to be responsible for the development and maintenance of a safety program consistent with the project Safety and Health Plan. Managers shall be responsible for the implementation of the program, as they relate to their tasks and the personnel under their responsibility. All project members are responsible for the execution of their duties in accordance with the plan. 3.2.3 FIELD ACTIVITIES Field activities include all ventures outside of the office environment including: •

Project Activities Taking Place in a Construction Environment

•

Construction Support Activities

•

Field Investigations

•

Site Walkovers

•

Systems Reviews Page 35 of 101



These requirements, however, do not apply to business travel, and any traveling between offices or locations for non-project-related activities. 3.2.3.1 PLANNING FOR FIELD ACTIVITIES Field activities will require the development of a safety plan consistent with the Project Safety and Health Plan. At a minimum, the plans will address the following: •

Description of Task

•

Identification of Potential Hazards

•

Methods of Protection

•

Required Protocols

•

Required Personal Protective Equipment

•

Required Support Equipment

•

Emergency Response Procedures

3.2.4 OFFICE ACTIVITIES Team members can be exposed to various hazards when working in the office. Some common potential hazards encountered by employees working in an office setting include: •

Physical Hazards Such as Slips, Trips, and Falls

•

Electrical Hazards

•

Lifting Hazards

•

Office Ergonomics including Workstation Design; Chair Configuration; Video Display Terminal (VDT) Placement (i.e., Glare/Eyestrain; Keyboard/Mouse Configuration; and Lighting)

•

Workplace Violence

•

Cuts or Scrapes

The Team will maintain safety and health protocols to control office hazards.

4

PROJECT MANAGEMENT CONTROL It is the responsibility of the SAS 86th Street Team to continuously and closely manage,

monitor, and report the scope, budget, and schedule of the project to ensure that the project progresses in accordance with established agreements. This section describes the systems that Page 36 of 101



are necessary to provide the management team with the proper tools to carry out this task. This section specifically addresses the Management Control Systems for: •

Cost Management

•

Schedule Management

•

Document Control

•

Management Reporting

The Quality Manual Implementing Procedures (QMP) provide detailed methods required to accomplish specific project tasks. 4.1

MANAGEMENT CONTROL SYSTEMS The goal of the Management Control System is to develop a comprehensive framework of

procedures and tools that provides accurate and timely information needed to make sound management decisions. NYCT’s CPM has established and implemented a set of Project Management Procedures and a set of Project Management Guidelines (PMG) for the management and reporting of all capital projects. The NYCT PMPs and PMGs have proven to be highly successful with managing the planning, design, and construction of capital projects. The Management Control System, described here, is intended to identify the system and approach for management of the project consistent with the intent of the NYCT PMPs and PMGs. 4.2

COST MANAGEMENT There are two major components associated with the total project cost that are impacted

during the design phase; these are the cost of the design and the cost of the construction. Although the actual cost of the construction will not be realized until the construction contracts are awarded, it is the design that influences the cost of construction. It is essential that these costs are continuously monitored and controlled throughout the design phase to assure that the project progresses within budget. The fundamental principle of cost management is the establishment of a base plan, which includes an estimated budget for the design and construction costs based on the scope of work. As the design is being developed, the costs of the design and the construction are continuously estimated and gauged against the base plan. Changes in the estimated costs will be reported and actions will be taken to bring the project within budget. Page 37 of 101



Progress and performance will be monitored by comparing actual cost with the period budgeted cost, and actual percent complete with the planned percent complete for the period. 4.2.1 CONTROL OF DESIGN COSTS The budgets allocated for design will be cross-referenced to the deliverables and schedule activities. Expenditures of design costs of each design discipline will be recorded (both monthly and cumulatively), and compared with the design progress of each discipline. The design progress is established by the Design Manager’s evaluation of the percent completion of drawings and specifications, and on the input received at the design teamwork sessions. Any irregular expenditure will be reviewed and investigated during the design work sessions with appropriate actions being taken. 4.2.1.1 ESTIMATING IN-HOUSE PROJECT ADMINISTRATIVE COSTS Each NYCT design discipline will estimate the time and expenses required to review and monitor the preliminary engineering design based on the scope of work. The costs from the Authority support groups such as Procurement, Legal, MTA Real Estate, and Authority Specialty Consultants are considered overhead costs and will not be charged directly to the project. 4.2.1.2 MONITORING IN-HOUSE PROJECT ADMINISTRATIVE COSTS All administrative costs will be recorded both monthly and cumulatively in the Engineering Force Account Report. Each discipline’s Design Manager will gauge the expenditure against the consultant’s expenditure and the progress of the project. Any irregular expenditure will be reviewed and investigated during the design work sessions. The Design Manager will report the findings in the monthly Project Status Report (PSR). 4.2.2 CONTROL OF CONSTRUCTION COSTS DURING DESIGN PHASES 4.2.2.1 DEVELOPING CONSTRUCTION ESTIMATES The Project’s Cost Estimator will prepare the initial estimate based on conceptual design documents. Bid cost estimates will include a budget level allowance for indeterminates (AFI). Construction contingency, NYCT labor costs, and construction administration costs will be estimated as a percentage of the bid cost estimates and adjusted in accordance with NYCT’s experience and historical data on similar projects. Page 38 of 101



4.2.2.2 MONITORING CONSTRUCTION COSTS During PE, construction estimates will be prepared by the Design Consultant for various design solutions and alternatives. The construction bid cost will be estimated based on these designs and updated by the Project Estimator. As the design reveals more construction details, the construction estimate will be revised and updated. Cost escalation in material and labor will be factored into the estimate to the midpoint of the construction period. If any project bid cost estimate exceeds the budget, it shall be investigated to review the nature of the budget overrun. Decisions will be made on whether the increase can be mitigated by alternate design solutions, changes in material, or the deletion of some items. 4.3

SCHEDULE MANAGEMENT One of the most critical aspects of managing a project of this magnitude is to successfully

monitor and control the many complex and interrelated activities that allows a project to be completed on time. The schedule control process is structured to enable the project schedule to be effectively developed, monitored, and evaluated throughout the project life-cycle. The schedule development process entails estimating and integrating the different work activities into the plan with achievable objectives. The activities are derived from the project scope of the work and a defined set of estimates based on the duration of these activities. Schedule control is achieved through continual assessment of the percent completion of these activities. Variances and deviations from the schedule will be reviewed, analyzed, and discussed to identify the problems and/or to implement corrective actions for either revising the schedule or mitigating its delays. The main features of the schedule control system include: •

Using a Work Breakdown Structure (WBS) coding structure to identify logical breakdown of the work;

•

Establishing the schedule and budget baselines;

•

Maintaining a detailed schedule;

•

Loading resources;

•

Updating progress evaluations and schedule; and

•

Updating percent completion and generation of the subsequently revised schedule. Page 39 of 101


•


The project schedule will serve three functions. First, it establishes a benchmark to monitor the progress of the project. Second, during the early stages of the project, it requires the team to plan every activity of the project. Finally, it establishes all the internal and external constraints (e.g., manpower requirements, and inputs from other organizations).

4.3.1 WORK BREAKDOWN STRUCTURE The Project Team has developed a multi-level schedule, which establishes targets and milestones against which to measure progress. A WBS is developed to provide sufficient detail for tracking and subsequent reporting at different levels of the project. In addition to the WBS, an Organizational Breakdown Structure (OBS) is developed showing the levels of management and responsibilities involved in the project. The WBS-OBS is then combined and a responsibility matrix developed in which each detailed work element in the WBS is assigned to an individual within the OBS. This provides the needed single point of accountability for each element. 4.3.2 BASELINE AND MASTER SCHEDULES The preparation of the schedule will be to use multi-level subnets. Reports and information will be tailored to provide the various levels of management with the degree of detail required for the execution of their duties. The Master Schedule will be developed jointly by NYCT and the Design Consultant; support the overall goals of the project; and include a summary of SDEIS, FEIS, and other project milestones. It is updated monthly based on the progress reported through the Detailed Schedule. The Master Schedule provides Level 1 and Level 2 detail from the WBS, providing sufficient detail to allow coordination of all the parties involved in the project. 4.3.3 DETAILED SCHEDULE The Detailed Schedule provides detailed schedule information at Level 3 of the WBS for the project design activities and interfaces between the design teams. A “4-Week Look Ahead” schedule will be prepared in support of the Detailed Schedule. This schedule provides a daily control tool for the Line Managers to prioritize work and coordinate with other disciplines. Page 40 of 101



4.3.4 RESOURCE LOADING After building the schedule, activities in the detail schedule will be loaded with staffing resources, as classified by NYCT, sufficient to accomplish the work described by the scope associated with each activity. Monthly, the Detailed Schedule will be updated to reflect the progress of the work as reported by the Line Managers. The Project Manager will review the schedule to ensure that the work is progressing according to the baseline schedule. Later, the Master Schedule will be updated to reflect the progress of the work as per the latest update of the Detailed Schedule. Based on the accumulative resource requirement generated from the Detailed Schedule, the Staffing Schedule is produced providing time-phased staff assignments to meet the project milestones. The resource plan will be resource leveled to ensure that the profiles of resource usage do not project hard-to- manage peaks and valleys. 4.3.5 PROGRESS EVALUATIONS AND SCHEDULE UPDATES During the project’s life-cycle a “4-Week Look Ahead” schedule will be used to ensure schedule commitments are met. Monthly, the Detailed Schedule will be updated to reflect the progress of the work as reported to the Line Managers. Project Management will review the schedule to ensure that work is progressing according to the baseline schedule. The master schedule is updated periodically to reflect current project goals and conditions. Meetings will then be held with the Design Consultant if any schedule slippage is noted resulting with the project being brought back on schedule. To measure progress, milestones and percentage complete will be used to estimate the value of work accomplished. Through the different levels of the WBS, an internal milestone is identified to define the completion of a group of activities (e.g., completing studies, or completing conceptual design). Accomplishment of any one of these milestones represents a predefined completion value. Likewise, as the work progresses toward a milestone, the progress will be measured based on an estimate of the task accomplished. While this technique is subjective because any value between zero and 100 may be chosen, it requires the project participants to agree on the value

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of the work accomplished to date. In addition, it requires that everyone remain aware of the exact nature of the work to provide a supportable estimate. 4.3.6 REAL ESTATE ACQUISITION SCHEDULE Acquisition of real estate parcels in a timely manner is critical towards awarding construction contracts on schedule. During the preliminary engineering phase, the Design Consultant will identify the real estate required for this project. Periodic meetings will be scheduled to review the status of acquisitions and to assess the impact on the project schedule. 4.4

DOCUMENT CONTROL The maintenance and control of documents and records is an important element of the

project management system to provide the following: •

Control incoming and outgoing correspondence;

•

Maintain “controlled documents,” such as approved drawings, design criteria, and procedures; and

•

Provide retrievability, security, and business continuity.

