Standard Operating Procedures (SOPs) Manual

The Standard Operating Procedures (SOP) Manual defines policies and standard procedures governing the business processes and project delivery practices for MBTA Capital Programs projects.

The purpose of this manual is to provide process and practice guidance to MBTA project staff as well as participating private sector consultants, construction managers and contractors.

MBTA expansion programs (I.E. South Coast Rail) and MBTA departments outside of Capital Programs will utilize the SOPs related to Procurement and Contract Management. Expansion Programs and other departments will adopt the remainder of the SOPs at their discretion.

The intent of the manual is to promote efficiency by facilitating the consistent understanding and execution of the processes for all process stakeholders.

The format for the SOPs are standardized into seven sections as follows:

1. Policy: This section defines when the use of the SOP is appropriate and/or required.
2. Purpose: This section defines the intended outcome of the process
3. Responsibilities: This section assigns and explains responsibilities of the numerous stakeholders that will participate in the process. This includes internal MBTA resources as well as consultant and contractor resources.
4. Instructions: This section outlines the steps necessary to successfully execute the process.
5. Exceptions: This section identifies exceptions to the use of this process if any.
6. Document History: This section will be used to track modifications and updates to the SOP.
7. Appendices: This section will be used to identify reference documents and templates to be used for the process.

The Manual will be updated periodically throughout FY22 by issuing new SOPs and modifying existing SOPs as needed. After FY22, modifications to existing SOPs will be made on an annual basis based on the individual SOPs original issue date.

New SOPs will be added as they are generated and approved for use by Capital Programs executive management. Notifications for new processes will be posted on the MBTA public website and MBTA Capital Program Staff will be notified through internal email notifications and posts on the Capital Program’s page on TSTOP.

Project stakeholders should visit the SOP Manual site at the onset of each discrete process execution to insure that the most recent version of the process and its attached templates are utilized. Once a process has been initiated, the process version at the time of initial execution will govern. The SOPs in this manual supersede all previously published instructions and direction.

View and download the PS Selection Process/Contract Award SOP

The purpose of this SOP is to provide step-by-step instructions for implementing a professional services selection process. Professional services may include but are not limited to: design services, program management, feasibility studies, auditing, engineering, architectural, and other required services. 

For more information, please refer to the MBTA Procurement Manual – Chapter 1 and 2.

Effective date 6/30/21

View and download the CN Advertising SOP

The purpose of this SOP is to establish and document the standard procedures for the advertisement of standard Design Bid Build construction contract within Capital Programs.

This process is intended to facilitate the consistent advertising of construction contracts by providing general direction and guidance to process participants including, but not limited to, the Design Consultant, MBTA Project Manager, and Construction Contract Services.

Effective date 6/30/21

View and download the CN Bidding SOP

The purpose of this SOP is to establish and document the standard procedures for procurement of Design Bid Build construction contracts.

This process is intended to facilitate the consistent bidding of construction contracts by providing general direction and guidance to process participants including, but not limited to, the Design Consultant, MBTA Project Manager, and Construction Contract Services.

Effective date 6/30/21

View and download the CN Pre-Award SOP

The purpose of this SOP is to establish and document procedures for the Pre-Award of a construction contract. 

This process is intended to facilitate the preparation and verification of post bid activities that are required for every construction contract award.

Effective date 6/30/21

View and download the CN Contract Award and Execution SOP

The purpose of this SOP is to establish and document standard procedures to award and execute a Construction Contract in a timely manner.

Effective date 6/30/21

View and download the ETSA SOP

The purpose of the ETSA SOP is to provide the Project Office with a method to authorize designers or consultants to proceed with emergency or time-sensitive services on a limited basis prior to the execution of a Task Order or Contract Amendment.

The ETSA SOP is not to be used for convenience or to mitigate for the lack of adequate project or program planning.

Effective date 5/14/21

View and download the PS Task Orders SOP

The purpose of this SOP is to establish and document procedures to prepare, review, and execute a Task Order under a GEC Contract or a project-specific contract, if appropriate. This step-by-step guide is intended to clearly articulate how to execute a Task Order.

