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

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APPENDIX E Sample Report Cover Page _________________________________________________________________________________ PMOC Contract Number DTFT__-__-_-_____ Task Order Number ___ Project Number DC-__-____ Work Order Number ___ OPs Referenced ___ CAPITAL COST ESTIMATE REVIEW Great City Light Rail Subway Project Great City Transportation Authority Region or City, State May 1, 2008 May 22, 2008, Rev. 1 PMOC firm name, address PMOC lead person’s name, affiliation if different from PMOC firm, phone, email Length of time PMOC firm and person have been assigned to this project _________________________________________________________________________________ OP 01 Administrative Conditions and Requirements Revision 0, June 2008 Page E-1
U.S. DOT Federal Transit Administration TPM-20 Office of Engineering Project Management Oversight Oversight Procedure 02 – PMOC Implementation, Transition Plans, and Project Status Reporting ______________________________________________________________________________ 1.0 PURPOSE The purpose of this Oversight Procedure is to describe the review, analysis and recommendation procedures and reporting requirements expected by Federal Transit Administration (FTA) from the Project Management Oversight Contractor (PMOC) with regard to two types of administrative tasks: Implementation / Transition Plans and Project Status Reporting. 2.0 BACKGROUND 2.1 Implementation and Transition Plans 2.1.1 Implementation Plans The PMOC is required to develop and submit for review, comment and approval an Implementation Plan at the contract, task order, and work order levels. These Contract, Task Order, or work order level Implementation Plans play a key part in demonstrating to FTA that the PMOC has achieved and maintains a readiness to perform services and produce deliverables and outcomes in a satisfactory manner that meet FTA’s requirements. Implementation Plans define how the PMOCs’ services, products, deliverables, etc. will be accomplished in a manner and quality that meets FTA’s requirements. Unless otherwise directed by the COTR, PMOC services, products and outcomes will be performed in conformance with the then current version of the FTA approved Implementation Plan. The Contract Level Implementation Plan defines how multiple task orders or a combination of Regional and Headquarters task orders will be accomplished. The Task Order Level Implementation Plan defines how task order level services, products, deliverables will be accomplished. Minimize duplication between the Task Order and Contract implementation plans. Identify and explain inconsistencies. The Work Order Level Implementation Plans may be required if the work is to be performed over many months, the work is particularly complex, or if FTA has concerns regarding the PMOC’s technical approach, staffing, schedule, etc. 2.1.2 Transition Plans Transition Plans are required for Task Orders when changes in PMOC assignment necessitate. For Work Orders, Transition Plans may be required if the work is particularly complex or for other reasons indicated by FTA. FTA may require new PMOCs to replace or supplement the staff of current PMOCs when the current/resident/outgoing PMOC develops a conflict of interest with the subject project or FTA determines that it is in FTA’s interests to assign a replacement or supplemental PMOC. OP 2 PMOC Implementation, Transition Plans, and Project Status Reporting Revision 0, June 2008 Page 1 of 9
Page 1 and 2: CLIN# OP# FTA Oversight Procedures
Page 3 and 4: 5.0 GRANTEE SUBMITTALS NA 6.0 SCOPE
Page 5 and 6: 6.1.2 Task Orders FTA headquarters
Page 7 and 8: and communications systems; fare co
Page 9 and 10: 7.1 Format Avoid repetition in the
Page 11 and 12: APPENDIX B Sample Task Order ______
Page 13: APPENDIX D Sample Proposal Format _
Page 17 and 18: Management controls are the organiz
Page 19 and 20: 5. Act in a manner consistent with
Page 21 and 22: 5) Introduction to PMOC scope of wo
Page 23 and 24: 7.3 Project Status Reporting - Cont
Page 25 and 26: Cost $2,500,000 $2,000,000 $1,500,0
Page 27 and 28: • Legislators, legislative staff
Page 29 and 30: 4.2 FTA Circulars • C5010.1C, Gra
Page 31 and 32: v) develop and implement a force ac
Page 33 and 34: 4.0 REFERENCES The following are th
Page 35 and 36: o PMOC’s opinion of situations an
Page 37 and 38: The report formatting requirements
Page 39 and 40: U.S. DOT Federal Transit Administra
Page 41: APPENDIX A Sample - Lessons Learned
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• Recipients with major capital p
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follow, have different names for si
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documents referenced in the SSMP to
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(2) The effectiveness of the proces
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For recipients with projects affect
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APPENDIX A: SSMP REVIEW CHECKLIST -
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App. No. Checklist Item Plan Requir
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APPENDIX B: LIST OF SUGGESTED DOCUM
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DOCUMENT (Title and acronym; R sign
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DOCUMENT (Title and acronym; R sign
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APPENDIX D: SAMPLE INTERVIEW QUESTI
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APPENDIX E: SSMP REVIEW CHECKLIST -
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Note: SSMP Element Compliant with D
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SSMP Element Compliant with DRAFT G
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APPENDIX F: DISCUSSION OF CONTENTS
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candidates for the committee so tha
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US DOT Federal Transit Administrati
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the time. During preliminary engine
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• Plans - who prepares, who can m
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U.S. Department of Transportation F
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• Serve as a resource by lending
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c. Peak Vehicle Requirement include
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3 PMOC review of Grantee’s Operat
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Requirement PMOC Review Comments 5C
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waiver is requested are not produce
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(5) To provide PMOCs with recommend
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4.1.2 Pre-Award Purchaser’s Requi
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5.0 PMOC REVIEW OF PROJECT SPONSOR
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• If no, examine contract files,
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6.3.2 Corrective Action: The Grante
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8.0 APPENDICES 8.1 Sample Review Ce
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comply? 5.3.1.5 Are the vehicle bod
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including: the applicability of Fed
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• Each document addresses the int
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APPENDIX A: CHECKLIST OP Section Is
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orders: 5.6.2.1 Is PDR consistent w
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design-to-budget approach that main
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15) Step the project forward using
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2.2 The New Starts Process New Star
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3.0 OBJECTIVES During the initial e
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7.0 REPORT, PRESENTATION, RECONCILI
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provisions) to make detailed design
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6) Identify any unknown or uncertai
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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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U.S. DOT Federal Transit Administra
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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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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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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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