4.4.1 CONTROL OF CORRESPONDENCE All incoming and outgoing correspondence will be uniquely identified and tracked within the EDMS. This will provide for immediate access to all correspondence. This is achieved as described in the QMPs. 4.4.2 CONTROLLED DOCUMENTS Inherent in their nature, some documents must be the most recent version or revision; this is of paramount importance when the documents are subject to approval. These “controlled” documents must be the latest version and readily retrievable for users. Management of controlled documents is accomplished through: •

Unique Identification

•

Controlled Revision Levels

•

Controlling Distribution

•

Controlling Access Page 42 of 101



Controlled documents are uniquely identified by a number indicated on the document and within the document management system. Likewise, the revision status of the document is also identified on the document and within the system. The EDMS will maintain a list of controlled documents and their status. Another critical element is the distribution of controlled documents. It is imperative that the document is accessible to everyone; nonetheless, the distribution must be controlled to ensure that the most current data is provided. This shall be accomplished electronically. Lastly, to ensure the integrity of the system, access to the document management files shall be limited. This provides for an orderly and accountable system for the addition and removal of project documents and records. 4.4.3 RETRIEVABILITY The availability of documents and records in a timely manner is critical for project efficiency and completeness. Documents will be maintained electronically to the greatest extent possible. All electronic data will be tracked in the data management system and made available within the project office to the Project Team. All hard copies will be maintained in the project office consistent with the project filing system. 4.4.4 DOCUMENT SECURITY Project documents will be controlled to protect them from misuse and potential disclosure to unauthorized persons. This is accomplished by controlling access, distribution, and off-site use. Documents to be controlled include drawings, calculations, reports, specifications, or other data containing key design information. The control measures are carried out through the controlled access of the EDMS and verified by audit in accordance with the Project Quality Assurance Manual. 4.4.4.1 ACCESS CONTROL Access to project documentation through the EDMS will be controlled and limited to those individuals with a demonstrated need for the information, based on their authority and responsibility on the project. Parties external to the project team will be subject to screening Page 43 of 101



measures prior to information dissemination. These measures will include a demonstration of the need for information; owner approval, as required; and the placement of controls on information handling and use. The EDMS inherently provides security protocols for document management and control programs, which are required to protect electronic data. All requests for information or data from an external source will be forwarded to NYCT. 4.4.4.2 DISTRIBUTION CONTROL Distribution of project design information will be controlled through the EDMS distributing, receiving, and maintaining project design information. The EDMS ensures that documents are maintained and protected from unauthorized or inadvertent revision or alteration. 4.4.4.3 OFF-SITE CONTROL The off-site (defined as outside the NYCT, Agency, or Project offices) use of project design information shall be inherently controlled by the EDMS. 4.4.4.4 OFF SITE BACKUP It is imperative that the documents containing knowledge, progress, deliverables, and decisions made on the project are not lost. To ensure the integrity of the data in the wake of an unforeseen event, a back-up system shall be in place. The back-up of critical project documentation is achieved in three fundamental ways. The first is through the processes inherent in the data systems used to manage documents and records. These systems provide inherent redundancy by their structure. At all times, there will be secondary systems, in remote locations, that duplicate the primary systems and allow for an establishment of communications in case of disruption due to an unanticipated event. Secondly, the project will maintain in-house computing capabilities, including the network servers necessary to support the design and communications needs. The data stored on these servers will be exported to an off-site location at regular intervals. Files will be incrementally saved daily with complete replication on a weekly basis at a location sufficiently removed from the primary project location.

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Thirdly, standard protocol for the back-up of hard copies will be implemented. Documents require storage in a paper format only will be copied and sent to the off-site storage location. Access, distribution, and control of these documents will be controlled. 4.5

MANAGEMENT REPORTING The goal of the management report is to communicate to the participants the updated

status of the Second Avenue Subway 86th Street Project, including technical design, cost, schedule, and changes. 4.5.1

REPORTING DURING DESIGN

4.5.1.1 PROJECT STATUS REPORT A monthly PSR will be prepared by the Design Manager to convey to the Project Team and NYCT Senior Management a concise yet informative picture of the overall status of the project. The PSR will be prepared in accordance with NYCT PMP 210, Project Status Reporting System. The PSR will highlight major events among the project activities and accomplishments of the prior month, as well as projecting anticipated work for the following month. Essential information will be conveyed and potential problems will be identified, along with any corrective action taken to avoid schedule slippage or cost overruns. 4.5.1.2 DESIGN STATUS REPORT The Design Consultant will prepare a monthly Design Status Report (DSR) to inform the Project Team on the progress of the design effort. The DSR or Monthly Progress Report includes a summary of project activities, summary schedule information, budget status, and cost summary, as well as cash flow and staffing actuals. In addition, the report provides a discussion of project accomplishments, continuing work efforts, and planned work efforts, including any areas of concern, for each of the key project areas. The summary schedule including progress and critical activities is also provided. 4.5.1.3 EXECUTIVE LEVEL – MONTHLY PROGRESS REPORT The VPPE will issue a monthly high-level summary report, which consolidates the information provided in the PSR and DSR. This report will provide a concise, yet informative,

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project overview. The report will address project schedule and budget issues, significant accomplishments, as well as present and planned work efforts. 4.5.1.4 CONSULTANT EVALUATION The Design Manager will prepare an evaluation report of the consultant’s performance in accordance with NYCT PMP 116, Evaluation of Consultant Performance. The report provides information on the performance of the consultant with respect to the ability to complete the design. 4.5.1.5 SCHEDULE UPDATE REPORT The Project Scheduler will prepare and distribute a monthly schedule status report. The report will consist of a narrative giving a general description of the

progress of the project and highlighting tasks that are behind schedule, activities affected, and overall project delay. 4.5.1.6 CHANGE ORDER AND TREND REPORT The project implements a stringent change control procedure used for the early identification, rapid resolution, and effective management of potential and approved changes to the existing contract. This procedure ensures that: •

Proposed design changes are properly and efficiently identified, defined, recorded, substantiated, authorized or rejected, and closed-out by the Design Consultant.

•

The type and quality of information provided in support of changes is sufficient to make timely informed decisions.

•

The potential effects of proposed changes are properly recorded and reported including the potential impacts to cost and/or schedule.

•

Relevant members of the Project Team are consulted.

•

The Project Team works to approved changes only.

Potential changes are tracked by a Change Coordinator and screened by a Working Committees to ensure that only relevant and necessary changes are considered. Changes that

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are accepted as valid and required by the Design Consultant are documented on a Change Authorization Request Form. The tracking and trending of project costs is a critical part of the reporting process. This includes trending of out of scope work, costs, rate of expenditures, and schedule. This information is used in analyzing the projects progress and any deviations from the plan. As discussed previously, any negative trends are reported including the corrective actions required to address identified negative trends. 4.5.1.7 FTA QUARTERLY MEETING In accordance with FTA requirements, MTA and NYCT management will attend quarterly meetings with the FTA to report on project status issues including status relative to budget, major accomplishments during the quarter, identification of actual or anticipated problems, and grant management status, as well as other key project indicators. The meetings will comply with the requirements specified by the FTA in its policies, operating guidelines, and grant agreements. Additional meetings will be scheduled, as required.

5

RISK MANAGEMENT Risk management seeks to control the uncertainty of loss, efficiently prepare for a loss, and

minimize cost when a loss occurs. The goal is to create an integrated scheme of risk allocation and management that will support the project’s goals for safety, cost, schedule, and quality. Cost risks can include the expected value of payments for losses, the cost of direct expenditures to control risk, the value of foregone activity and the cost of bearing risk. Recognizing that risk is an integral aspect of project management much like cost, schedule, quality, safety, customer satisfaction and environmental protection, MTACC has adopted a risk management methodology on the SAS 86th Street Station as part of its project management implementation. The risk management process, illustrated in the figure below, involves several interrelated functions: Risk Assessment, Risk Mitigation and Risk Management.

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A Risk Management Plan has been developed to identify, evaluate and manage project risk. Risks are grouped into one of the following categories: Health and Safety, Public Liability, Railroad Operations and Cost and Schedule. 5.1

RISK ASSESSMENT Risk Assessment is intended to identify items in the project that can have the greatest

impact to the bottom line cost or have significant impact on time for completion. A Project Risk Assessment was conducted for the SAS 86th Street Station towards the end of the preliminary engineering phase to identify the specific elements of the work that could significantly affect the project budget and/or time for completion and to quantify them based on the best information available. A general overview of the risks to be addressed during the project is listed below. Performance and Quality: This risk is generally assigned to the contractor. It is the owner’s assurance that the construction, installed products and equipment, perform as required by the specifications.

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Schedule and Costs: Risks associated with the schedule and costs are common to both the owner and the contractor. These risks are inherent in any construction project and must be identified, monitored, and controlled aggressively to ensure a successful outcome. Design/Build Risk: In a design/build contract, there is the added risk of incomplete information and intent. Design/build contracts lack a clear and well-defined scope of work, one of the most critical tools in quantifying and mitigating risk. The scope of work is normally embodied in the fully developed plans and specifications not typically available for design/build procurements. A proactive approach in addressing the necessary design information in a timely manner can significantly mitigate these risks. Community Risk: Community risk occurs when a project is being stopped or temporarily delayed because of community action. The effect on the contractor is typical, because temporarily or permanently stopping a major project has a substantial impact on the contractor’s ability to predict and conduct future business. Community risk is shared between the agency and the contractor. While it is clearly MTACC’s responsibility to manage all community outreach efforts and to maintain community support for the project, the contractor’s means and methods greatly affect the quality of life in the neighborhoods surrounding a project, and influence the community’s perception of it. This is clearly an un-quantifiable risk, but it can be managed through the contractor’s adherence to local ordinances and requirements, such as noise levels and access times. Third-Party Coordination: Third-party coordination is a risk element that can adversely affect both the project schedule and its scope. The schedule risk is generated by relying on work performed by firms or agencies that may not be under the control of either the MTACC or the contractor. Such activities can take the form of relocation work being self-performed by utility companies, or emergency work that arises during construction requiring action to be completed by others who are not a direct part of this project. Changes related to scope generally arise from missed interfaces with construction done by other firms or agencies. Unforeseen or Changed Conditions: This is a risk that is shared by both the owner and the contractor. They are difficult to quantify.

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Property Risk: It is the MTACC’s responsibility to provide property access for the permanent elements of the project and to provide property access and easements required for temporary activities, lay-down areas, and staging areas. Property acquisition/property access permission is a critical element of the design activities and failure to gain access to properties to permit the inspection/survey, at the commencement of the project, would seriously impact the project schedule. Project Risk Category Assignments Risk “Owned” by Category

Owner

Contractor

Shared

Performance and Quality Schedule Cost Design/Build Community Third Party Coordination Unforeseen and Changed Conditions Funding Property

5.2

RISK MITIGATION Sound risk management processes include four strategies for risk mitigation that can be

used individually or in combination. They are: Avoidance: Risks are avoided through such measures as site selection, technology selection, design criteria, and monitoring for early risk event detection. Mitigation/Control: Proven programs that help control/mitigate risk include: • Environmental Health and Safety Program. • Security Program. • Quality Program. • Cost and Schedule Control. • Community Outreach Program. • Contract Packaging/Procurement Strategies. • A Risk Management Process as described herein. Page 50 of 101



Retention: Risk retention techniques include payment of losses from current reserves as incurred, deductibles under insurance policies, and pre-funding arrangements through selfinsurance Transfer: When analysis indicates that risk cannot be adequately retained, it is transferred to a party capable of bearing the risk. Techniques include transferring risk by: • Contractual risk transfer through releases, “hold harmless” agreements, and indemnity agreements between project participants • Commercial insurance. For major public works projects such as the SAS 86th Street Station, extensive risk analysis forms the basis for tailored risk allocation provisions in the construction contracts and detailed risk management procedures to be used in administration of the contracts. 5.3

RISK MANAGEMENT Risk Management was initiated on the SAS 86th Street Station project at the beginning of

the preliminary design phase. Throughout preliminary engineering, final design and construction, risk assessments as described above are to be conducted quarterly to include senior members of the MTACC project management team and the PMOC, with supporting input data from the design team and the CCM. Responsibilities for risk management on the SAS 86th Street Station are as follows: • Program Executive – provides direction and support for risk management on the project. • Design Manager/Program Manager/Construction Manager – depending on phase, the DM/PM or CM is responsible for risk management on the project, participates in identifying risk items, delegate’s responsibility for risk items and implements mitigation strategies. • Project Team – provide input data for the quarterly risk assessment and risk management process undertaken by MTACC and the PMOC. • Vice President, Program Controls, Quality, Safety and Environmental – set policy and provides support for risk management functions.

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5.4


RISK REGISTER A project Risk Register (Risk Mitigation Matrix) is prepared by MTACC’s Chief Risk Manager

and provided as a handout for discussion at the MTACC/FTA Bi-weekly meeting. Risk assessments are scheduled by MTACC Risk Manager as required during the design phase. During the construction phase services, the frequency is less, but assessments are scheduled with the MTACC Program Executive as needed.