Effective date 5/14/21

View and download the PS Amendment/Transfer of Funds SOP

The purpose of this SOP is to establish and document procedures to prepare, review, and execute an Amendment which may include one or more of the following: 

• Time Extension
• Additional Scope
• Ceiling (funding) Increase 
• Transfer of Funds 

Any of the following changes to a contract must be processed through an execution of an Amendment.

Effective date 6/30/21

View and download the PS Invoicing SOP

The purpose of this SOP is to establish and document standard procedures for the review, approval, and payment of a professional services invoice on a Capital Programs project.

This process is intended to facilitate the consistent and timely processing of professional services contract invoices by providing general direction and guidance to process participants including, but not limited to, the consultant, MBTA Project Office, MBTA Contract Administration, and MBTA Capital Programs Oversight.

Effective date 7/12/21

View and download the PS Reallocation of Funds SOP

The purpose of this SOP is to establish and document procedures prepare, review, and approve a Reallocation on a Capital Programs Project.

Effective date 6/30/21

View and download the Professional Services Closeout Manual

The purpose of this SOP is to define the contract closeout process for professional services. The goal is to ensure all specified work has been completed in accordance with the contract, all record documents have been received, and all financial aspects of the contract are settled.

Effective date September 2022

View and download the CN Invoicing SOP

The purpose of this SOP is to establish and document the standard procedures for the review, approval, and payment of a construction Invoice on a Capital Programs project.

This process is intended to facilitate the consistent and timely processing of construction contract Invoices by providing general direction and guidance to process participants including, but not limited to, the contractor, MBTA Field Staff, MBTA Project Office, MBTA Construction Contract Services, and MBTA Capital Program Oversight.

Effective date 7/12/21

View and download the Construction Closeout Manual

The purpose of this SOP is to define the contract closeout process for construction contracts. The goal is to ensure all specified work has been completed in accordance with the contract, all record documents have been received, and all financial aspects of the contract are settled.

Effective date September 2022

View and download the Safety Incident Report SOP

The purpose of this SOP is to ensure consistency in safety incident reporting in order to improve construction incident investigations, to aid in the development of corrective actions and learned lessons, and to improve and centralize incident notification procedures.

Effective date 4/15/22

View and download the Change Orders/RR Internal SOP

The purpose of this SOP is to familiarize both new and existing Authority employees to the processes in which a change order is issued to the contractor to amend their contract.

This process demonstrates actions required by both the Authority and third party contractors and itemizes the documentations required from conception of the change to final administrative execution.

Effective date 6/30/21

View and download the Small Dollar Change Orders SOP

The purpose of this SOP is to establish and document step-by-step procedures for receiving, evaluating and processing Risk Reallocations and Change Orders valued at $25,000 or less by the MBTA on its capital construction projects.

The Small Dollar Change Order Resolution Program will allow authorized modifications in the scope of work & cost by an expedited review of Risk Reallocations and Change Orders submissions valued at less than $25,000.

The process relies on streamlining the authorizing paperwork and eliminating the need for an elaborate COA Strainer. Multiple issues can be processed together within a single change action, including a single authorizing PS Exhibit 3-4 and Form 3, so long as no one issue is valued at greater than $25,000.

Effective date 6/30/21

View and download the Work Directives SOP

The purpose of this SOP is to establish and document procedures to prepare, review, and issue a Work Directive for the contractor to perform extra work or work within the scope of the contract, subject to the Contractor’s right to object and reserve rights. 

This step-by-step guide is intended to clearly articulate how to comply with requirements for scope review, budget, and other authorization requirements.

Effective date 6/30/22

View and download the Construction Schedule Review Process SOP

The purpose of this SOP is to establish the MBTA standard guideline for the review of all construction schedule submittals. This procedure is being issued to improve communication and quality in the schedule review process.

Effective date 5/31/22

The purpose of this SOP is to allow the MBTA to plan, execute, monitor, and report on projects within the multi-year capital improvement program. It will be developed and maintained by Project Controls, with input and information provided by project sponsors and stakeholders.

