Restoration Project Implementation Module

1.0 Introduction
2.0 Decide the Approach
3.0 Project Management Plan
3.1 Project Description
3.2 Statement of Work
3.3 Project Team
3.4 Project Schedule
3.5 Project Budget
3.6 Communication
3.7 Reporting Requirements
4.0 Contracting and Agreements
4.1 General
4.2 Contract and Agreement Preparation
4.3 COR or Project Manager Responsibilities
5.0 Engineering Assistance
6.0 Project Management
7.0 Project Oversight
8.0 Safety, Health, and Other Requirements
8.1 Occupational Safety and Health Administration (OSHA)
8.2 Labor, Civil Rights, and Socioeconomic Requirements
9.0 Permits
9.1 Clean Water Act (33 U.S.C. 1251 et seq.)
9.2 Endangered Species Act (18 U.S.C. 1531 et seq., 50 CFR Parts 17, 222, 224)
9.3 National Historic Preservation Act (16 U.S.C. 470)
9.4 Other Permitting Requirements
10.0 Realty-Based Site Protection Mechanisms
10.1 Site Protection Alternatives
10.2 Control, Enforcement, and Duration
10.3 Authorities
10.4 Administrative Guides
10.5 Solicitor's Office and the Department of Justice Functions
10.6 Key Terms
11.0 Long-Term Maintenance

1.0 Introduction

At the conclusion of the restoration planning process, a preferred restoration alternative is selected. The next step is to implement this alternative. Implementation includes all the activities necessary to execute the selected restoration alternative and achieve restoration goals and objectives. Although implementation is typically considered the “doing,” not the “planning,” successful restoration implementation demands a high level of advance scheduling and foresight that constitutes planning by any measure.

Implementation is carried out under a wide variety of scenarios. Implementation of the preferred alternative may be led by the trustee bureau, a co-trustee, or by the responsible party, and the selected alternative may encompass any number of restoration projects. The responsible party may retain control and take the lead in implementing the preferred alternative, or the restoration funds may come to an affected trustee who will, in turn, take the lead in implementation. The selected alternative may encompass any number of restoration projects, including those involving construction, land acquisition, or both. From an implementation standpoint, the most challenging of these scenarios is when the restoration funds are provided to the trustee, several discrete restoration projects have been selected, extensive construction is involved, and the trustee bureau representative has project management responsibilities.

The information provided in this module discusses development of a Project Management Plan (PMP), available engineering resources, applicable labor laws, permits, contracts, and agreements. This module also provides guidelines for project management, project oversight, and site protection mechanisms, and discusses considerations for long-term maintenance. For restoration projects where the responsible party retains control, or no significant construction or land acquisition/easements are involved, it may not be necessary to follow all of the steps outlined in this module.

2.0 Decide the Approach

The overarching goal of restoration implementation is to restore or rehabilitate the injured natural resources to a condition where they can provide the same level of services provided before the injury, or to replace or acquire the equivalent natural resources capable of providing such services. Underlying project objectives are specified during the restoration planning process, however project-specific details are often developed subsequent to the release of the final restoration plan.

As planning for project implementation proceeds, the following list of questions should be answered with respect to the selected restoration alternative:

1. Is land acquisition or an easement involved? If yes, see Section 10.0 of this module.
2. Is permission needed for site access? If so, who is responsible for obtaining written permission?
3. Will contractors be utilized? If so, for what activities?
4. Is construction involved? If so, the following determinations will need to be made:

• Are surveys, and/or engineering plans and specifications required? If so, who will prepare them?
  (See Section 5.0 of this module for engineering assistance options.)
• Are permits required? If so, who will prepare the permits and submit them? (See Section 9.0 of this module.)
• Who will contact utility companies to determine the location of any underground utilities?
• Will the restoration planning, design, or construction/implementation be contracted or performed in house? If it is to be contracted, who will handle the contracting? If your bureau will do the contracting, you should contact your contracting office immediately to determine if there is a standing contract available or what information is needed to bid the work and establish a contract.
  (See Section 4.0 for a discussion of contracting considerations).
• Who will provide oversight during the restoration implementation process? Who will be the contracting officer's representative (COR) (also referred to as the contracting officer's technical representative [COTR])?
  (See Section 6.0 Project Management and Section 7.0 Project Oversight of this module).