6 6.1

PROCUREMENT POLICY AND PROCEDURES Section 6 focuses on the development of procurement packages for construction to

achieve project goals. The section also addresses procurement of vehicles and other rolling stock, consultant contracts, affirmative action requirements, and contract modifications. Finally, Section 6 describes the MTACC/NYCT dispute resolution protocols. This section is broken down into the following sub-sections: Procurement Methodologies Procurement of Construction Contracts Procurement Packaging Procurement of Vehicles and Other Rolling Stock Procurement of Consultant Services Affirmative Action Goals Contract Modifications Dispute Resolution 6.2

PROCUREMENT METHODOLOGIES Construction contracting at NYCT, the Contracting Agent, is governed by the provisions of

the New York State Public Authorities Law (PAL) and processed in accordance with NYCT’s Procurement Policy and Instruction Manual. This manual also defines the level and degree of responsibilities required by NYCT to solicit contracts for public works projects via competitive bidding through the receipt of sealed bids. The only exceptions to this requirement occur either if the contract is to remedy an emergency involving danger to public safety or if the MTA Board

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determines that competitive bidding is not practical or in the public interest. The latter is termed “statutory Request for Proposal” (RFP), and permits award of a contract based on “best value,” in which other factors are considered in addition to price. The determination to use either a sealed bid or a statutory RFP for procurement of the packages will be made by MTACC’s Program Executive in consultation with NYCT’s Chief Procurement Officer and MTACC Law and Procurement and will depend upon the scope of work and the contract requirements. Regardless of the procurement method, the contracts will be firm, fixed price contracts to be solicited by public advertisement. In the case of sealed bids, awards will be made to the lowest responsive, responsible bidder for each contract. In conformance with the PAL, construction contracts will be solicited by the most appropriate of three methods: traditional design/bid/build—a competitive sealed bid with a full design; statutory RFP—a competitive negotiation with a full design; or statutory RFP/design/build—a competitive negotiation of a design/build contract. The last two procurement methods will require the approval of the MTA Board prior to the start of the solicitation. The decision on contract method will be made by MTACC’s Program Executive in consultation with NYCT’s Chief Procurement Officer and MTACC Law and Procurement. Decisions will be made in the best interest of the MTA with consideration for Project schedule requirements as defined by the Project Scheduler. The decision as to which contract method to be used is a material decision that may have significant impact on the Project, and as such, may require a Risk Based Decision Making process (RBDM). All decisions with respect to the alternative procurement method (other than sealed bids) and contracting methods are to be completely documented and placed in the Project’s EDMS. 6.3

PROCUREMENT OF CONSTRUCTION CONTRACTS The process for awarding major construction projects starts with environmental research,

documentation and approval, proceeds to engineering and final design, and culminates with a procurement package for solicitation. Agencies have traditionally followed this approach because it was the safest way to award public contracts under federal guidelines. The keys to an early award of a successful contract on this project can be summarized as:

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•


Industry Outreach; If necessary, outreach will generally be done well before the solicitation.

•

Sealed Bid Procurement - conventional design/bid/build Invitation for Bid (IFB) contracts;

•

Multi-Step and Single-Step Procurement Approach - design/build (2 Step) and full design (1 Step) statutory Requests for Proposals (RFP);

6.4

•

Technical Proposal Evaluations (RFPs); and

•

Effective Award Scheduling

PROCUREMENT PACKAGING The goal in packaging the contracts is to minimize the critical interfaces and create a

reasonable sequence of construction. Another goal is to develop construction packages that are reasonable in size and include similar work to maximize competition and minimize management complexity. A third and critical key to maintaining an aggressive schedule is to package work to avoid site access conflicts between contractors, and the associated schedule delays that cascade from one contract to another. Critical packaging decisions will minimize the risk of schedule interfaces and help guarantee MTACC/NYCT’s ability to maintain an aggressive schedule. 6.5

PROCUREMENT OF VEHICLES AND OTHER ROLLING STOCK Procurement of vehicles and authority furnished rolling stock will be performed and

managed by NYCT. 6.6

PROCUREMENT OF CONSULTANTS CONTRACTS Contracts with support consultants may be required to provide additional and specialized

expertise. Consultants paid using federal funds shall be solicited in accordance with the procedures of the “Brooks Act,” which mandates that proposals be ranked based on technical merit. A Selection Committee consisting of NYCT and MTACC representatives from various departments will select the consultants deemed to be in the competitive range based on evaluation of the written technical proposals, oral presentations and interviews, utilizing preestablished evaluation criteria. Negotiations will then be conducted with the top-ranked firm, Page 54 of 101



and if they are not successfully concluded, will be conducted in sequence with the technical ranking. The contract will be cost plus fixed fee with a not to exceed amount and will be placed in accordance with the Procurement Policy and Instruction Manual. 6.7

AFFIRMATIVE ACTION GOALS The MTA Department of Diversity and Civil Rights establishes the affirmative action goals

for both consultant and construction contracts, within the parameters of State and Federal guidelines that require that third party contracts be procured by free, open and unrestricted competition. 6.8

CONTRACT MODIFICATIONS Contract modifications will be made, as necessary, to ensure that work progresses

consistent with the established scope and contract terms. 6.9

DISPUTE RESOLUTION Undertaking and successfully completing a project of the complexity and size of Second

Avenue Subway requires the development of effective working relationships among the contractors, key subcontractors, consultants and MTACC/NYCT to promote cooperation and trust, and to achieve common and individual objectives on a non-confrontational basis. The object of disputes resolution as described by this sub-section is to initiate actions, which will mitigate conditions that may result in disputes and claims submitted by the contractor in relation to/or on behalf of construction, equipment, and materials contractors and suppliers. In addition, this sub-section addresses resolution of disputes should these issues become irresolvable by the change order process. The contract format has a standard dispute resolution clause which assigns the responsibility of settling the claims to the Chief Engineer; however, on a case by case basis this clause may be altered during the contract solicitation by decision of the Program Executive, NYCT Procurement and MTACC Law and Procurement to assign an alternate dispute resolution process. A typical alternative to the standard article is to utilize a non-binding Dispute Resolution Board (DRB).

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A Dispute Resolution Board (DRB) is responsible for the Claims Resolution program which includes Claims Avoidance, Claims Management, Dispute Resolution, and Litigation/Mitigation. The Dispute Resolution Board will be composed of three neutral members, one selected by MTACC/NYCT, one selected by the contractor, and a chairperson to serve as a voting member and an administrator. More info on the process will be added later. To achieve these goals, MTACC/NYCT encourages the use of partnering techniques during the Contract. Partnering and team-building workshops have been held periodically as described in the next section. 6.10 RESOLVING DISPUTES IN ACCORDANCE WITH THE DISPUTE RESOLUTION BOARD (DRB) All Disputes will be initiated through a written submission referred to as the “Dispute Notice” within the time specified in the Contract or if no time is specified, within 10 days of the determination which is the subject of the dispute, including potential claims. Action Logs will be kept for all claims. Within 10 days, the party initiating the Dispute must provide all evidence in support of the party’s position. Within 30 days, the party against whom the Dispute Notice was filed will submit all pertinent materials. Upon submission, either party may request that the DRB provide informal non-binding mediation to reach a settlement of the dispute. If mediation is unsuccessful, the DRB will render its decision in writing and deliver a copy to the parties within a reasonable time not to exceed 60 days. At all times during the Dispute resolution process, the contractor will proceed with the work diligently, without delay, in accordance with the contract, and as directed by the Construction Manager. The Contractor will continue to comply with all provisions of the Contract and will be entitled to timely payment of all Applications for Payment, to the extent the payments do not involve the dispute. When there is a dispute concerning whether critical path work falls under the contract, the contractor will be directed to continue work but daily time and material records will be kept for all the work in dispute. If a decision is made in the Contractor’s favor an additional work order will be negotiated. If the work is complete at this point, the AWO will be based on audited daily time and material reports.

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At any meeting on a dispute that includes one or more subcontractor claims, the Contractor will require each subcontractor to have a cognizant and authorized representative present to assist in the presentation and to answer questions raised by MTACC/NYCT.

7

DESIGN PROCESS The Design Consultant will undertake the design phase with multidisciplinary teams

providing designs that meet the project objectives and the various targets of quality, cost, and time. Design management and planning is accomplished through the project management control elements as described in Section 4. 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. Specifically, how they will interact with the construction staff, along with the designers, to identify potential cost savings. 7.1

PROJECT DESIGN CRITERIA The design criteria for the project will be obtained from several sources and are noted

below. The design team shall assess all those criteria and then produce documentation that is specific to the various elements of the project. The consultant shall ensure that all safety issues are addressed in the design documents. 7.1.1 NYCT REQUIREMENTS NYCT will have design requirements for the project, which will include: • Project Objectives • Operating Requirements • Functional Requirements • Operational and Maintenance Preferences • Existing Design Standards and Guidelines 7.1.2 CODES AND STANDARDS The design team shall review all relevant NYCT, city, state, and federal codes and standards and select the most appropriate design criteria for the project. Page 57 of 101



7.1.3 APPROVAL IN PRINCIPLE The Design Team will consolidate the criteria for the project in Approval in Principle Reports, 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 • Codes and Standards • Client Requirements or Preferences • Previous Experience • 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. 7.2

BASE CASE SCHEME The design work shall follow the base case approach; where all members in the team shall

work upon a single design scheme. Only approved options and alternates shall be considered, and, if appropriate, incorporated into the scheme; thereby updating the base case scheme. During the design process, a series of risk and value engineering workshops will be undertaken that will identify the risk and opportunities within the base case scheme. These issues shall be recorded into registers and assessed by the team to identify any appropriate action to be taken towards mitigating the risk and optimizing the design.

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7.3


DESIGN CONTROL Design control is maintained through a system of document control, interface control, and

the review and approval processes. The use of controlled design documents, in the form of drawings; plans; calculations; specifications; reports; etc., provides a standard method of controlling design input and output information. These documents are maintained in accordance with the document control system described in Section 4. Other key elements, such as interface control, review processes, and design change control, are described further in the section. 7.4

COMMUNICATION BETWEEN DESIGN GROUPS AND ISSUES RESOLUTION Through the establishment of Working Design Committees, the team has established 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 NYCT 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. 7.4.1 WORKING DESIGN COMMITTEES The team has established Working Design Committees to provide a center of knowledge and core group of expertise in various technical project areas. Design Committees have been established in each of the following technical areas: • Stations • Systems • Infrastructure • Utility Task Force • Environmental • Real Estate Acquisition

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7.4.1.1 DESIGN COMMITTEE COMPOSITION The Stations Committee is co-chaired jointly by senior technical representatives from both NYCT and the Design Consultant and comprised of a total of approximately 20 representatives. The Systems Committee is co-chaired jointly by senior technical representatives from both NYCT and the Design Consultant and comprised of a total of approximately 20 representatives, over two thirds of which are from NYCT. The Infrastructure Committee is co-chaired jointly by senior technical representatives from both NYCT and the Design Consultant and comprised of a total of approximately ten representatives evenly divided between both organizations. The Utility Task Force is co-chaired jointly by senior technical representatives from both NYCT and the Design Consultant and comprised of personnel from both organizations and utility company representatives.