Please check back for the most up-to-date SOP to view and download.

View and download the Value Engineering Review Process SOP

The purpose of this SOP is to ensure that feasible alternatives are reviewed objectively by the Value Engineering Review Committee (as defined in the Project Controls Manual) and efforts are made to incorporate these alternatives in the design of a project.

Effective date 5/31/22

View and download the Independent Construction Cost Estimate Review Process SOP

The purpose of this SOP is to bring a third party perspective to the design and cost estimates. The independent cost estimate is reconciled with the designer’s estimate to provide the MBTA with an informed probable construction cost.

Effective date 5/31/22

View and download the Risk Analysis Report/Workshop SOP

The purpose of this SOP is to evaluate the uncertainty/risks about the scope, cost, and duration of a capital project. This allows the MBTA to manage and reduce project uncertainty through risk mitigation, and allows the project management team to determine an appropriate monetary risk reallocation contingency to be included in the project budget.

Effective date 5/31/22

View and download the Constructability Review Process SOP 

This review determines if the design is constructible with conventional construction techniques, and without undue difficulty or expense. It considers ease of construction, environmental factors, construction phasing, scheduling, project safety (including safety of the traveling public), operation considerations, required support, and traffic management planning.

Effective date 5/31/22

View and download the Quality Assurance Plan

The purpose of this document is to ensure compliance with all requisite contract documents, codes, and standards during the design, construction, and acceptance of the project. This ensures that all work completed by consultants and contractors is verified and documented.

View and download the Project Development Group (PDG) SOP

The purpose of this SOP is to provide a systematic, documented, and controlled project management practice for OCE, Delivery, Transformation, and Transit-Oriented Development (TOD) Project Offices for executing the intent of the Project Charter in contract drawings and specifications throughout the design phase of a project.

Effective date 3/15/22

View and download the Consultant Performance Evaluation Reports (CPERs)

The purpose of this SOP is to perform an objective evaluation of Consultant Performance that provides feedback to the Design Team so that they can improve the quality of negotiations, design submittals and construction phase performance as the work progresses. Having more standardized ratings that are tied to measurable ratings criteria will provide better data to Design Team selection committee members.

Effective date 3/15/22

View and download the Design Quality Audit Procedure

The purpose of this SOP is to provide direction for a systematic, independent process of gathering objective evidence to assess whether the Design Team is implementing the requirements of its approved quality program, and whether the MBTA Project Office and other internal MBTA Departments are complying with the requirements defined in Capital Delivery Quality Assurance Plan, SOP) and Manuals.

Effective date 10/3/22

The purpose of this SOP is to establish a method for identifying and reviewing the materials, parts, and components proposed for the work. The review of these items is necessary to ensure only the specified items are incorporated into the work.

Please check back for the most up-to-date SOP to view and download.

View and download the Construction Design Change Request (DCR) Process

The purpose of this SOP is to obtain approval to modify the contract documents, plans, or specifications that were initially submitted and reviewed.

The Design Change Request (DCR) process will describe the change requested, provide reasoning for the change, and assign responsibility of review. The process is integral in tracking the current state and ownership of the DCR.

Effective date 9/1/22

View and download the Design Errors and Omissions (E&O) Evaluation Process SOP

The purpose of this document is to assess the performance of design consultants to determine if they are meeting their standard of care with respect to design submittals, and to improve the quality of contract drawings and specifications.

Effective date 4/15/22

This purpose of this SOP is to ensure only work that has passed the required inspection or testing during fabrication and construction is incorporated into the final product.

Please check back for the most up-to-date SOP to view and download.

View and download the Construction Nonconformance and Corrective Action Reporting (NCR) Process

The purpose of this SOP is to provide a consistent method of identifying and tracking items which do not meet contract requirements, are performed with unapproved methods or standards, do not meet required inspections protocols or testing standards, or for any reason as determined by the Design Team.

The Non-conformance Report (NCR) process will document the non-conformance, propose resolution, identify the cause, establish preventative/corrective action, and document the resolution of the item. This will aid in identifying trends in the process that require improvements to produce higher quality deliverables.