5. Does the project involve the purchase of materials, supplies, or services? If so, who will be responsible for making these acquisitions? If there is a surplus of materials or supplies left over after the project is completed, who will retain these resources? If your bureau will be responsible for these acquisitions, coordinate with your contracting office as soon as possible to discuss acquisition options.
6. Does the project involve the establishment of interagency or cooperative agreements with other agencies or organizations? If so, who will prepare these? If necessary, will an attorney be available to review them?
   (See Section 4.0 of this module for more details on the use of these instruments.)
7. Will the project require long-term monitoring or protection measures? If so, who will be responsible for these activities?
   (See Section 10.0 of this module for project protection options.)
8. Will the project require long-term maintenance and/or monitoring? If so, who will be responsible for these activities?
   (See Section 11.0 of this module for project maintenance/monitoring provisions.)

Once these questions are answered, the main roles and responsibilities associated with implementing the restoration project are defined. For larger projects with multiple parties involved and shared responsibilities, it is recommended that the project manager develop a PMP. The next section discusses what should be included in a PMP and provides a general template for its use.

3.0 Project Management Plan

The Project Management Plan (PMP) is a document that details specific restoration project activities that are part of the preferred alternative identified in the restoration plan. The PMP should be consistent with the restoration plan and Trustee Memorandum of Understanding (MOU), and is typically developed only for large, complex restoration projects; smaller projects usually do not require the development of a detailed PMP. The PMP can be viewed as a step-down document that delineates project implementation requirements through completion and closeout.

The PMP is a management tool for the project manager and the other project team members, and provides a framework that focuses restoration actions on specific objectives and the attainment of restoration goals. The number of sections and specific content of a PMP may vary based on your bureau's guidance and the nature of the project, but in all cases a PMP clearly identifies the project scope, goals, objectives, budget, schedule, and responsibilities of participants in project execution. A PMP also provides a means to assess project success and completion, and specifies reporting requirements. The following sections further discuss the elements of a PMP.

3.1 Project Description

This section of the PMP provides a brief summary of the appropriate background information and gives a concise description of the project within the context of the preferred alternative identified in the restoration plan. Most projects for which a PMP is written have an overarching goal or set of goals, and underlying objectives designed to achieve the goal(s).

3.2 Statement of Work

This section of the PMP clearly and completely describes the scope of restoration actions that address the project goals. The project manager ensures the statement of work contains complete and concise technical information and direction that must be followed by parties implementing restoration actions. The statement of work may be used by the contracting officer in requests for bid proposals to prospective contractors, and in contracts and assistance agreements. A statement of work example for engineering support services is found in the Bureau of Land Management (BLM) Project Management Handbook at the link below:
http://www.blm.gov/pgdata/etc/medialib/blm/wo/Information_Resources_Management/policy/blm_handbook.Par.19962.File.dat/H-1703-4.pdf

3.3 Project Team

Once the key questions regarding the approach to restoration are answered (see Section 2.0), the project team is identified and their roles and responsibilities defined. In order for a project to be successful, the project team must have a thorough and complete understanding of their individual roles and responsibilities, and efficient lines of communication between team members need to be established from the outset.

The team makeup can vary greatly, depending on the size and nature of the project. Every team should identify a project manager. The project manager is the project champion and takes the lead in coordinating all of the activities associated with the project (see Section 6 for information on project management). If the project includes government contracts for engineering services or construction, lines of communication are simplified if the project manager also serves as the COR for these contracts. Always communicate with government contractors through the contracting officer or the COR. (See section 4.0 for contracting considerations.)

Possible team members include:

• Project manager
• Contracting officer, if government contracts and/or agreements are involved.
• COR, if government contracts and/or agreements are involved.
• Bureau program representative, if the project is on government property
  (examples include the Park Superintendent if in a national park, the Refuge Manager if on a national wildlife refuge, or the Area Director if on BLM lands).
• The landowner, if the project is on private land, or the land-holding entity if the project involves a conservation easement or other type of land protection instrument.
• Bureau budget tracking/administrative personnel.
• Design engineer responsible for completing the plans and specifications. This could be a federal government engineer or a representative of a contracted architect/engineering (A/E) firm.
• Construction inspector who oversees the construction phase if the project includes construction. If the project does not include construction, someone should be designated to verify that the restoration project is completed as described.
• Other trustee technical representatives who have a direct role in the implementation.
  (This should include the restoration project technical representative for the authorized official [AO]).
• Government solicitor
• Government realty specialist, if land acquisition or easements are required.

Once the team members are identified, their roles and responsibilities should be clearly described. Accurately define each team member's lead and supporting roles. Although communication is discussed in a separate section, describe specific coordination and communication responsibilities here as well.