The Environmental Committee is co-chaired jointly by senior technical representatives from both NYCT and the Design Consultant and comprised of a total of approximately ten representatives evenly divided between both organizations. The Real Estate Acquisition Committee is chaired by senior technical representatives from NYCT and comprised of a total of approximately five representatives from MTA, NYCT, and the Design Consultant. Note that these compositions reflect current project needs. The groups will be adjusted in composition to meet on-going project activities and the need for on- going coordination and interface. 7.4.1.2 DESIGN COMMITTEE FUNCTION The Design Committees shall meet on a regular basis, typically everyone to two weeks, to go over all key design issues relative to their area of responsibility. These meetings typically include a discussion on the status of design, as well as design decisions regarding function, location, design criteria, key decisions, areas of discussion, and open items. This provides an opportunity for all involved parties to have timely notification of decisions and discuss options and alternative approaches. This is also a key means of NYCT Page 60 of 101



providing input on their needs and expectations, as well as providing a forum for discussing the operational and maintenance needs of the project. These Design Committees are the primary decision-making bodies on day-to-day technical decisions. Over the course of the project, however, there will be many instances where decisions must be elevated to a higher level. In those cases, the issues will be forwarded to the PE Technical Advisory Committee (TAC) or the EIS Senior Steering Committee, as appropriate. 7.4.2 PE TECHNICAL ADVISORY COMMITTEE AND EIS SENIOR STEERING COMMITTEE The Preliminary Engineering Technical Advisory Committee is comprised of the NYCT Program Executive, Program Manager, and other senior management representatives from NYCT, as well as well as the Design Consultant Project Manager, Deputy Project Manager, and Director of Project Management. This committee is responsible for collectively evaluating technical proposals, suggestions, or significant issues requiring resolution. The committee will then make recommendations to the Program Executive who is ultimately responsible for the project decisions. The Environmental Impact Statement Senior Steering Committee is comprised of senior management representatives from NYCT, the Design Consultant, and the EIS Consultant, who is responsible for collectively evaluating issues that potentially impact the DEIS or EIS and making recommendations to the Program Executive. The common members of these two senior committees will ensure that relevant issues are addressed, as appropriate, within each committee. 7.4.3 EXPEDITIOUS RESOLUTION OF DESIGN ISSUES The Program Executive is responsible for all aspects of the project. The Program Manager is responsible for the day-to-day activities of the project and regular interface with the Design Team. The PE TAC was formed to have senior representatives with a common goal of advising the Program Executive and Program Manager on technical issues and have a forum for discussion and input with various points of view. All significant design issues, including changes to the design baseline, will be brought up through the Design Teams for discussion and resolution. Those issues that cannot be addressed

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by the Design Teams or when conflicts arise shall be brought up to the Senior Technical Committees for evaluation and a recommendation for resolution. 7.4.4 MONITORING DESIGN COMMITTEES The PE TAC monitors the efforts of the Design Committees to ensure that decisions are made in accordance with their responsibility and the overall goals of the project. Members of the Senior Committees participate in the Design Teams, as appropriate, to monitor their activities and ensure efforts are being carried out in accordance with their responsibilities. 7.5

DESIGN REVIEW PROCESSES Design Reviews 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. 7.5.1 REVIEW SYSTEMS The pro-active review systems are developed to assist engineering in controlling the design process. These system 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 (crossdiscipline).

•

Review schedules by deliverable, including early, interim, and final reviews.

•

Creation of project-specific checklists for reviews, both within discipline and crossdiscipline.

7.5.2

STANDARDS AND CRITERIA REVIEW •

The review process used during design will begin with the: Page 62 of 101



•

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.

7.5.3 DESIGN REVIEWS Design reviews will be conducted for both individual disciplines and for multidisciplinary 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 to the in-process steps, the project conducts high-level design reviews, independent reviews, and peer reviews at critical project junctures. During preliminary engineering, detailed reviews of the prototype designs for the first elements will be conducted, both by the consultant and NYCT. Given that many engineered solutions repeat in some form in the design in various permutations, it is critical that commentary be provided at an early stage so that subsequent work is produced effectively. Study Group and discipline leaders will compile lists of the elements that require prototype review both initially and as the job progresses. Elements that have already been identified for early prototype reviews are: • First station designs by type • First tunnel segment designs by type/soil condition • First underpinning solutions at entrances by type/soil condition Reviews will also 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 issue tracking system. The system works to keep all interface disciplines

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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. 7.5.4 CONSTRUCTIBILITY REVIEWS The Team will participate in or conduct constructability reviews at various points in the design process. Participation may include support to a separate NYCT review process or may be the actual conduct of the review, as directed by the NYCT. It is anticipated that constructability review, as with value engineering, be done early in the project design phase (i.e. prior to the 30 percent level). This is the point in time at which there is the greatest opportunity to achieve benefits in quality, cost, and time savings. It also needs to be introduced during the intermediate and final design process as design details are developed. Each constructability review will be formally documented with all comments, recommendations, alternatives proposals, etc., incorporated together with the proposed response by the Design Team. The Design Consultant constructability review personnel will be in the project office with the Design Team and the Project Manager. They will function as an integral part of the team from the beginning of the design effort, serving as advisors who offer an owner’s view of the project. This eliminates the hand-off from design to construction that occurs in most traditional projects. The construction personnel add value and enhance efficiency from the earliest stages of concept development. The construction staff is an integral part of the team, acting as key resource personnel supporting the Project Manager. They will participate in all the in-house quality reviews, bringing the construction perspective to each design element. This on-going direct participation by experienced New York City construction experts will ensure that the issues of constructability, maintainability, and durability are thoroughly addressed during the design process and reflect the realities of the New York City construction and labor market. 7.5.5 BIDABILITY REVIEWS In addition to analyses of constructability, it is extremely important that documents be reviewed for biddability. Near the end of final engineering, the bid documents, consisting of plans; specifications; general and special conditions; and addenda, will be reviewed by the team to determine that all required permits and approvals have been obtained, and that the

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maximum potential for Disadvantaged Business Enterprises (DBE) and local labor participation have been addressed. 7.6

DESIGN QUALITY OBJECTIVES The quality objectives for design include: • Ensuring consistency with codes and standards • Meeting project objectives • Ensuring a minimum level of quality in the presentation of design output documents • Ensuring consistency and accuracy Consistency with codes and standards is achieved through the establishment of design

criteria and the implementation of the design control process to ensure that established requirements are being met. This is achieved through the review and validation process inherent in deliverable preparation and the independent review process. Project objectives are met through adherence to the base case scheme and the approved design criteria that is developed consistent with the original overall project objectives. As described above, any changes to the base scheme or criteria are subject to review and approval. The project procedures and guidelines provide a consistent baseline for the presentation of design outputs. A formal review and approval process is required for all design output documents to ensure that the quality objectives for presentation are met. In addition to the checks inherent in the design output generation processes, the project also conducts independent reviews of key project data as well as audits and surveillances to ensure that the design process is being adhered to and consistent with established requirements. 7.7

DESIGN CHANGES Changes to the design will be identified, tracked, reviewed, and approved prior to their

implementation. The process will consider the status of the design and construction efforts in making design change decisions. Necessary interfacing organizations and disciplines will be coordinated to ensure the design outputs are consistent with the original and existing design

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elements. The methods used to achieve design changes will be consistent with those used for the original design. 7.8

COMPUTER-AIDED DESIGN AND DRAFTING A CADD management system will be implemented to simplify document organization and

access. The system provides ready access to critical project information while maintaining strict controls on configuration. The CADD management system will accomplish the following: •

Grouping of documents by specific tasks, discipline, or design phases.

•

Easy-to-access profile information.

•

Document search capability.

•

Consistent layout, numbering, format, title block, style, drawing types, drawing scales, and drawing folios/volumes for all documents that are produced throughout the project.

The CADD requirements are described in a CADD Manual providing the details of its efforts including the means to control in-process design files, line weights, borders, standard detail items, signature blocks, back-checking processes, CADD file numbering, drawing numbering, colors, layering, etc. 7.9

GEOGRAPHIC INFORMATION SYSTEM GIS will implement and establish a coherent and simple operating manual, integrate the

system into the project, and simplify existing document organization and access. The system provides ready access to existing project information while maintaining strict controls on configuration. GIS will accomplish the following: •

Making all existing data available to all team members either thru the Intranet or Internet

•

Furnishing easy-to-access information.

•

Providing data search capability.

•

Developing and layering data graphically into maps

•

Establishing user-friendly features Page 66 of 101


•


Being capable of seamless integration with other systems

The GIS requirements are described in a GIS Manual providing the details of its efforts including: • The means to control input and ownership of data • Incorporation of data from the numerous written, oral, and electronic sources • Data checking for accuracy • Security • Retrieval of information, etc. 7.10 ENVIRONMENTAL MANAGEMENT SYSTEM An EMS will be established allowing both strategic and local environmental management issues to be addressed. The goal is to ensure that environmental responsibilities are clearly defined and that during the design and EIS development phases potential problems are corrected at the outset rather than initiated afterwards. The EMS will consider and be compatible with the NYCT’s ISO 14001 system. Given the overlap in requirements between the elements of ISO 14000 and ISO 9001, the program will consider and utilize existing quality program elements, where appropriate, to achieve the established goals of the EMS program. This will provide for consistent application and use of the existing management tools. 7.11 VALUE ENGINEERING VE is a formal process of assuring that the final design is such that the Second Avenue Subway Project is designed and built in an efficient manner. The process aids in understanding the implications and any changes of the design requirements. Value engineering workshops will be conducted at various stages of the project including after the completion of the conceptual construction cost estimate, interim preliminary engineering milestone, and completion of preliminary engineering. Value engineering will be achieved through a series of workshops that typically range in length from 1 to 2 weeks. The sessions may be broken down by system, segment, phase, or structure to facilitate the review. The workshops will be led by an experienced facilitator and

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will consist of constructability and multidiscipline reviews with participants that are knowledgeable with the SAS 86th Street Station design. Initially, the reviews will be conducted within a group and then expanded to provide an independent point of view. Each workshop will generate a list of VE items that will be prioritized, evaluated, and grouped into those issues that can either be immediately acted upon, need further study, or will not be acted upon. The process will help determine the difference between fundamental client criteria and those that may be changed to enhance the value of the project. This will be accomplished with NYCT to assure that the overall project goals are not degraded. The VE items will be predicated on cost versus amount of effort to revise the design and/or cost savings associated with construction with emphasis regarding design and construction time constraints. Upon agreement of a change because of a VE review, the associated affected design documents, including calculations, drawings, specifications, and design criteria, will be revised as appropriate in accordance with the design control program. The Design Consultant will support the VE consultant retained by NYCT to provide inprogress drawings, design information, and other relevant data. The consultant will participate in the introductory sessions and provide complete responses to VE proposals and suggestions.

8 8.1

FUNDING, COST MANAGEMENT AND CONTROLS FUNDING AND GRANT MANAGEMENT

8.1.1 MTA CAPITAL PROGRAM MANAGEMENT The New York State Public Authorities Law and State Finance Law authorizes the Metropolitan Transportation Authority to undertake and finance projects for the benefit of the MTA operating agencies. New York State statutes also provide dedicated operating and capital funding streams to the MTA. The MTA is the grantee and recipient of federal funding, state grants and other state and local funding, and is empowered to issue bonds, notes, or obligations and raise revenues through a variety of financing methods. State statutes govern investment activity covering all operating and capital funds, including bond proceeds and bond resolutions.

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The Transportation Systems Assistance and Financing Act of 1981 requires that the Authority submit to a state review board known as the MTA Capital Program Review Board (CPRB) for its approval, successive five-year capital programs, initially commencing on January 1, 1982. The MTA has been preparing and implementing five-year capital programs for over 25 years. 8.1.2 FEDERAL TRANSIT ADMINISTRATION (FTA) The primary funding for the Fulton Street Project comes from a $4.55 billion-dollar grant committed by FEMA and FTA. The funding was designated for building and improving Lower Manhattan Transportation infrastructure damaged during September 11, 2001 WTC attacks. Federal funding for the SAS 86th Street Station Project is provided under the “2002 Supplemental Appropriations Act for Further Recovery from and in Response to Terrorist Attacks on the United States,” which appropriated $2.75 billion to the Federal Emergency Management Agency and $1.8 billion to the FTA. The FTA is the lead federal agency responsible for administration and oversight of these combined federal funds (Recovery Funds). The FTA tailored and streamlined the project delivery system for SAS 86th Street Station Project by using Construction Agreements (CA) to identify the projects’ final scope, schedule, and budget prior to initiation of construction. The CA replaces the Full Funding Grant Agreement (FFGA) typically used on FTA funded “New Starts” projects. In addition to providing the federal financial assistance to the MTA made available under Public law 107-206, the Construction Agreement set forth terms and conditions related to the management of the project, the manner the federal funding would be released to the MTA, and the MTA’s obligation to complete the project. A Baseline Cost Estimate (BCE) was set forth in the Construction Agreement for the FTA to use to monitor the MTA’s progress with the project. The MTA submits periodic cost reports in a format consistent with BCE. Anytime the MTA determines that the cost of a Project Unit may exceed the amount approved by the FTA, the MTA must take appropriate measures to curtail costs by reviewing alternative means for maintaining the approved budget. Otherwise, the MTA must provide a Recovery Plan to the FTA to demonstrate the MTA is taking reasonable measure to recover the difference between the approved and estimated cost.

