Tài liệu CALTRANS PROJECT MANAGEMENT HANDBOOK 2007 pdf

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Caltrans Project Management Handbook v
C
CONTENTS

Preface iii
Purpose iii
Audience iii
Background iii
Revisions iii
Conventions iii
Figures viii
Basic Concepts 9
What Is a Project? 10
What Is Project Management? 11
Why Do We Do It? 11
Project Management Mission 11
Program Management 11
Task Management 14
The Big Picture 15
Project Lifecycle 17
Lifecycle Overview 18
Project Initiation Document Component (PID) 19
Contents
vi Caltrans Project Management Handbook
PID Deliverables 19
Permits and Environmental Studies Component 20
Permits and Environmental Studies Deliverables 20
Plans, Specifications, and Estimate (PS&E) Component 21
PS&E Deliverables 21
Right of Way Component 22
Right of Way Deliverables 22
Construction Component 23
Construction Deliverables 23
Project Processes 25
Processes Overview 26
Process Groups 26
Initiating Processes 28
Planning Processes 28
Executing Processes 29
Monitoring and Controlling Processes 32
Closing Processes 32
Knowledge Areas 33
Project Integration Management 34
Project Scope Management 34
Project Time Management 35
Project Cost Management 35
Project Quality Management 36
Project Human Resource Management 36
Project Communications Management 37
Project Risk Management 37
Project Procurement Management 38
People 39
Roles 40
Stakeholders 40
Project Team 41
Project Development Team 43
Responsibilities 45
Concepts 45
Responsibility Matrix 46
Functional Deputy District Directors and Deputy Division Chiefs in the Division of
Engineering Services
50
Project Management Support Unit (PMSU) 50
Consultant Services Unit 50
One-Hat and Two-Hat Project Managers 51
Contents
Caltrans Project Management Handbook
vii
One-Hat Project Managers 51
Two-Hat Project Managers 52
Training & Skills 53
Tools 55
Project Management Plan 56
Project Charter 57
Workplan 58
Work Breakdown Structure 58
Resource Breakdown Structure 58
Organizational Breakdown Structure 58
Value Analysis & Value Metrics 59
Information Systems 61
California Transportation Improvement Program System (CTIPS) 61
Project Resource and Schedule Management (PRSM) 62
Transportation Accounting and Management System (TRAMS) 63
Staff Central 63
Project Management Data Warehouse (PMDW) 63
Systems Being Replaced 63
Glossary 65
Definitions 66
Acronyms 71
References 73
Index 75

Contents
viii Caltrans Project Management Handbook
Figures
Figure 1. Knowledge and skill sets needed for effective state highway project management 15
Figure 2. Components in the project lifecycle 18
Figure 3. Process group interaction 27
Figure 4. Project Team & PDT 43
Figure 5. Organizational structure: one-hat project manager 51
Figure 6. Organizational structure: two-hat project manager 52

Caltrans Project Management Handbook 9
1
BASIC CONCEPTS

This chapter:
 Defines what “project,” “project management,” “program
management,” mean at Caltrans
 Explains the purpose and goals of project management at Caltrans
 Provides a “big picture” view of project management as one of the
five knowledge and skill sets needed for project success
What Is a Project? Basic Concepts
10 Caltrans Project Management Handbook
What Is a Project?
A Guide to the Project Management Body of Knowledge (PMBOK® Guide)
1

defines a project as “…a temporary endeavor undertaken to create a unique
product, service, or result.” A Caltrans capital outlay project produces a
unique physical improvement to the transportation system in California.
“Project” refers to the work that is performed to develop a transportation
improvement product. Projects produce products. A project is temporary
because it has a definite beginning and a definite end. The outcome is
unique because it differs in some distinguishing way from all similar
products or services. For example, Caltrans may be engaged in many
highway maintenance projects, but each project is unique because it
involves a unique location and work elements on a specific section of
highway.
A Caltrans capital outlay project is initiated during the project initiation
document phase (PID) by opening an Expenditure Authorization (EA),
assigning a project manager, and deciding to begin the project. A Caltrans
capital outlay project ends when all close-out activities have been achieved
and the EA is closed.
Caltrans divides each project into “components,” each of which produces a
major product required by law. Collectively, these components constitute
the “project lifecycle.” For more information on the Caltrans project
lifecycle, see “
Project Lifecycle” on page 17.


