Controlling Project Configuration and Changes

Throughout all phases of the project, there must be consistency in how various physical and technical aspects are defined and recorded. Descriptions of both physical and technical aspects are used to articulate the project definition. During both design and construction, this project definition is used to ensure that its original concept is followed and that the completed system will function as designed.

Configuration management consists of the evaluation, coordination, and approval or disapproval of changes in the configuration of a component, system, or process after its baseline has been defined. The project is typically baselined at the completion of the PD Phase to allow accurate and comprehensive monitoring of any changes that follow and to establish the basis on which the project cost estimate is determined. In the case of MCPs, the baseline for the project definition will be established during the initial Engineering Phase activities but prior to FTA considering an FFGA, as it is those details (in drawings, specifications, contract packaging and scheduling) that must be carried forward and be implemented. A similar approach is taken by FTA with regard to PCGAs for non-MCP projects.

In an effective configuration management program, drawings are uniquely numbered and otherwise identified. Specifications follow a standard format and each section, subsection and paragraph is identified. Complete drawing lists are established and the total number of drawings, the titles of the drawings, the revision status, and the dates on which the drawings were approved are recorded. Procedures are established and changes to approved drawings or specifications should only be made in accordance with these approved procedures. Permanent files are maintained of all contract documents that include historical information relating to all project changes. As the project is implemented, configuration management evolves to include the documentation of the completed improvement in terms of "as-built drawings."

Configuration management ensures that the correct, approved status of the evolving design is known or is available to all project personnel using that information. When done properly, configuration management ensures that replacement equipment or components capable of meeting the original equipment requirements can be procured at a later date.

 Physical - Describes the total system in sufficient detail to permit preliminary design concepts to be prepared. This includes location descriptions, trackage layouts, facilities, interfaces with existing systems, proposed passenger vehicle configuration, above and below ground segments, landscaping, crossings, overpasses, and any other physical definitions of the system which will provide a full appreciation of the system's overall suggested characteristics.

 Technical - Defines the interrelationships and functions of the system in sufficient detail to guide construction. This includes design/construction considerations and techniques, systems, connections/interfaces with existing systems and utilities, maintainability of the fixed facilities, system operations and characteristics, and any other data that explains or details system operations/performance.

A project's definition must evolve in an orderly manner throughout the project development process. To arrive at the definition, design criteria and the desired performance characteristics of the completed project must be developed early in the project. Design/performance criteria should exist for the following elements:

 System-wide - capacity, safety, security, emergency procedures, system dependability, vehicle availability, ride quality, accessibility, comfort, convenience, aesthetics, environmental, etc.

 Subsystem - vehicles, control, communications, power distribution, Fare Collection, support equipment, etc.

 Fixed Facilities - guideway, stations, station amenities, access/egress, parking, intermodal features, central control facility, maintenance and storage facilities, administration facilities, etc.

Once the project definition is established during design, it becomes the standard for accomplishing construction; more importantly it is the "blueprint" for describing how the system will look and function. The project's physical configuration provides specification detail for the project definition. The configuration baseline includes the drawings, lists, calculations, specifications, and reference documents that completely describe the project. Among the most important management considerations relating to the system configuration and performance are the following:

 Design Documentation - Once design criteria have been established, standards should be developed in each area. Each design task within an organization's area of responsibility should be scoped, planned, and scheduled in the same manner. Task statements that include requirements, assumptions, and a detailed list of deliverables should be prepared and identified using a definitive Work Order Breakdown (WBS) structure. The design tasks should result in the preparation of drawings and/or specifications, calculations and analysis reports (or technical memoranda) for all items and systems.

 Interface Definition - A critical activity in the system definition process is the identification and documentation of system interfaces which may place constraints on its design or performance (e.g., power supplies, other utility and service interfaces, physical constraints). The preparation of interface drawings,

calculations, specifications and analysis reports (or technical memoranda should be undertaken during the design process.

 Reliability and Maintainability - Evaluating system and equipment reliability and maintainability; developing System Reliability Plans and System Maintainability Plans, and carrying out Reliability and Maintainability Program activities have a significant impact on a system's configuration, detail design, and operation.

 Peer Review - A structured, independent review of an organization or project by a team of experts. Such reviews cover all design phases and categories, including organizational, project management, and aspects of project design and functionality, construction, operations, or maintenance. Typically, they are organized and conducted to focus on special topics or situations with a specified purpose, scope, format, and duration.