3.4 Project Schedule

The project schedule describes the major milestones and interim steps in enough detail to enable the reader to understand how the project will progress to completion. Include information on the duration of tasks, milestones, and how tasks are interrelated. Depending on the complexity of the project, this section may need to be updated several times during the course of the project. For example, for a project requiring surveys, engineering design, permits, and construction, the schedule should be updated after the engineering design is completed, while waiting for permits, and after the construction contractor is selected.

The project schedule should be adjusted if in-house staff or a contractor is unable to meet a milestone under the normal project schedule. Prior to modifying the schedule, the project manager should evaluate the options as to where the schedule can be changed and the risk associated with each change. Schedules need to be realistic but should also be aggressive enough to keep the project moving. When developing the schedule, it is important to consider the sequence in which events need to happen. For example, it may be necessary to complete the survey and preliminary engineering design before permits can be submitted, or perhaps some preliminary site work, such as land clearing, will be done by the landowner or in-house staff before the construction contractor begins work. These types of considerations need to be built into the schedule.

The schedule is important for managing project progress and avoiding resource conflicts during the project. The schedule also aids the project team in understanding the status of the project. On larger projects, it can be very useful to develop a Gantt chart or similar graphical representation of the schedule. This allows the sequence and relative time requirements of each project element to be readily visualized. There are a number of commercially available project management software packages with this capability.

When developing schedules consider the following points:

• All work items and dates should be clearly identified. For example, does the report completion date mean when the report is finished (before going to reproduction) when it is mailed to the team, or when the team members receive the report? The difference may only be a week or a few days, but the impact may be magnified under restrictive schedules.
• The sequence of work should be connected through a system that links the work tasks together.
  This process requires an understanding of which items must be completed before another task can begin. Computer scheduling programs identify the task that must start or finish before another can begin as “predecessor tasks”. When the tasks are linked together, any changes to one of the individual items will be reflected in all of the subsequent linked tasks.
• All schedules must identify time constraints and, if necessary, any restraints on resources.

3.5 Project Budget

The implementation budget must address the following three cost categories associated with implementing a restoration project: (1) planning and design, including permits; (2) restoration contracting or any direct purchases of supplies or services; and (3) project management, including inspection and management during implementation and any post-completion monitoring or protection costs. These three main costs have additional subcategories which should be shown in the actual budget.

At this stage of the project, it is assumed that a settlement has been reached, and the funding amount for the project is known. The initial project budget is based on the cost estimates provided in the restoration plan for the selected alternative. As more detailed cost information becomes available during project planning and design, the budget needs to be adjusted. With a fixed settlement amount, there are limited options for making adjustments to the budget, and inflation must be taken into account if there is a significant delay between the settlement date and the start of restoration activities. If the cost of an element of the restoration project is higher than estimated, adjustments may be made by doing one or more of the following: (1) reducing project scope to meet available funds; (2) reducing contracted elements and utilizing services of trustees or landowner(s) to reduce costs of implementation; or (3) finding additional partners to provide additional funds or services.

Consideration should also be given to how the budget tracking will be addressed during the life of the project. Who will do it? How often will budget statements be generated? What information will be provided with the statements? The project manager/COR should always be given the opportunity to review bills and verify completed work before payments are made to the contractors. This section of the PMP should address all of these issues.

3.6 Communication

The major coordination responsibilities should have been identified for individual project team members when the team was established (see Section 3.3). These responsibilities should be restated here, with emphasis on how these responsibilities relate to each other and the flow of communication. For example,
if the project involves a government-hired contractor, communication with that contractor must be through the contracting officer or the COR.

Clearly describe who has responsibility for coordinating document reviews, who will do the reviews, and how much time is allowed. The lines of communication during the implementation process should be described so that team members understand what they can expect in terms of communication and what is expected of them. Regularly scheduled face-to-face meetings and/or teleconferences should occur to encourage communication among project team members.

Even with a comprehensive restoration plan in place, the implementation process will raise additional questions and issues that must be addressed. From the beginning, it is important that team members clearly understand the lines of authority and who will be responsible for making final decisions.

3.7 Reporting Requirements

This section of the PMP lists the required progress and completion reports. The project manager is responsible for making sure these reports are completed, submitted and distributed to the appropriate team members. The bureau case manager ensures they become part of the case restoration administrative record. Standard reports required for restoration projects include restoration implementation progress reports, restoration monitoring reports, and restoration completion reports. Reporting frequency must be determined early and included in the PMP. As the projects proceed, adjustments in frequency can be made as needed. Other required reports include progress reports as specified by the project manager to be completed by contractors and other parties who implement restoration projects. Such reports are further discussed in Section 6 of this module. If a restoration project is completed through a construction contract, it is mandatory that daily logs be submitted to the COR by the individuals responsible for construction inspection.