1
Project Management Institute, 2004, Third Edition
Basic Concepts What Is Project Management?
Caltrans Project Management Handbook
11
What Is Project Management?
The PMBOK® Guide defines project management as “…the application of
knowledge, skills, tools, and techniques to project activities in order to
meet project requirements.” Project management balances competing
demands (scope, time, cost, quality, requirements, expectation of various
stakeholders, etc.) throughout the project lifecycle and involves the
interaction of three elements:
 People — People perform the work and determine the success or
failure of a project (see “
People” section on page 39).
 Processes — Processes specify products or deliverables required for
the project and identify who will perform the work and when (see
“
Project Processes” section on page 25).
 Tools — People use predefined tools and techniques to manage the
project (see “
Tools” section on page 55).
Why Do We Do It?
Limited available resources (compared to transportation needs) require the
efficient use of tax dollars. Project management helps Caltrans maintain
efficiency by helping to ensure that the right resources complete the right
tasks at the right time.
Project
Management
Mission
Caltrans delivers transportation improvements that meet customer needs.
Caltrans project teams use project management standards to deliver
quality projects that are timely and cost-effective. The purpose of project
management is to:
 Improve project delivery performance related to quality, scope,
schedule, and cost
 Reduce the support cost of producing the project
 Do the right things the first time
 Anticipate and respond to issues before they become problems
 Communicate effectively with stakeholders
 Manage change
 Manage risk
 Deliver projects that satisfy customer needs

Program
Management
Programs are used to define and identify all activities that together achieve
an objective of the Department or result in a specific product. Broken into
their elements, components, and task parts, they provide the essential basis
for planning, budgeting, accounting, and managing. The major programs
in the Department are Aeronautics, Highways, Mass Transportation,
What Is Project Management? Basic Concepts
12 Caltrans Project Management Handbook
Transportation Planning, Administration and Equipment Services. Laws
and regulations establish programs for government projects. These laws
and regulations define each program’s purpose, funding sources, and
funding process. In California State government, resources for programs
must be approved by the legislature in the annual budget.
Project Management vs. Program Management
This handbook describes the management of a single project; it does not
cover program management. The following table summarizes the
differences.

Project Management Program Management
The direction and supervision of one
project
The integration, coordination,
communication, and simultaneous
control of multiple projects
A discipline An operating environment
Project-wide (a tactical issue) Enterprise-wide (a strategic issue)
For the fiscal year 2007-2008, the following programs fund state highway
improvement projects:

Program Authority
State Transportation Improvement (STIP)
and Interregional Improvement Program
(IIP)
Government code 14529 (a) (1) and (2)
State Highway Operation and Protection
Program (SHOPP)
Government code 14526.5
Phase 2 Seismic Retrofit Program Government code 8879

Toll Bridge Seismic Retrofit Program Streets & Highway Code 188.5
Toll Bridge Improvements Program Streets & Highways code 30950
Transportation Enhancement Activities
(SHOPP TEA) – Caltrans Share
California Transportation Commission
(CTC) Resolution 00-18 (This is a federal
program with matching funds from the
SHOPP)
Transportation Enhancement Activities
(STIP TEA) – Caltrans Share
California Transportation Commission
(CTC) STIP Guidelines (This is a federal
program with matching funds from the
STIP)
Special Retrofit Soundwalls Items 2660-302-0042 and 2660-302-
0890 of the 2000 Budget Act (Chapter
52, Statutes of 2000)
Safe Routes to School Streets & Highways code 2333.5
Basic Concepts What Is Project Management?
Caltrans Project Management Handbook
13
Program Authority
Regional Measure 1 Streets and Highways code 30913
Regional Measure 2 Streets and Highways code 30914
Highway Safety, Traffic Reduction, Air
Quality and Port Security Bond Act
Government Code 8879.20
Traffic Congestion Relief Program (TCRP) Government Code 14556
State Highway Projects Funded from
Other Sources
Annual State Budget
Funds for every state highway project come from one or more of these
programs. Project managers must know which programs are funding their
projects, and understand the particular funding rules of those programs.
Some other tips for successful project management with respect to funding:
 A project manager must also understand and analyze funding cycles
for the various fund sources affecting his/her project.
 A project manager must make sure that a project conforms to the
Regional Transportation Plan.
 A project manager must understand what is meant by “financially
constrained” with respect to his/her project.
 A project manager must determine if his/her project has full funding
and understand the importance of it.
 A project manager must understand the importance or need for local
match where necessary.
 Ensure project is consistent with FTIP, if federal funds are involved.
The “State Highway Projects Funded from Other Sources” program
covers any project funded from sources other than the first 10
programs. Other sources include developer fees, local state tax, and
federal demonstration funds. Caltrans performs limited work on
these projects. The Legislature provides an annual budget for support
of this work.
Sub-Programs
Programs may have sub-programs. For instance, SHOPP includes the Minor
Program and Roadway Rehabilitation Program sub-programs. Each sub-
program has a particular funding process that sets it apart from the rest of
its parent program. For more information on Caltrans program funding
and approval process refer to:
http://www.dot.ca.gov/hq/transprog/index.htm.
What Is Project Management? Basic Concepts
14 Caltrans Project Management Handbook
Task
Management
Task Management is defined as the assignment of individuals (Task
Managers) to manage the production and completion of a discrete
deliverable, or work package, on a project within a defined schedule and
budget.
Task Managers on all Capital Projects are assigned, at a minimum, for all
Work Breakdown Structure (WBS) Level 4 and WBS Level 5 work
packages. Assigning Task Managers for lower level WBS work packages is
encouraged.
For more information on Task Management, see Deputy Directive DD-93
dated August, 2007.