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The administration of the SAS 86th Street Station Project Federal grants NY-43-0001 (LMRO) and NY-96-X004 (ARRA) are coordinated among the MTA Capital Program, Grants Management and Revenues Departments and the MTACC SAS 86th Street Station Program staff in accordance with FTA circular C5010.1C. As the Grantee, the MTA provides support services to MTACC by managing the grant application and administering the accounting of the grant funds, whereas the MTACC manages the SAS 86th Street Station project. The MTA Office of the comptroller submits payment vouchers to the Federal Treasury department to drawdown grant funds. Quarterly Financial Status Reports are submitted to the FTA. Contract packages with ARRA funding are segregated from LMRO funded project costs for tracking and reporting purposes. ARRA specific requirements are being followed for ARRA funded contracts that include reporting milestones and jobs 10 days after the close of the quarter. The SAS 86th Street Station project has four contracts fully funded and one contract in part funded by ARRA. The ARRA funding provides almost 30 percent of the total SAS 86th Street Station project. See Section 4.2.8 for further information on ARRA. MTA Capital Program and MTA Capital Construction work closely to assign funding to the FSTC project Activity Line Items (ALI). A Grant Budget Revisions is requested by the MTA for any changes within the scope of the original grant including the transfer of funds between ALI within the approved grant, and the addition or deletion of an activity. A Grant Amendment is required when proposed changes would materially alter the objective of the project or require an increase in the federal funding. The MTA Grant Management Department coordinates and directs the data entry into the FTA TEAM system. In compliance with FTA circular 5010.1C, Federal Grant NY-43-0001 will be closed within 90 days after all federal funding has been expended or all activity lines in the grant are closed. 8.1.3 CAPITAL PROGRAM MANAGEMENT PROCEDURES AND GUIDELINES MTACC follows well defined protocols for structuring capital projects, funding, budgeting, cost control and financial reporting. To effectively manage capital projects, a uniform and comprehensive set of policies, procedures and guidelines address virtually every aspect of a project life-cycle from planning and design through construction and closeout. Program Management Procedures (PMP) defines policies and the related procedure that implement that policy. Program Management Guidelines (PMG) provides details on how to support the Page 70 of 101



mandate of the PMP. All PMP and PMG can be traced directly to standards and criteria set forth by the relevant FTA regulation and circulars. Individual PMP/PMG’s are continuously revised and updated, and are available to all MTA employees through the MTA intranet TENS portal http://tens.nyct.com/ and are distributed by CD ROM to off-network sites. The SAS 86th Street Station Project budget and funding is managed through the MTA’s FiveYear Capital Program in the Impact system and integrated into the MTA’s overall financial management system PeopleSoft. The PSR (Project Status Report) system, linked to the Impact and PeopleSoft, is used by MTACC/NYCT to manage and report on project status including budget, schedule and design/construction progress. The MTA financial system provides commitment, obligation, expenditures and funding information and is used for cash management. Other systems are derived from these MTA primary information systems, such as the Authority’s Management and Information Tools System (MITS) which is used for manpower planning, cost control and other purposes. All payments are processed through the MTA and NYCT comptrollers. 8.1.4 REPORTING STRUCTURE The MTACC account structure uses a standardized framework for the project work breakdown structure, management reporting and project controls defined in Tables 4-3, 4-4, and 4-5. The SAS 86th Street Station Project budget and reporting in Impact and the PSR Systems reflects the work breakdown structure developed in the contract packaging plan using eleven major construction contracts, and other project activities such as design and real estate. The SAS 86th Street Station Project originally conceived as six contract packages, was later consolidated into four. Subsequently, the fourth and final package has been repackaged into eight separate construction contracts. 8.1.5 COST MANAGEMENT AND COST CONTROL Cost management includes the preparation of estimates, budgets, annual commitment plans, analysis of cost trends and estimates at completion. Cost control occurs during both design and construction. In addition to the major construction contracts, several major cost categories are tracked and analyzed monthly across the major contract packages including design, construction management, TA Labor and utilities. All invoices (contractors, designers, Page 71 of 101



and consultants) are reviewed by MTACC staff prior to submission to Capital Payments for processing. Force Account invoices and work are reviewed and monitored by MTACC staff. 8.1.6 CONTROL OF COSTS DURING DESIGN As the SAS 86th Street Station Project design was developed, the cost of both design and construction were continuously monitored. Many modifications to the consultant design contract increased both the cost of design and construction. This includes additional requirements requested by other agencies. Expenditures by the design consultant and in- house design staff are monitored monthly and gauged to the project progress. The extended duration of both PE and Final Design affected the cost of both in-house and construction. Construction cost estimates were developed and monitored throughout the design phase and issued at each phase of design, conceptual design, preliminary design and final design. The bid estimate and budget are refined during final design by the project estimator in accordance with PMG 201. Estimates for other project cost are developed based on the scope of work and include Construction Management, TA Labor, and Utilities. Changes in estimated contract costs were identified throughout design and adjustments taken to keep the project within budget. Value engineering was performed several times over the course of the project to identify items of potential significant cost savings. 8.1.7 CONTROL OF COSTS DURING CONSTRUCTION Construction Costs After the award, each contract “bid” and “contingency” budgets are revised to reflect the award value. During construction, the contractor’s costs are monitored monthly using the established detailed cost breakdown and associated schedule. For progress payments the Construction manager’s office verifies actual progress in the field prior to the issuance of payment authorization. Unit item costs, change orders and other project costs such as construction management, TA Labor and utilities are also considered. Additional work orders are forecasted monthly and reported.

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Design Costs The designer’s cost will be monitored monthly by the Design Manager utilizing cost breakdowns and review of invoicing versus budgeted value for the design services. Cost implications of design changes during construction are determined as part of the Additional Work Order (AWO) process. Construction Management Construction management costs are estimated at the completion of design based on staffing plans for the program office, construction management and support services in accordance with PMP 326. Monthly charges including subdivisions are reported through MITS and reviewed. Adjustments to the spending plan or the estimate at completion are routinely made to reflect projections. TA Labor Costs A TA Labor budget is developed during the design phase for each contract in accordance with PMG 327 Preparation of TA Labor Cost Estimates and PMG 324 Preparation of TA Labor Occasions Estimates. The estimate is based on the project scope of work includes the number of General Orders, work trains, construction flagging, access and protection, inspection and busing. The number of occasions is defined in Section 1D of the contract specifications. The construction manager is responsible for controlling the TA Labor services throughout the contract (see PMG 331 Control of Occasion/Occurrences of TA labor and support Services), and must reconcile the use of TA Labor Services with the contractor monthly. Real Estate The acquisition of several real estate parcels and easements were required to build the SAS 86th Street Station Project. The relevant requirements, processes and procedures are defined in the FSTC Real Estate Acquisition and Management Plan. MTA Real Estate estimates the acquisition cost of individual properties and the total real estate cost for the project. The MTA Director of Real Estate approves the compensation package for each property. The Board must approve all real estate acquisitions. See Chapter 17 of this PMP for more details.

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9 9.1


SCHEDULE MANAGEMENT AND CONTROLS CONTRACT SCHEDULES

9.1.1 CORRESPONDENCE AND COLLABORATION Correspondence to the contractor from the project scheduler regarding acceptance or rejection of all CPM schedule submissions is sent via the CM. The CM issues to the contractor all decisions and comments. CM also forwards all schedule submissions and correspondence upon receipt from the contractor to the project scheduler to confirm that the project requirements are met. The project scheduler and CM collaborate daily to ensure accurate and proficient upkeep of the schedule. The project scheduler, shall attend job progress review/update meetings, function as part of the integrated project team. Schedule Coordination: Project Controls obtains updated schedules from various contractors and MTACC management including CMs, DMs, and procurement on a regular basis, which are reviewed for potential coordination conflict. Issues are discussed with contractors and management staff to rectify. Unresolved issues are brought to the Program Manager and Chief Scheduler for resolution. 9.1.2 PRELIMINARY AND BASELINE CPM SCHEDULES The CPM Schedule is to accurately represent the contractor’s plan for the timely completion of all the work within the contract limits including but not limited to design, interim milestone agreements, submittals, approvals, procurement, delivery, manufacturing, critical materials and equipment, construction, testing, weather allowances, interface with other contractors, utilities, change orders, phasing, final acceptance and major equipment testing. The Preliminary CPM Schedule defines the contractor’s planned activities for the first 90 calendar days, and is submitted concurrent with a presentation within 10 working days from Notice to Proceed, and includes a summary of the balance of work to be performed. Review and acceptance of the preliminary CPM schedule is conducted by the project scheduler within five working days of receipt. The contractor has two working days after comments are received to address and resubmit a corrected preliminary CPM Schedule. A conditionally accepted preliminary CPM schedule will be updated monthly until a baseline CPM schedule is accepted. Page 74 of 101



The Baseline CPM Schedule defines the contractor’s entire scope of work and is to be submitted concurrently with a presentation from the contractor within 30 working days from the Notice to Proceed. Review and acceptance of the detailed CPM Schedule is conducted by the project scheduler within 20 working days of receipt. Within five working days, the contractor must resubmit a corrected detailed CPM package. The review and submittal process will occur until the detailed CPM schedule is accepted as a baseline schedule per the Contract Specifications. 9.1.3 MONTHLY UPDATES The monthly schedule review/update meeting is to be held within the first week of each reporting month to obtain joint agreement on progress and discuss schedule-related problem areas. This meeting is to be attended by the CM, project scheduler, and contractor’s project manager and project scheduler. The contractor shall provide to the CM, with two sets of the activity list (Contract Specifications Section 1D) 2 days prior to the monthly schedule review/update meeting. This activity list will be forwarded to the project scheduler for review with CM/CCM staff to ensure that the review/update meeting occurs efficiently. The monthly update of the CPM schedule is submitted by the contractor to the CM on the 3rd working day of the month following the reporting period incorporating the agreed progress. The project scheduler will review the Monthly Update and the Detailed Cost Breakdown (DCB) Cross Reference Register (in Excel) and respond within three days of receipt from the contractor. If comments are issued, the contractor must resubmit a corrected Monthly CPM package within two working days. It is the CM responsibility to forward a copy of the monthly DCB (in Excel) to the project scheduler, who on behalf of the CM will verify it with the monthly update. Submission of the monthly update will not be delayed pending authorization of any revisions. Retained logic will be used in the schedule document. The contractor, in accordance with the specifications, will submit an explanation of all out-of-sequence activities. Acceptance of the Monthly CPM schedule update shall be a condition precedent to the start of the progress payment cycle. A monthly progress report will be issued by the project scheduler to the CM within five days from acceptance of the contractor’s monthly update and from provision of the following items from the project team for the reporting month: digital photographs of the project, AWO Page 75 of 101



log, RFI log, and submittals log. A master report that includes information on AWOs, RFIs, budget/PSE, narrative, man-hours and quantities graphs, photos, and schedule information will be kept on record by schedule project control historical documentation. A narrative that gives analytical interpretation and suggestions, graphical analysis of earned, actual, and schedule quantities including man-hours, and schedules for future planning (Critical Path, 6-week look ahead, etc.) will be provided to the CM/CCM and the PM. The project team will also provide to the project scheduler for purposes of reporting a copy of the final payment transmittal within three days of approval and the field inspector’s weekly reports within two days of each issue. 9.1.4 CPM SCHEDULE CHANGES A recovery schedule, when deemed necessary by the CM or the project scheduler and as required in the contracts specifications, is to be submitted by the contractor within five working days from the request. Review and acceptance of the recovery schedule is conducted by the project scheduler and is forwarded to the CM for subsequent transmission to the Contractor. A recovery schedule is separate from the monthly update submission and should not delay the submission of monthly update. Until a recovery schedule is accepted, submission of all monthly CPM updates shall continue as usual. Once accepted, the recovery schedule becomes the new baseline and all future progress will be measured against it. A Request for revision to the schedule will be submitted by the contractor separate from any monthly update and will include a list of the proposed revisions. A fragnet showing the proposed revisions in a form which clearly identifies where the fragnet is to be inserted in the schedule, and a narrative explaining the reason for these revisions must be included by the requestor of the revision. Changes cannot be made in the CPM Schedule without expressed written consent for the revision by the CM. Consent cannot be granted until the request for revision is reviewed, analyzed, and a letter of acceptance or rejection along with recommendation is provided by the project scheduler. The approved revision will be incorporated into the next update from the date of acceptance. 9.1.5 SCHEDULE AWO ANALYSIS AND DELAY CLAIMS An AWO analysis is provided by the project scheduler to the CM upon request. The analysis cannot occur until the contractor has submitted the necessary fragnet and request for revision Page 76 of 101



in accordance with Section 5.2.4 “CPM Schedule Changes” above. The CM must also provide a complete copy of the contractor’s AWO proposal and the Authority’s Estimate before an analysis can be issued. Schedule delay claim analysis is provided upon request by the project scheduler to the CM when a delay claim is submitted by the contractor. The analysis cannot occur until the contractor has submitted their request and the CM has forwarded all documentations to the project scheduler. 9.1.6 DISPUTE RESOLUTION When a dispute, or disagreement, over acceptance or rejection of any submitted schedule materials (Preliminary, Baseline, Updates, Revisions, etc.) arises, the Chief Scheduler will discuss the matter with the project scheduler and the CM and reach a final decision on how the matter in question should be handled. 9.2