4.0 Contracting and Agreements

4.1 General

Contracts are often used to prepare technical plans and specifications and implement restoration projects. As stated earlier, once the decision is made to use a contractor, your contracting officer should be contacted and become part of the project team. All tasks are specified in the scope of proposed work and contract provisions. Any special requirements of the agency or project should be included (e.g., the National Park Service [NPS] requires using only native plant material in revegetation projects in national parks). Periodic inspections by engineering personnel and representatives of the trustees are required to ensure that the materials used meet the specifications, the work performed is properly completed, and project goals are being met. Some issues that should be considered in addressing contractor roles and responsibilities include:

• What constitutes successful completion of the contract obligations with the contractor?
• What is the planned order of work and necessary scheduling?
• Who is responsible for permitting, both for obtaining and for compliance?
• Who is responsible for obtaining permission to work on the property?
• Where are utilities located, and what are related concerns?
• What records and reports will be needed to provide necessary documentation (forms, required job site postings, etc.)?
• What arrangements are needed for traffic control?
• What specific environmental concerns are present on the site? Who has permit responsibility, both for obtaining and for compliance?
• How often, and in what form, do you want reports on the progress of the work?
• Once a contractor is selected, it is helpful to hold a pre-work conference to make sure the contractor clearly understands project details and the proper chain of command under the contract.

4.2 Contract and Agreement Preparation

If your bureau will be responsible for preparing and overseeing a contract, cooperative agreement, grant agreement, or other financial instrument, you should consult your local contracting office or contracting specialist as early as possible. The contracting office or specialist can assist in the planning so that you can allocate adequate funding and track the disbursement of funds. They will also help you select the appropriate funding mechanism (e.g., contract, cooperative agreement, etc.), make sure all of the necessary clauses are included, and review your responsibilities. Some of the more important aspects of contract and agreement preparation are summarized below.

4.2.1 Communication

The importance of communication in establishing a solid working relationship between your contracting specialist, contractor and the rest of the project team cannot be overstated. Many team members do not
have contracting backgrounds, and thus do not recognize that contracting specialists must adhere to their own set of standards and regulations, such as the Procurement Integrity Act and Anti-Deficiency Act, both of which are part of the Federal Acquisition Regulation (FAR). The contracting process goes much more smoothly if members of the project team recognize that their teammates come from diverse backgrounds with differing lines of authority. Please refer to Section 7.0 of this module for a review of communication strategies.

4.2.2 Selection of Appropriate Instruments

Significant, fundamental differences exist between agreements and procurement contracts/acquisitions (contracts), and both procedures may be used concurrently or separately to implement restoration projects. Their principal purposes are different: the purpose of a contract is to acquire property or services or perform construction for the direct benefit or use of the federal government, while the principal purpose of an agreement is to transfer something of value to a recipient to accomplish a public purpose. Their sources of implementing guidance are different: contracts are governed by the FAR, while agreements are governed by the Federal Grant and Cooperative Agreement Act and circulars issued by the Office of Management and Budget (OMB). One critical difference between agreements and contracts is that assistance agreements are not used to acquire goods or services for the direct benefit of the federal government.

Types of contracts include:

• Simplified Acquisition Procedures (SAP) – used for acquisitions of less than $150,000 ($5.5 million for commercial items; see FAR 2.101 and 13.500 for more details).
• Sealed Bidding – used for acquisitions of greater than $150,000, and includes two-step sealed bidding (FAR Part 14). Sealed bidding is used when time permits solicitation, submission, and evaluation of bids, award is to be made on the basis of price and price-related factors, discussions are not necessary, and competition is expected.
• Negotiated Contracts – used for acquisitions of greater than $150,000, and requires consideration of price, contractor past performance, and contractor technical capability (FAR Part 15). Negotiated contracts are used when proposals are to be evaluated by a formal panel, a competitive range of proposals is identified, and when discussions/negotiations with the selected offeror(s) is required.

Types of agreements commonly used by DOI bureaus in the NRDAR program include interagency agreements, intra-agency agreements, cooperative agreements, grant agreements, Challenge Cost-Share Arrangements, Indian Self-Determination Act contracts, memoranda of understanding, and private lands agreements. Attributes of these agreements are summarized in Table 1 below: