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NOTICEThis document is disseminated under the sponsorship of the Department ofTransportation in the interest of information exchange. The United States Governmentassumes no liability for its contents or use thereof.The United States Government does not endorse products or manufacturers. Trade ormanufacturers' names appear herein solely because they are considered essential tothe object of this report.

Technical Report Documentation PageForm Approved OMB No. 0704-0188Public reporting burden for this collection of information is estimated to average 1 hour per response, including the timefor reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completingand reviewing the collection of information. Send comments regarding this burden estimate or any other aspect of thiscollection of information, including suggestions for reducing this burden, to Washington Headquarters Services,Directorate for Information Operations and Reports, 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 222024302, and to the Office of Management and Budget, Paperwork Reduction Project (0704-0188), Washington, DC 20503.1. AGENCY USE ONLY (Leave2. REPORT DATE3. REPORT TYPE AND DATESblank)July 2011Original September 1990Updated June 1996Updated May 20034. TITLE AND SUBTITLE5. PROJECT ID NUMBERProject and Construction Management Guidelines July 20116. AUTHOR(S)* Douglas R. Campion; Charles Neathery, John Reinfurt,Pamela Bailey-Campbell (Jacobs); Dorothy Schulz (Interactive Elements);David Sillars (Sillars)7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES)8. PERFORMING ORGANIZATIONJacobs Engineering Group and subcontractor, Campion Group, LLCREPORT NUMBER501 North BroadwayP.O. Box 31515Saint Louis, MO 63102Saint Louis, MO 631319. SPONSORING/MONITORING AGENCY NAME(S) AND10. SPONSORING/MONITORINGADDRESS(ES)AGENCY REPORT NUMBERU.S. Department of TransportationFederal Transit Administration1200 New Jersey Avenue, S.E.Washington, DC 2059011. SUPPLEMENTARY NOTES * Assisted by: Tracey Lober and Keith Konradi of Jacobs; Virginkar & Associates;Interactive Elements Inc.; O.R. Colan & Associates; David Evans and Associates; David Sillars; and other FTA ProjectManagement Oversight Contractors12a. DISTRIBUTION/AVAILABILITY STATEMENT12b. DISTRIBUTION CODEAvailable From: National Technical Information Service/NTIS,Springfield, Virginia 22161.Phone 703.605.6000, Fax 703.605.6900, dworld.gov13. ABSTRACT (Maximum 200 words) This is the 3rd update of the document originally published in September 1990and updated in June 1996 and May 2003. It reflects current FTA project development, grants, and project managementrequirements. It incorporates the experience of FTA’s Project Management Oversight Program research and technicalassistance initiatives, and new or updated legislation and Circulars. Additional or expanded guidance is provided onsafety and security considerations and certification process, project risk assessment and allocation, project controls,project delivery approaches, financing, real estate acquisition, dispute resolution, quality assurance/quality control, valueengineering, public communications, and identifies additional sources of training and assistance.The Guidelines describe the transit capital project development process (with details on each phase along thecontinuum), general project management principles, and the application of those principles in the planning, design,construction/equipment procurement, and testing/start-up phases. While the emphasis may be seen as being put onMajor Capital Projects and New Starts projects, information on the Small Starts program is also provided. Regardless,the principles and practice discussed have applicability to any capital transit project. Hyperlinks are provided toadditional sources of requirements and guidance.14. SUBJECT TERMS Transit Capital Projects, Project Management,15. NUMBER OF PAGES 325Construction Management, Project Control Project Planning, Finance, Risk16. ACCOUNTING DATAAssessment Quality Assurance Quality Control, Safety and SecurityManagement Plan Safety Certification Design-Build, Real Estate Acquisition17. SECURITY18. SECURITY19. SECURITY20. LIMITATION OFCLASSIFICATION OFCLASSIFICATION OFCLASSIFICATION OFABSTRACTREPORTTHIS PAGEABSTRACTUnclassifiedUnclassifiedUnclassified

ACKNOWLEDGEMENTSThe 2011 Project and Construction Management Guidelines Update project wassponsored and managed by FTA’s Office of Engineering. Carlos M. Garay was the FTAProject Manager. Douglas R. Campion, Campion Group, LLC was the contractorresponsible for the primary editing and author for updating of the Guidelines undercontract to Jacobs Engineering Group, Inc. (Timothy L. Mantych, Program Manager).Additional specialized inputs were provided by: Charles Neathery (scheduling), JohnReinfurt (geotechnical) and Pamela Bailey-Campbell (alternative delivery methods) ofJacobs; Bob Merryman and Richard Moeller (real estate) of O. R. Colan Associates;Arun Virginkar and Hal Edris (vehicles and other systems) of Virginkar & Associates; BillByrne and Mike Eidlin (preliminary engineering and final design) of David Evans andAssociates; David Sillars, PhD (risk assessment), consultant to Burns EngineeringGroup: and Dorothy Schulz (safety and security) of Interactive Elements Inc. Jacobsstaff, most particularly Tracey Lober and Keith Konradi assisted in editing and documentpreparation.At the request of FTA’s Carlos M. Garay, Project Management Oversight contractorswere asked to review various sections of the initial draft of the Guidelines and offercomments, and did so to varying degree with comments taken into considerationthroughout this update.FTA Project and Construction Management GuidelinesJuly 2011 UpdatePage i