FTA PROGRAM CONTROL

9.2.1 MASTER PROGRAM SCHEDULE The project baseline schedule is defined in Chapter 1 with a forecast completion date of September 2014.The program master schedule is updated and submitted to the PM and the FTA once per month. Since updating involves the dates from respective contract schedules, completion will be dependent on the submittal, review, and acceptance of each contractor’s monthly update as described in 5.2.3, Monthly Updates. 9.2.2 MAJOR MILESTONES Grant and construction agreement milestones were provided by the Second Avenue Subway Construction Agreement as a means by which the FTA could monitor and assess the work to be completed by the MTA. Progress towards these milestones is reported to the FTA using the Program Master Schedule from Section 5.3.1.

10 COMMUNICATIONS MANAGEMENT Communications in the form of correspondence and documentation at the contract level will be managed, organized and filed by contract at their respective Engineer’s offices in the field. Communication and documents at the project-wide level will be organized by the Page 77 of 101



program office currently at 2 Broadway, New York, New York. Records from the design phase are maintained by the Program Executive’s office at 2 Broadway. 10.1 PROJECT RECORDS The Engineer’s offices will allocate sufficient resources to maintain project records during the performance period of each contract, such that the records are easily retrievable when required. Following closeout of each contract, the project records will be turned over to NYCT in accordance with the current version of PMP 104 – Project Filing System. Currently this includes the physical storage of documentation at a NYCT designated location. In addition to the storage of project records, control documents under review must be the most recent version or revision. This is very important when control documents are required. These “controlled” documents must readily retrievable for users. Management of controlled documents is accomplished through: • Unique identification • Controlled revision levels • Controlled distribution • Controlled access Controlled documents are uniquely identified by a number indicated on the document and within the document management system. Likewise, the revision status of the document is also identified on the document and within the system. The database maintained by the project office will maintain a list of controlled documents, list of recipients and their revision status. Another critical element is the distribution of controlled documents. It is imperative that the documents are accessible to everyone. The distribution will be controlled to ensure that the most current data is provided. This will be accomplished electronically with the use of ProjectSolve by the CCM, as described below. To ensure the integrity of the system, physical access to the document management files shall be limited to the Engineer’s offices or Program office. This provides for an orderly and accountable system for the addition and removal of project documents and records.

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Distribution of project information will be controlled through the MTACC and its respective Contract Engineer’s offices. The use of logging the records in a database, maintaining record copies and the intended storage in electronic systems as scanned images with appropriate security settings ensures that documents are maintained and protected from unauthorized or inadvertent use. Reports will be similarly printed, distributed, logged, and scanned as issued and maintained in the project filing system. 10.1.1 CONTROL OF CORRESPONDENCE All incoming and outgoing correspondence will be uniquely identified and tracked using Expedition (Contract Manager). This provides for easy access to correspondence. Each document will be identified and tracked within the Expedition (Contract Manager) Database. Scanned images will be maintained online in ProjectSolve for accessibility by the authorized project team members. All correspondence and communication with the Contractor will be through the CM, and files maintained at the respective Engineer’s Office for each Contract. Filing numbers will be based upon PMP 104 Project Filing System, with unique prefixes for each Contract’s correspondence. All correspondence and communication with the Contractor will be through the CM, and files maintained at the respective Engineer’s Office for each Contract. Filing numbers will be based upon PMP 104 Project Filing System, with unique prefixes for each Contract’s correspondence. 10.1.2 PROJECT PHOTOGRAPHS Each contractor is required to prepare monthly project photographs in accordance with their respective contract requirements. In addition to the physical photos, electronic files of the contractor provided photos will be maintained and stored on ProjectSolve as they are accepted as monthly submissions, by the CM. These photographs and their respective description will be the records presented in response to request from parties within MTACC and NYCT and to outside parties, with MTACC approval.

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Project photographs taken by project personnel will be stored electronically and used for working reports and presentations. These photographs will be considered a secondary set of records and will not be guaranteed to be a complete record of the activities undertaken. 10.1.3 PRESENTATIONS During pre-construction and construction, numerous presentations will be made and stored electronically. Availability of these reports will be determined by the Program Executive. 10.1.4 DRAWING MANAGEMENT AND CONTROL The availability of documents and records in a timely manner is critical for an efficient completeness of the project. Documents will be maintained electronically to the greatest extent possible in ProjectSolve and logged in Expedition (Contract Manager) and made available to the project team. All hard copies will be maintained in the project office consistent with the project filing system, defined in PMP 104 and DG 107, 110 and 111. 10.1.4.1 ELECTRONIC DATA MANAGEMENT SYSTEMS (EDMS) The internet based/enabled project management systems, ProjectSolve and Expedition, will be used throughout the project and will be accessible to project management personnel with appropriate access rights given for writing, saving, and editing the files, and the recording the data (receipt dates, letter numbers, to/from), and other information concerning the documentation. 10.1.4.2 PROJECT SOLVE The Authority has a license agreement for use of ProjectSolve software. Access to this internet based project management/collaboration tool will be granted to the CM team, CCM, PMOC and contracting personnel as directed by the MTACC, to retrieve electronic files generated by the project team, and post Contractor electronic files to be utilized by the CCM for schedule and cost monitoring. 10.1.4.3 EXPEDITION (CONTRACT MANAGER) The CM team will be using Expedition (Contract Manager) from Primavera Systems project management software to manage its correspondence, requests for information, submittal and Page 80 of 101



document tracking logs, schedules, nonconformance reports, meeting minutes and punch list information generated for the project.

Appropriate levels of access to facilitate project

collaboration will be granted to contracting personnel as directed by the CM. Notifications to the project team will be made for items stored on Project Solve. Database entry into Expedition (Contract Manager) will provide hyperlink to the electronic file storage location. 10.1.5 FILING Key project documents will be controlled to protect them from misuse and potential disclosure to unauthorized persons. This is accomplished by controlling access, distribution, and off-site use. Documents to be controlled include drawings, specifications, the design criteria manuals, and the quality, safety, security, and project management documents. The control measures are carried out through the controlled access of the EDMS and verified by periodic audits in accordance with the Project Quality Manual. The project file listing is a subset of the suggested filing system in PMP 104 and highlighted to show the file folders in use by each contract. 10.1.6 DOCUMENT CONTROL Access to project documentation through the ProjectSolve and Expedition (Contract Manager) will be controlled and limited to those individuals with a demonstrated need for the information, based on their authority and responsibility on the project. Parties external to the project team will be subject to screening prior to information dissemination. These measures will include demonstration of the need for information, MTACC approval, as required; and the placement of controls on information handling and use. The EDMS inherently provides security protocols for document management and control, which will be used to protect the electronic data. 10.1.7 STATUS MEETINGS Status meetings, led by the Construction Manager and/or Resident Engineer, will be held for each contract on a bi-weekly basis. Agendas are prepared in advance with minutes that

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provide status and action items with Ball-In-Court. Several other meetings will take place with different participants and purposes. 10.1.7.1 PROGRAM COORDINATION This bi-weekly meeting will primarily involve MTACC’s Program Manager, Construction Managers, Senior Director of Program Support, Design Manager; CCM Project Director, Senior Office Manager, Resident Engineering and office engineers, Arup Design Manager and NYCT personnel to address on-going project issues and inform MTACC on the progress of all of the on-going contracts. 10.1.7.2 FTA PROJECT STATUS This bi-weekly meeting will primarily involve MTACC and FTA-PMOC personnel to address on-going project issues and inform FTA-PMOC on the progress of all of the on-going contracts. MTACC’s Program Manager, Design Manager and Construction Managers, CCM Program Manager are required attendees. 10.1.7.3 DESIGN STATUS This meeting will primarily involve MTACC Design Manager, CM/CCM and Design personnel to address issues that arise in the course of construction that need to be addressed by the project design staff. Shop drawings and RFI status will be reviewed as well as the schedule for issuance of amplifying drawings and sketches as required. 10.1.7.4 CONTRACT STATUS This meeting, led by the Construction Manager and/or Resident Engineer will primarily involve the Contractor, MTACC Construction Managers, CCM Assistant Project Managers and support staff as required to address project status. 10.1.7.5 INFORMATION SYSTEMS AND BACKUP The off-site (defined as outside the NYCT, Agency, or Project office) use of project information will be inherently stored in an electronic system and backed up off-site.

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It is imperative that the documents containing knowledge, progress, deliverables, and decisions made on the project are not lost. To ensure the integrity of the data in the wake of an unforeseen event, a back-up system will be in place. The back-up of critical project documentation is achieved in three fundamental ways. The first is through the processes inherent in the data systems used to manage documents and records. These systems provide inherent redundancy by virtue of their structure. At all times, there will be secondary systems, in remote locations, that duplicate the primary systems and allow for an establishment of communications in case of disruption due to an unanticipated event. For the CCM program offices, files are backed up by NYCT-TIS offsite from office computers, and web based programs have their servers located in another state. Secondly, the project will maintain in-house computing capabilities, including the network servers necessary to support the design and communications needs. The data stored on these servers will be exported to an off-site location at regular intervals. Files will be incrementally saved daily with complete replication on a monthly basis at a location sufficiently removed from the primary project location. Thirdly, standard protocol for the back-up of hard copies will be implemented. Documents that require storage in a paper format only will be copied and sent to the off-site storage location per PMP 104. Access, distribution, and control of these documents will be controlled. 10.2 PERFORMANCE REPORTING 10.2.1 PROJECT STATUS REPORT (PSR) The NYCT system for Project Status Reporting will be utilized by Construction Managers, Field Staff and the Sr. Director for Program Support to maintain Budget, Status and Schedule information monthly. Detailed entry is made into the PSR by the CM/CCM and Program Support Group at the end of each month. The deadline for approved information to be entered into the NYCT PSR system is 6 PM on the fifth working day of each month. 10.2.1.1 CONTRACT STATUS Field inspection, resident and office engineering personnel will provide progress for the project and provide to the Construction Manager for input and approval each month.

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10.2.1.2 Budget The Construction Manager with the aid of project office personnel will provide budget and AWO information for the project and provide to the Sr. Director for Program Support prior to finalizing input each month. Schedule The Construction Manager with the aid of program controls personnel will provide schedule information for the project. 10.2.2 PROJECT REPORTS Project reporting generated on a monthly or quarterly basis will be issued by the following areas of MTACC. These reports will be summarized and reported as part of the FTA Quarterly Report as well. 10.2.2.1 ENVIRONMENTAL Monthly reports will be issued for each Contract to detail compliance with the Environmental Performance Requirements. 10.2.2.2 QUALITY ASSURANCE AND CONTROL A Quarterly Review Report by MTACC of each Contractor will be prepared and distributed to Contractor to address deficiencies identified during each review. Safety Quarterly Reviews by MTACC of each Contractor will be prepared and distributed to Contractor to address deficiencies identified during each review. 10.2.3 FTA QUARTERLY REPORTING The PM, Construction Managers for each Contract, along with CCM, and MTACC personnel will update the FTA quarterly report by the end of the month following the end of the quarter. The Senior Director will coordinate the production of the quarterly report. The draft quarterly report will be circulated for comment and a dry-run conducted in advance of the scheduled meeting with the FTA.