Effective date 9/1/22

View and download the Contractor Performance Evaluation Reports (CPERs)

The purpose of this SOP is to provide an objective evaluation of the construction contractor’s work and the management of their subcontractor's work.

The evaluation will be based on standardized ratings obtained from measurable criteria as outlined in the guidelines established in this procedure.

Effective date 3/15/22

View and download the Construction Quality Audit Procedure

The purpose of this SOP is to establish and document procedures for planning, performing, reporting and follow up of internal and external quality audits. Audits provide the MBTA with the objective evidence needed to evaluate the auditee’s implementation of their quality assurance plan and project quality requirements.

The process and audit team responsibilities are based upon the MBTA Quality Assurance Program and the most current Quality Management System Guidelines published by the Federal Transit Administration.

Effective date 10/3/22

View and download the Project Quality Plan (PQP) Review Process SOP

The purpose of this SOP is to establish the process of evaluating PQPs prepared by Design Consultants. The process outcome is to accept or provide recommendations to the MBTA Project Manager and design team regarding necessary changes to the PQP for it to be deemed approved for use.
 
Effective date 11/1/23

The purpose of this SOP is to outline the process by which projects in the public way are reviewed for impacts to MBTA service, infrastructure, property, or easements.

Public way projects are municipal or public works improvements within the public way, or projects reviewed as part of municipal public way processes such as the City of Boston Public Improvement Commission.

Please check back for the most up-to-date SOP to view and download.

The purpose of this SOP is to establish and document the standard procedures for generating and submitting a Capital Programs Staff Summary.

This process is intended to facilitate a consistent and timely submittal of Staff Summaries for attaining the GM’s signature in preparation for FMCB approvals.

Please check back for the most up-to-date SOP to view and download.

Capital Programs

• Capital Delivery (CD) 
• Capital Programs Strategy & Innovation (CPSI) 
  • PMIS Team 
• Capital Programs Support (CPS) 
  • Contract Services 
  • Project Controls 
  • Quality Assurance/Quality Control (QA/QC) 
  • Transit Oriented Development (TOD) 
• Capital Transformation (CT) 
  • Green Line Transformation (GLT) 
  • Orange Line Transformation (OLT) 
  • Red Line Transformation (RLT) 
• Office of the Chief of Capital Programs (OCCP) 
• Capital Program Oversight (CPO) 
• Office of Diversity and Civil Rights (ODCR) 

Certified Public Accountant (CPA)

Design Team (includes consultant, engineer of record)

Disadvantaged Business Enterprise (DBE)

Drawings and Specifications (versus plans and specs)

Emergency or Time Sensitive Authorization (ETSA) Formerly EWOL

General Engineering Contract (GEC)

Independent Cost Estimate (ICE)

Notice to Proceed (NTP)

Office of Chief Engineer (OCE)

Order of Magnitude Estimate (OME)

Overhead (OH)

Project Management Information System (PMIS)

Project Office (includes Project Managers and Project Coordinators)

Purchase Order (PO)

Standard Operating Procedure (SOP)

Teamwork (name for Enterprise e-Builder)

CN DBE Sheet - Statement of Payment to Subcontractor

CN Escrow Bid Documents

CN Invoicing Cover Sheet

CN Pre-Bid Review Control Sheet (PRCS)

CO/RR Attachment A (Forms 3 & 3-4)

CO/RR Exhibit 3-4

CO/RR Independent Cost Estimate (ICE) - Non-Union

CO/RR Independent Cost Estimate (ICE) - Union

ETSA Template Package

PS Executive Summary

PS Exhibit 3-4

PS Independent Cost Estimate (ICE) - GEC Historic Analysis

PS Independent Cost Estimate (ICE) - Standard

PS Invoicing Package

PS Invoicing Progress Report (PS Sample 21)

PS Request for Proposal (RFP)

Request for Construction Contract No.

Scope and Compensation Matrix

MBTA Level of Effort Guidelines

PRCS Instructions

PS Reallocation Guidelines

RE Invoicing Checklist

Recommended Escalation by Project Type