TABLE OF CONTENTSACKNOWLEDGEMENTS . iTABLE OF CONTENTS . iiLIST OF FIGURES. viiLIST OF TABLES . viiLIS T OF ACRONYMS . ixCh a p te r 1 – INTRODUCTION . 1-11.11.21.3Purpose and Scope of the Guidelines . 1-1Reasons for the Guidelines Update . 1-2Format and Content Summary . 1-3Ch a p te r 2 – TRANS IT CAP ITAL P ROJ ECT DEVELOP MENT P ROCES S . 2-12.12.2Overview . 2-12.1.1 Major Capital Projects . 2-22.1.1.1 Pre-Award and Letter of No Prejudice Funding . 2-52.1.2 Capital Projects Not Classified as Major Capital Projects . 2-82.1.2.1 Fixed Guideway Modernization . 2-82.1.2.2 Bus Maintenance Facilities . 2-92.1.2.3 Vehicle Procurements . 2-92.1.2.3.1Transit Vehicles Procurement: . 2-102.1.2.3.2Regulatory References . 2-112.1.2.3.3Vehicle Procurement Deliverables . 2-122.1.2.3.4Buy America Requirements for Revenue Service Vehicles . 2-142.1.2.3.5Pre-Award Audits Requirements for Bus & Rail Buy America . 2-152.1.2.3.6Post Delivery Audit Requirements. 2-162.1.2.4 Multimodal Transfer Facilities . 2-172.1.2.5 Bus Rapid Transit (BRT) Projects . 2-172.1.2.6 New Technology Procurements . 2-17Project Development Elements of Sound Transportation Planning . 2-182.2.1 Systems Planning . 2-182.2.2 Alternatives Analysis . 2-212.2.3 Project Management Plan (PMP) . 2-222.2.4 Rail Modernization Planning . 2-262.2.5 Bus Maintenance Facility Planning . 2-282.2.6 Project Risk Analysis and Procurement Planning . 2-282.2.7 Environmental Planning . 2-332.2.8 Financial Planning . 2-342.2.9 FFGA and Other Grant Requirements . 2-362.2.9.1 Full Funding Grant Agreement (FFGA) . 2-362.2.9.2 Other Requirements . 2-372.2.10 Joint Development Planning/Coordination with Transit Project Planning . 2-382.2.11 Safety and Security Management Plan (SSMP) . 2-402.2.11.1 Introduction and Background to the SSMP . 2-402.2.11.2 Authority for and Elements of an SSMP . 2-412.2.11.3 SSMP Content . 2-432.2.11.4 Safety and Security Considerations When An SSMP Is Not Required . 2-45FTA Project and Construction Management GuidelinesJuly 2011 UpdatePage ii

Table of Contents2.3Engineering and Design . 2-452.3.1 Preliminary Engineering (PE) . 2-462.3.1.1 Preliminary Engineering Activities . 2-482.3.2 Final Design Phase . 2-572.3.3 Construction And Equipment/Materials Procurement Phase . 2-592.3.4 Recovery Plan . 2-612.3.5 Testing and Start-Up Phase . 2-622.3.6 Revenue Service Phase . 2-642.3.6.1 Operations and Maintenance. 2-642.3.6.2 System Performance Monitoring/Assessment. 2-652.3.6.3 Before and After Study . 2-652.3.6.4 Capital Replacement Planning . 2-662.3.6.5 State Safety Oversight (SSO) . 2-67Ch a p te r 3 – GENERAL MANAGEMENT P RINCIP LES FOR TRANS IT CAP ITALP ROJ ECTS . 3-13.13.23.33.43.5Introduction . 3-1Grantee and Project Organization . 3-43.2.1 Grantee Authority, Requirements, and Organization . 3-43.2.2 Project Organization, Staffing, and Training . 3-73.2.3 Work Breakdown Structure . 3-10Financial Requirements/Resources . 3-123.3.1 Capital Plan . 3-133.3.1.1 Project Capital Plan . 3-143.3.1.2 Force Account . 3-163.3.1.3 Subsequent Modernization Cost . 3-173.3.1.4 Contingencies . 3-173.3.1.5 Capital Funding . 3-183.3.1.6 Alternative Funding Source . 3-193.3.1.7 Financing Techniques . 3-203.3.1.8 Funding Source Forecasts. 3-213.3.1.9 Borrowing, Debt Levels, and Ratings . 3-223.3.1.10 Federal Funding Shortfalls. 3-223.3.1.11 Agency-Wide Capital Plan . 3-223.3.1.12 Project Budget . 3-233.3.2 Operating Plan . 3-233.3.2.1 Operation and Maintenance Costs (O&M Costs) . 3-243.3.2.2 Operating/Maintenance Funding Considerations . 3-263.3.3 Cash Flow Analysis . 3-26Scheduling . 3-273.4.1 Scheduling Principles . 3-273.4.2 Scheduling Process . 3-283.4.3 Integrated Master Project Schedule. 3-313.4.4 The Construction and/or Procurement Schedule(s) . 3-32Controlling the Project . 3-353.5.1 FTA Requirements . 3-353.5.2 Integrating Time and Cost . 3-363.5.3 Controlling Costs . 3-373.5.4 Controlling Project Configuration and Changes . 3-403.5.5 Risk Assessment and Management . 3-443.5.5.1 Projects Involving Construction of Tunnels . 3-463.5.5.2 Risk Identification . 3-483.5.5.3 Risk Assessment . 3-513.5.5.4 Risk Response . 3-523.5.5.5 Alternative Project Delivery/Contracting Methods . 3-54FTA Project and Construction Management GuidelinesJuly 2011 UpdatePage iii