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10.2.4 FTA MONTHLY REPORTING The PM, Construction Managers for each Contract, along with CCM, and MTACC personnel will update and issue the monthly report within 30 days. The Senior Director will coordinate the production of the monthly report 10.2.5 ARRA REPORTING Contracts receiving ARRA funding will follow the requirements of Recovery Act recipient reporting under section 1512. This includes the amount of funds received and spent, project status and estimates on jobs created and retained. Reports are due 10 days after the end of the quarter. The basic principles, requirements, and guidelines are available to the public through www.recovery.com.

11 CONSTRUCTION MANAGEMENT 11.1 OVERVIEW The Construction Managers (CM’s) are the point of contact for field construction and are responsible for managing construction on time and within budget. Construction Managers assigned to each Contract report to the Program Manager (PM) and oversee the day to day technical and administration activities related to the physical construction. Construction management includes construction quality and safety monitoring, coordination of NYCT force account activities, environmental compliance monitoring, inspections and project closeout. The integrated construction management team (CMT) consists of MTACC staff (including the CM’s), and CCM staff. Possible and most-likely construction methodologies for delivery of the FSTC were identified during preliminary engineering. The following documents were completed: •

Force Account/TA Labor Plan

•

Material/Equipment Assessment Report

•

Construction Phasing Plans (Included in Design Documents)

•

Constructability Review Reports by Contract

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•

Administration of construction contracts

•

Coordination of construction and contract interfaces

•

Aid in scheduling and cost estimating

•

Provide field input to assist PM’s office to resolve claims and change orders management

•

Quality assurance

•

Inspection and witness testing

•

Construction safety monitoring

•

Geotechnical and environmental monitoring and reporting

•

Force account verification and coordination

The construction management team (CMT) will be staffed throughout the construction period to provide the administration and inspection of various elements of the project, integrate the management of the force account work with the construction work, eliminate duplication of effort and provide a consistent approach for the management of construction. This organizational strategy will produce the following benefits: •

Cost-effective use of the CCM staff to support each construction contract.

•

Uniform and consistent approach for contract administration, safety and quality.

•

Closer monitoring of critical path work elements that affect project completion

•

Assistance to the PM’s office in making decisions necessary to mitigate or reduce cost and schedule impacts arising from differing site conditions, changes and claims.

Notice to Proceed (NTP) After the NTP for a construction contract is issued, all correspondence and communications with the contractor will be through the construction management team where the administrative staff will be responsible for maintaining the contract files. The construction management team will monitor the contractor's performance against the schedule and budget and will verify that measurements and monthly progress payments for work performed are in strict conformance with contract provisions. All changes during construction will be controlled in accordance with established MTACC change control and management procedures in established in the PMPs and PMGs.

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Substantial Completion Upon notification from the contractor that contract work has been completed, the construction management team will verify the work performed including the CM final inspection. If the CM office is satisfied with the work performed, final inspections by NYCT user department will be scheduled with the participation from representatives of the design team and CM’s office. The user department final inspection will confirm that the work has been completed in conformance with all contract requirements. The construction management team will verify with support from the Design team and user departments delivery of electronic and paper copies of a complete set of contractor-prepared record documents that reflect as-built conditions. Prior to final acceptance of the work, the CMs will verify conformance with contract closeout requirements. When these actions have been completed, final acceptance and final contract payment will be recommended. For details of Close-Outs, refer to PMP Chapter 10. 11.2 CONSTRUCTION CONTRACT ADMINISTRATION Field support staff will work with the CM(s) to effectively manage all incoming and outgoing contract communications and to review and monitor changes, claims and notices against contract baselines. Construction contract administration for the FSTC will support completion of the project on schedule and within budget by assisting the PM’s office to promote and facilitate the timely resolution of changes, claims and disputes through consistent, fair, and reasonable application and interpretation of contract rights and responsibilities. The Construction Manager’s office, with the guidance and support of CM(s), will facilitate this process by providing day-to-day administration of the contract. Construction contract administration changes and claims management activities, Dispute Resolution, are the core of the program. The CM will aid the PM to develop a closeout plan to verify that all contractual issues are addressed and completed prior to contract closeout and release of any retention. Construction contract administration for the FSTC will follow the requirements of PMP 104, Project Filing System, PMP 210, Project Status Reporting System, and PMP 323, Construction Administration.

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In accordance with the PMP 210, MTACC will provide monthly input to the NYCT Project Status Report (PSR). The PSR contains the following information: description of project, key staff contact information, milestone schedule – updated, current budget, funding sources, cost report by task; and monthly highlights (objective, monthly progress notes, upcoming activities, and budget and schedule notes). In accordance with NYCT PMP 323, the CM(s) will provide monthly input to MTACC on status of correspondence, RFIs, approved submittals and change order management. The CM(s) will establish, maintain and manage an efficient, properly equipped Engineer’s office to document contractor work with a document control procedure, maintain record keeping systems with a centralized project management database, and follow current versions of policy instructions, PMP and PMG, coordinate with NYCT automated management tools (Project Status Report, PSR, and Management Information Tool System - MITS) to report and monitor progress of the project. 11.3 CONTRACTOR SUBMISSIONS AND REQUESTS 11.3.1

APPROVAL OF SUBCONTRACTORS

Prior to or immediately after the award of contract, the CM(s) will obtain a design personnel list from the design manager. The CM(s) will also obtain the contractor’s submittal list, progress schedule, and submittal plan. Design personnel will be informed of this submittal plan and required submittal disciplines. The contractor shall identify long lead delivery time items and submit those impacted drawings/submittals well in advance to maintain the overall schedule. If the CM(s) finds it necessary, special meetings will be arranged between the design personnel and the contractor’s counterparts to coordinate submittal requirements of critical items or for special needs. Document control (including logs) shall be maintained by all parties concerned to assure a timely and properly coordinated submittal review and approval process. Bi-weekly status reviews may be required. The CM(s) shall review all submittal documents to verify that contract submittal requirements are met and that all differing field conditions are identified, as necessary.

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The contractor may be allowed to forward all submittals to the responsible design personnel with a copy of the transmittal letter to the CM. Comments or approvals by the reviewer will be sent directly to the contractor with a copy to the CM. Where the work of more than one trade is indicated on a shop drawing, the CM(s) will coordinate with the required design groups for coordinated review. 11.3.2 SHOP DRAWING SUBMISSION Sufficient copies of all shop drawing submittals will be made to construction management team and processed in accordance with contract specifications and flow diagram for review and approval process for the contract (See Attachment H). Sufficient staff will be provided for submission routing by all parties (MTACC, and Design Team). Weekly meetings will be held with representation of all parties, to review the outstanding submissions listings and to determine where drawings are being held up in the review cycle. 11.3.3 REQUEST FOR INFORMATION The CM(s) will instruct the contractor at the construction kick-off meeting to submit all requests for information or services in writing. The CM(s) will respond in writing to each request in a timely manner. The design personnel will ensure timely resolution of design related issues. 11.3.4 OTHER REQUESTS The CM(s) shall process GO request through Capital Strategic Scheduling (NYCT PMG 327) and maintenance room access requests through NYCT MOW, Stations, Signals, etc. as required. • The CM(s) processes contractor access pass requests through Revenue Department. • Contractor’s requests for other agency approvals (DEP, DOT, and NYSDES) shall be processed by the PM’s office through those agencies. Coordination meetings may be required. • Contract’s requests for utility approvals shall be processed through the NYCT utility group. • The CM(s) will maintain a log of contract requests and MTACC written responses.

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11.3.5 AS-BUILT DRAWING REVIEW AND DISTRIBUTION The contractor shall submit both electronic files and hardcopies and update of project drawing list. The contractor shall submit record drawings to the construction management team in stages during construction. Prior to Substantial Completion, the contractor shall submit preliminary As-Built drawings for review and comment. Final versions of As-Built drawings will be produced in accordance with the Specifications, based on the marked-up preliminary submissions submitted for verification. 11.3.6 O&M MANUALS REVIEW AND DISTRIBUTION 11.3.6.1 CONTRACT MANAGEMENT Awarded Contract, Conforming of Documents and Amplifying Changes Following award of construction contracts by the successful low bidders, contract documents revised during the bid process will be confirmed by the Designer in accordance with NYCT Design Guideline 107. During construction, the designer will issue to MTACC Amplifying Sets of Drawings to support owner initiated changes to the work. Approval of these Amplifying Sets will be in accordance with project change notices issued by MTACC. AWOs The guidelines and reporting requirements for the change order control process for the FSTC project will be conducted in accordance with NYCT PMP 207, Processing Construction Additional Work Orders. All changes to construction contracts are processed as Additional Work Orders (AWOs) and are prepared, negotiated and approved as per NYCT PMP207 with the prior approval of the PM’s office. A cost estimate for all AWOs will be prepared by MTACC’s estimating group prior to negotiation with the contractor(s). The CM team will review this estimate based on scope and impact prior to negotiation of the AWO with the contractor and provide comments to MTACC. A series of protocols are followed and tracked on a procurement checklist based on the value of the Additional Work Order. All AWO’s must be approved by the CM and Procurement. AWO are classified by the level of authorization: • A Construction Manager only AWO is a special usage of the short form when changes fall below $10,000 with some restrictions. Page 90 of 101



• A regular Short Form is to be used when the AWO is between $10,000 and $99,999. • A Long form is used when the AWO is between $100,000 and $249,999. • A Board approval is required for AWOs above $250,000. The final scope leads to the preparation of an in-house estimate for each AWO which is compared to the contractor’s estimate. A negotiation is scheduled and reached and then the Notice to Proceed letter is issued to the contractor. The status of all AWOs will be tracked by the Senior Director, Program Support and reported to the FTA. This report will indicate the value of all AWOs negotiated, together with the potential exposure of identified but not yet negotiated AWOs. Processing of Monthly Progress Payments The MTACC will adhere to guidelines for processing month progress payment and closeout and release of retention in accordance with NYCT PMP 208, Processing of Payments Funded Through the Capital Budget. Dispute Resolution The change and claims management for the SAS 86th Street Station will cover both the consultant contract and construction contract changes and claims. The basic goals of the change and claim management program is to assure that the changes implemented are necessary and advantageous to the project; that claims and disputes are resolved promptly, fairly, efficiently and in accordance with contract obligations and applicable law; and through proper management and administration, to minimize the effect of changes and claims on project cost and schedule. The related objective of conflict resolution is to establish a process that will avoid, mitigate, or resolve issues that may result in disputes or claims by contractors and consultants. Conflict resolution will focus on prompt and efficient issue resolution preferably at the site level or at the lowest possible management level, subject to required approvals. It includes all actions to be taken to resolve outstanding issues and bring them to a close. These actions will be implemented during the design and construction phases of the project. Conflict resolution will also address procedures to limit or resolve claims by third parties, such as businesses and individuals affected by the construction.

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In all cases, changes to the construction contracts for the SAS 86 th Street Station will follow NYCT project procedures for construction contract changes and claims. While preventative measures described above will be made, the guidelines established in PMP 218, Disputes, will be followed, when conflicts occur. The provisions contained therein will be the contractor’s sole means for challenging any determination of the engineer. Exhaustion of these dispute resolution procedures shall be the parties’ sole remedy about any dispute. The parties agree to the resolution of all disputes of the contract in accordance with the following: •

Any dispute which relates to technical issues under the contract including determinations as to the acceptability of any work, the meaning of the specifications or contract drawings, the question of whether disputed work falls within the scope of the specifications, the acceptability of any proposed substitution, the proposed subcontractors or suppliers, the determination of excusable delay related to a technical matter, the question of whether beneficial use, substantial completion or final completion has been achieved, or the extent of any remaining work, and parties hereby authorize the Chief Engineer to render a final and binding decision.