 Value Engineering (VE) - VE is a formal, systematic, investigative technique with potential for reducing both capital and O&M costs of major transit projects. VE reviews a product, system, or facility in order to identify and analyze the functions it has been designed to perform. A project's total life cycle costs (costs incurred by constructing and utilizing the product as designed) are calculated, and alternative designs are generated to determine the most cost effective method of performing the identified functions, consistent with requirements for quality, reliability, maintainability, and safety. A VE study is a creative, multi-disciplined team effort that FTA requires at the end of PD. In some instances, it may be beneficial to repeat the VE during Engineering or even during project construction. A consultant with experience in conducting VE studies for transit projects may be used to manage the study, although a qualified team of professionals could also be selected to participate. Participants are most effective if they have not been significantly involved in the design being studied. The Society of American Value Engineers (SAVE) provides certified training for VE. See Sections 4.7.6 and 5.2.7 for additional guidance on VE.

 Operation and Maintenance (O&M) Interface - It is important to address O&M concerns in design and construction, particularly during the design phase. A continuous review by the owner, consultants, and O&M personnel ensures that the final design incorporates those features that are consistent with projected O&M needs and costs. Early development of system operating plans and their corresponding projection of operating statistics, operating costs, and operating revenues are essential elements in selection and design of the system configuration. The Project Sponsor should develop a System Operating Plan and a System Maintenance Plan and evaluate the evolving design with respect to them. Consideration should be given to life-cycle costs and issues such as system continuity, safety, security, and reliability in relation to budgeted construction costs.  Constructability Reviews - "Constructability is the optimum use of construction

to achieve overall project objectives." [Ref. 3-24]. Before completion of PD and continuing through Engineering, it is important to review the constructability of the proposed project to avoid subsequent adverse cost and schedule impact. Constructability should be considered in the development of a contracting method and in the development of overall project schedules. Basic design approaches must consider major construction methods. Site layouts should promote efficient construction as well as efficient operation and maintenance. Prior to final approval, a constructability review of the planned construction contract should be performed. These reviews should be included as part of more general design reviews as noted above.

 Design Reviews (in addition to QA/QC practices) - To ensure that project objectives are being met, design reviews by the owner, consultants, and operational staff are held to focus on consistency with design criteria, possible errors and omissions, and constructability. The extent of the review(s) should be based on consideration of the consequences of failure, the Project Sponsor’s experience with the design organization's in-house checking capability, and aspects of the QA program. Just as with QC procedures, it is essential that design review comments are documented, tracked and that formalized closure is brought to all issues in a timely manner.

 Test Program - Performance requirements should be translated into test requirements and then into specific test and inspection plans. Policy should be established for acceptance testing of materials, components, and systems. Specific responsibilities should be assigned for preparation of individual unit or equipment test and inspection plans, conduct of the tests, and approval of the results. When applicable, an overall system operational test plan should be prepared. To the greatest extent possible, all aspects of system operation, which determine whether the system performance is satisfactory, should be tested prior to acceptance.

 Contract Documentation - Design requirements must be reflected in the items constructed or purchased. As a result, Project Sponsors or their representatives should prepare detailed specifications for procurement and conduct a thorough technical review of the final procurement documentation (Requests for Proposals as well as proposed contracts in final negotiation). In some instances, it may be prudent to pre-qualify contractors to ensure capabilities and capacities before accepting bidders; this would become a two-step bidding process (see Section 2.2.6). Evaluation of bids should verify that the requirements are being properly addressed by the proposed contractors.

 Training - In its initial operational stages, system performance is influenced by the familiarity of personnel with the system. The more a new system differs from existing systems in operational and maintenance procedures, the more important it is to address expected manpower needs and training programs. For larger

projects, the use of training mock-ups or simulators and tabletop or onsite drills should be considered.

Procedures should be developed for identifying, evaluating, and accommodating changes that may occur during project design and construction. Procedures should: (a) specify clearly who holds the responsibility to initiate and approve changes: (b) permit results to be achieved rapidly; (c) provide for full evaluation of the impact of the changes; and (d) specify how changes will be documented and the records maintained. Project Sponsors are encouraged to establish a Change Control Board (CCB) with charge to attain independent and thorough cost/schedule/functionality reviews and prompt resolution of change issues may help to reduce delays, negative cost impacts and/or claims. Judicious delegation of monetary authority to approve change orders at the field level can expedite the change order process. A recent FTA research report found that construction risks could probably be decreased by allowing field personnel to exercise a maximum amount of discretionary judgment regarding change orders [Ref. 3-23].