FTA Oversight Procedures - Federal Transit Administration - U.S. ...

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U.S. Department of Transportation Federal Transit Administration TPM-20 Office of Engineering Project Management Oversight Oversight Procedure 25 – Fleet Management Plan Review ______________________________________________________________________________ 1.0 PURPOSE The purpose of this procedure is to define the requirement for review of the Grantee’s Fleet Management Plan. The intent of this review is to enable the FTA to determine whether the investment is justified, based on general standards for such investment, and whether the investment will result in a properly maintained and operated fleet, which will provide the full benefit of the initial investment to the public. Together with the Project Management Plan, an applicant for Federal funding must submit rail and bus fleet management plans. FTA will not approve or disapprove the applicant’s fleet management plans, per se, but the FTA Regional Office and the Program Management Oversight Contractor (PMOC) will review the adequacy of those plans as part of FTA’s assessment of the applicant’s technical and financial capacity. A Fleet Management Plan should enable a transit operator to properly plan for and carry out the overall management of its entire vehicle fleet. An effective plan will address all the factors that are relevant to the operator’s determinations of current and future equipment needs in light of demand, focusing on (a) vehicle life expectancy, (b) the requirements for peak and spare vehicles, (c) strategies for acquisition of new vehicles, and (d) strategies for maintenance and operations. The purpose of fleet management plans submitted in support of an application to enter Final Design or for an Full Funding Grant Agreement (FFGA) is to ensure that the applicant’s transit service will not be degraded as a consequence of the design and construction of the new starts project, and that the applicant will have adequate service to meet the transit demand for the years leading up to and following construction of the new starts project. This procedure provides a major input to FTA in its determination that the grantee fleet management plan is adequate, or could be made adequate with modifications. 2.0 BACKGROUND FTA in a 1999 Dear Colleague letter explained that the purpose of a fleet management plan is to encourage a transit operator or grantee to properly plan for and carry out the overall management of its vehicle fleet. It also suggested an outline format to assist in FTA’s review of fleet management plans and presented a general plan outline to assist grantees in preparing their plans. The letter stressed that the items in the outline section were to be viewed as minimums and not as the only items to be incorporated in the fleet management plan. OP25 Fleet Management Plan Review Revision 0, June 2008 Page 1 of 5
3.0 OBJECTIVES As a minimum, the fleet management plan submitted in support of a new starts project should reflect a 15-year time frame. Logically, the historical and empirical data compiled through past and current operations of a fleet will set the starting point for certain portions of the plan. A fleet management plan should address in detail the composition of the fleet, operating conditions, maintenance, facilities, peak vehicle demand, and spare ratio. Guidance on fleet management plans may be obtained from FTA Regional Offices. FTA recognizes that every fleet is unique to the environment in which it operates. Several years may pass from the development of technical specifications through the bid process, technical reviews, construction contractor award, engineering, prototype testing and analysis, to actual production and, ultimately, revenue service. Thus, the fleet management plan is a dynamic document. When a plan needs to be revised, for whatever reason, a draft of the revised plan should be submitted to the FTA Regional Office for review and comment. The role of the PMOC in this process is to evaluate, based on the experience and knowledge of the qualified evaluator(s), the extent to which the grantee has met the intent of the requirement to have a Fleet Management Plan, as well as the grantee’s ability to carry out the Plan. The evaluator should first examine whether all of the required factors have been included in the Plan, and then provide opinions on whether the Plan is: a) feasible, based on the resources immediately available to the Grantee, b) sustainable, based on the long term infrastructure and resources anticipated to be available to the Grantee, and c) comprehensive, based on its consideration of the required factors to properly maintain and operate the new or refurbished vehicles contemplated. An operator of a rail system must have in its file available upon request by FTA a fleet management plan that addresses operating policies (level of service requirements, train failure definitions and actions); peak vehicle requirements (service period and make-up, e.g., standby trains); maintenance and overhaul program (scheduled, unscheduled, and overhaul); system and service expansions; rail car procurements and related schedules; and spare ratio justification. The PMOC may be asked to: • Share its knowledge of fleet management practices with the grantee; • Assist in identifying materials that are crucial to the successful development of a fleet management plan; • Provide plans that have been found complete and reasonable as models of "best practices" among grantees; • Provide further outlines of the elements in a fleet management plan that makes it comprehensive and acceptable to the grantee’s operation; • Participate in the review of the fleet management plan to ensure the plan is comprehensive and complete in its analysis of the rail operations; OP25 Fleet Management Plan Review Revision 0, June 2008 Page 2 of 5
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CLIN# OP# FTA Oversight Procedures
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5.0 GRANTEE SUBMITTALS NA 6.0 SCOPE
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6.1.2 Task Orders FTA headquarters
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and communications systems; fare co
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7.1 Format Avoid repetition in the
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APPENDIX B Sample Task Order ______
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APPENDIX D Sample Proposal Format _
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U.S. DOT Federal Transit Administra
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Management controls are the organiz
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5. Act in a manner consistent with
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5) Introduction to PMOC scope of wo
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7.3 Project Status Reporting - Cont
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Cost $2,500,000 $2,000,000 $1,500,0
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• Legislators, legislative staff
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4.2 FTA Circulars • C5010.1C, Gra
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v) develop and implement a force ac
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4.0 REFERENCES The following are th
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o PMOC’s opinion of situations an
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The report formatting requirements
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APPENDIX A Sample - Lessons Learned
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APPENDIX A Scope Review Checklist E
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o Development of strategies for min
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to then be backfilled or would othe
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• Major or critical work details;
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It is important to select a project
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6.2 Preliminary Document Review Upo
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o Level 4: Subdivide Level 3 as fol
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• Is integrated with and makes ad
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APPENDIX B Cost Estimate Review Che
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o Confirm that cost estimates are b
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12) Appendices a) Grantee Project I
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This sample of 118 cost items was s
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consistently accurate. In addition,
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SCC-10.02 Earth Excavation Although
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The scope review identifies risk in
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• Producer Price Index (PPI) - Th
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APPENDICES PROJECT COST ESTIMATE ([
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EXHIBIT D-1: PROJECT COST ESTIMATE
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3.0 OBJECTIVES FTA’s objective is
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E) Lead times and durations for equ
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activity durations. Critical path f
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US DOT Federal Transit Administrati
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orders may direct the PMOC to reeva
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Design‐Build or CM‐GC), the pro
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degree of understanding among the p
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management labor and profit/fee. Su
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US DOT Federal Transit Administrati
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Construction Risk is subdivided int
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Category or sub‐category cost ele
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with the construction contractor. T
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Management Plan; these recommendati
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etween risk reduction and risk acce
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75% construction 85% 90% constructi
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milestones, the value of expected m
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4.2 Guidance coordination of platfo
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communicate with the vehicle manufa
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APPENDIX A FTA Request for Informat
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APPENDIX B OP 41 ADA Review - Level
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4.1 Legislative • The Safe, Accou
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4) Cost estimate in year-of-expendi
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• Project Schedule (Master Schedu
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d) Assessed safety and security iss
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• Interim Guidance on Design-Buil
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(3) Appropriateness of the proposed
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7) Project Schedule The PMOC should
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2) The Grantee’s program for adva
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2. Identify all apparent discrepanc
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• The PMOC shall assess whether t
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to FD phase of the project, should
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Table 1, continued: Expected Attrib
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• Real Estate Acquisition Managem
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performed Quality assurance records
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plan that ensures the necessary qua
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5.3 Systems/Facilities Integration
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6.2 Successful completion and recor
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