•

Disputes other than those described above will be referred to the Contractual Disputes Review Board (CDRB) who will render a final and binding decision in accordance with the “Guidelines for the Submission of Disputes to the CDRB”. It is understood that the composition of the CDRB shall be of officers and employees of the MTA, but excluding for purposes of disputes arising from NYCT contracts, participants from the Authority.

•

All disputes will be initiated through a written submission referred to as the “Dispute Notice” to the Construction Manager or the CDRB, (“the Arbiter”), within the time specified in the Contract or if no time is specified, within ten (10) days of the determination which is the subject of the dispute, including potential claims.

•

Action logs will be maintained of all the claims.

•

Evaluate Contractors Performance - the contractor’s performance will be evaluated quarterly in accordance with NYCT PMP.

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11.4 LEED REQUIREMENTS/COMMISSIONING/ TESTING An independent LEED Consultant, SYSTRA/HNTB, was hired by MTACC to ensure that the project will achieve LEED certification. The consultant will ensure that all commissioning and testing requirements performed by the contractor will be in accordance with the contract specifications. 11.5 QUALITY ASSURANCE/CONTROL DURING CONSTRUCTION The construction management team will ensure that all QA/QC requirements are met as per the contract specifications. For additional information, refer to PMP Chapter 14 Quality Assurance and NYCT PMP 307. 11.6 SAFETY Recognizing that the Health and Safety Program is of primary importance and is the responsibility of personnel at all levels, MTACC has prepared a Safety Management Plan for the SAS 86th Street Station. The SAS 86th Street Station Safety Management Plan will be followed and it will be mandatory for all project participants to participate in the health and safety program. The contractors will have a full-time safety engineer on site and will be responsible for developing and implementing a contract-specific Health and Safety Program. Emergency response and notification procedures will be developed as an integral part of the health and safety program. The MTACC Safety Management Plan will be followed in the development of all individual contractor Health and Safety programs. All contractors are required to comply with MTA, local and federal requirements. MTACC Quality and Safety will review all safety plans, including Safe Work Plans (SWP) prepared by the construction contractors and other team members and make recommendations. •

Periodic inspections of the SAS 86th Street Station will be conducted by MTACC Quality and Safety.

•

The construction management team will monitor progress of the contractors in correcting deficiencies identified by MTACC Quality and Safety.

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•


The Contractor’s Safety Engineer Manager will be the liaison with other project participants to identify and coordinate measures needed to resolve emergency situations and to verify employee protection and accident prevention.

The contractor has total responsibility to perform the contract work in a safe matter as per documented safety requirements. The CM(s) is responsible for ensuring that the contactor adheres with all the contracts safety requirements. All project consultants and contractors who have field activities will be required to prepare and implement a site-specific Safe Work Plan (SWP) to address the task-specific safety requirements for each work activity. Typically, these plans will not duplicate generic requirements already defined by the consultant’s Project Safety and Health Plan, but be site specific. The MTACC Quality and Safety group will review site-specific SWP prepared by the general contractor. Preparation of site-specific SWPs will be in accordance with NYCT PMP 110, Safety Management Plan. Force account construction work by NYCT will be performed in accordance with the MTACC Safety Manager team. 11.7 SITE SECURITY A site security plan has been developed for each contract of the SAS 86 th Street Station project. Contract specific items relating to the Security Requirements of each contract can be found in the Special Conditions Section of the Contract.

12 ENVIRONMENTAL/CULTURAL RESOURCE MANAGEMENT/LEED 12.1 INTRODUCTION Due to the sensitivity of constructing in Lower Manhattan, the EPCs were developed to address the potential cumulative impacts of downtown construction projects. Resource areas of concern include: •

air quality and dust control

•

noise and vibration

•

cultural and historic resources

•

waste management

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•


pedestrian and vehicular access/circulation

12.2 ENVIRONMENTAL COMPLIANCE PROCESS A Construction Environmental Compliance Plan (CEPP), March 2005 has been developed as a management tool to ensure that the EPCs and other environmental requirements identified in the below reference documents are met on the FSTC project. The CEPP covers the following: •

Environmental Management Objectives and Process Overview

•

Roles and Responsibilities

•

Compliance Tracking and Reporting

•

Environmental Specifications and Construction Planning

•

Environmental Inspections

•

Environmental QA Inspections

•

Emergency and Compliant Response

•

Environmental Controls

In addition to the CEPP, project-wide environmental plans have been developed to guide the contractor’s work as it pertains to meeting environmental compliance goals. These plans include: •

Community outreach program requiring a plan, meetings and ongoing communications.

•

In addition, protocols have been established and reflected in contract specifications related to: o noise and vibration, o traffic management, o contaminated materials, o air quality, o dust control, o sediment/erosion control and water quality, o soil reuse and tracking, and o waste management.

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12.3 CULTURAL RESOURCE MANAGEMENT Cultural Resources Management Plan (CRMP) allows the MTA to fulfill its obligations under Section 106 of the National Historic Preservation Act (NHPA) of 1966 about the FSTC project (the federal “undertaking”) as set forth in the FSTC project’s September 2004 Programmatic Agreement (PA). The CRMP sets forth the measures by which cultural resources will be investigated and protected and /or how adverse effects will be mitigated. A CRM team is in place to provide guidance, support and technical expertise in matters relating to archeological resources and historic built properties. The team includes professional archeologist, historic preservationists and architects, material conservationist and preservation engineers. Their responsibilities are as follow: •

Review proposed construction methods where there is the potential for work to affect archeological resources and historic built properties.

•

Review all monitoring data with respect to vibration, tilt, settlement and crack monitors located within historic buildings.

•

Review changes in design to evaluate new potential effects.

•

Review proposed protection measures

•

Develop specific archeology protocols

•

Be on site at times when there is a potential for archeological resources or historic built properties to be affected by the construction

•

Assist the MTACC Environmental Services group in preparing semi- annual reports to SHPO, LPC and the consulting parties as set forth in the Programmatic Agreement.

12.4 LEED The U.S. Green Building Council’s (USGBC) LEED process defines and certifies buildings as “green” according to a four-level rating system. MTACC is seeking to achieve a minimum rating of LEED certified for FSTC. ARUP, the design consultant, is responsible for completing the LEED certification documentation for the design submission. During construction, an independent commissioning agent will perform and monitor all work necessary to fulfill the Fundamental Building Systems Commissioning credit. SYSTRA/HNTB joint venture was retained in August

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2007 as the I/Q consultant. The contractor is required to have a LEED certified professional or staff to ensure that the LEED requirements in the contract specifications are met.

13 QUALITY ASSURANCE 13.1 TRANSITION FROM DESIGN TO CONSTRUCTION MTA Capital Construction will provide a document for quality assurance/quality control to define the standards that need to be met. The project must contain an effective and an organized program to make sure the required QA/QC process is achieved. Anyone on the project that oversees managing must provide their own Quality Management System or also known as QMS. The system is set to incorporate the boundaries and create a common understanding for every player on the team. Such system also makes sure the contract requirements are met and documents the acceptable level of quality. 13.2 CONTRACT QUALITY REQUIREMENT 13.2.1 QUALIFICATION HEARING During the qualification hearing the contractor must be fully aware and comprehends the requirement he is required to meet for the project. The contractor must agree on the terms that he is willing to manage his team and provide the services that are quality standard. 13.2.2 CONSTRUCTION KICK-OFF MEETING During the construction kick-off meeting the contract is given a description of scope and the responsibilities he must take on to meet the contract requirement. In the meeting the contractor is given a breakdown of the MTA’s Contractor Quality Program and is given a date for the following kick-off meeting. 13.2.3 CONTRACT QUALITY ENGINEERING APPROVAL MTA must understand the scope of work and the services they are requiring other contractors to meet. Therefore, each candidate is given an interview to present to the MTA employees the quality work they are promising to contribute. These candidates must meet the level of standards to be considered to work on the project.

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13.2.4 CONTRACTOR QUALITY PROGRAM Contractor Quality Program or also known as CQP are provided in the Specification Section 1J. These standards must be reviewed and evaluated when applying on the project. The quality standards are set to also maintain the proper Building Code of New York. 13.2.5 QUALITY CONTRACTOR VERIFICATION Quality Contractor Verification can also be stated as Quality Work Plan. The plan highlights the specifications of the scope and defines the work. The plan must state the means and methods of the work the contractor is planning on providing. The contractor’s operational method must be documented and reviewed by the MTA to make sure correct standards are outlined. This plan must provide the testing of the work as well as inspections that need to be performed periodically. Training must be set for the contractors and subcontractors who are involved in the project. Each party must understand the scope of work and the services they are providing must be tested and inspected during the project. 13.3 CONSTRUCTION SITE VISITS MTACC must plan visits to the site and ensure the requirements highlighted and documented in the quality program are being followed. The site visit includes visiting the location of the project and reviewing the quality of the work. The inspector must review the approved drawings and review the specifications while visiting the site. Afterwards, the inspector or the representative of the owner must document the status of the site in the field report. 13.3.1 QUARTERLY QUALITY OVERSIGHTS The quarterly oversight is conducted to review the contract requirements and make sure the contract complies as per Specification section 1J. During each review, random sections of the specification will be chosen and verified. The CM must be present during the verifications and the observance of the specifications.

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13.3.2 JOB PROGRESS MEETINGS Understanding the progress of the job is a vital part of the project. Therefore, conducting site visits and performing the proper inspections and testing verify if the project is progressing in a quality manner. 13.3.3 SUBMISSION SCHEDULE Submission Schedule is provided to the owner or the owners representative to verify the schedule has been submitted as required by the contract. Usually the submission schedule changes if scope of work has been added or removed and the contractor is responsible for maintaining the proper documentation of the submission schedule. 13.3.4 RECORDS MAINTENANCE AND CONTROL SUBMISSION All records that pertain to the project must be properly stored and documented. The contractor must be able to organize all documentation which is easily accessible if there is a specific need to review them. 13.3.5 INSPECTION AND TESTING PLAN The field engineer, the owner’s representative, and the quality engineer must all have a checklist and created and document all daily reports during the site visits. In the daily reports the inspector must report the contact number, description of the activity, where the work is located, contact of the contractor, drawings, and all nonconformance details.

13.3.6 SUBCONTRACTOR AND SUPPLIER APPROVAL AND CONTROL The owner’s representative is responsible of reviewing and approving the subcontractor and the supplier. There needs to be a set approval process in which the subcontractors must meet. 13.3.7 CORRECTIVE AND PREVENTIVE ACTION PROCESS In case of any quality standards that are not being followed or met. The contractor must provide the owner’s representative with an effective preventative action.

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13.4 CONSTRUCTION MANAGEMENT AND PROCESS VERIFICATION 13.4.1 FIELD INSPECTIONS, SHOP DRAWINGS, DAILY REPORTS The owner’s representative must review all shop drawings and verify the contractors on the field are following the contract documents. Inspections will include all activities and highlight all the nonconformance activities. For example; if the concrete deck has any spalls or cracks the document must highlight that the contractor is not meeting the quality work. 13.4.2 SUBMISSION MANAGEMENT APPROVALS CM will review the logs and the submittals recorded by the contractor on a timely basis to make sure the activities performed follow the contract and meeting quality standards. 13.4.3 COORDINATION WITH DESIGN ENGINEERING All RFI’s submitted to the Engineer on Record will be documented and reviewed for quality purposes. 13.4.4 RECORD MAINTENANCE AND CONTROL All records must be stored in an organized manner. The contractor must have a project management tool that he uses to archive all the daily reports, logs, RFI, submittals, and NCR’s in one data where the CM representative can be able to access it easily. 13.4.5 ADDITIONAL WORK ORDER PROCESS/PAYMENT PROCESS Additional work order document must be provided when new scope of work is added. That includes any additional material, equipment, and manpower which needs to be implemented in the project management plan. The payment process falls under the PMP requirements and all payments must be verified.

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