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

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7.0 REPORT, PRESENTATION, RECONCILIATION The PMOC shall provide FTA with a written report of its findings, analysis, recommendations, professional opinions, and a description of the review activities undertaken. After FTA approval, the PMOC should share the report with the project sponsor. In the event that differences of opinion exist between the PMOC and the project sponsor regarding the PMOC’s findings, the FTA may direct the PMOC to reconcile with the project sponsor and provide FTA with a report addendum covering the modifications agreed to by the project sponsor and the PMOC. The report formatting requirements of OP-1 apply. When necessary, the PMOC shall perform data analysis and develop data models that meet FTA requirements using Microsoft Office products such as Excel and Word and use FTA-templates when provided. The PMOC may add other software as required but documentation and report data shall be made available to FTA. OP 32B Environmental Document (NEPA) Review for New Starts Projects Revision 0, June 2008 Page 6 of 6
U.S. DOT Federal Transit Administration TPM-20 Office of Engineering Project Management Oversight Oversight Procedure 32C - Project Scope Review ______________________________________________________________________________ 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) as regards the review of the scope of the Grantee’s project prior to advertising the project (or the first construction contract) for construction. The purpose of the review is to verify that the scope of the project represented by the totality of all contract plans and specifications is internally consistent, defined to a level appropriate for the project development phase, consistent with the estimated cost and schedule, and when applicable, consistent with the scope approved in the grantee’s Full Funding Grant Agreement. 2.0 BACKGROUND Monitoring project scope as the project moves through the various phases of development benefits cost control and management of risks inherent in the process. The scope of a transit project funded by Section 5309 funds is first established through the Alternatives Analysis (AA) process. The scope at that point is often defined in general terms by the type of transit technology to be employed, the length of the project, the number of stations, and other general characteristics. The project scope is continuously refined as it moves through the successive phases of Preliminary Engineering (PE) and Final Design (FD). The ultimate scope of the project is established in the Full Funding Grant Agreement (FFGA) entered into between the Grantee and the FTA. Any changes in the scope as defined in the FFGA are expected to be minor in nature, and any significant changes are subject to the approval of the FTA. The scope of the project is subject to review by the FTA as part of the process of approving the Grantee’s entry into Preliminary Engineering. Subsequently, the scope is reviewed as part of the process of approving the Grantee’s entry into Final Design. Ideally, scope definition and refinement occurs during the PE phase. The scope of the project should be very well defined at the completion of PE, and the Final Design phase should be limited to preparing the drawings, specifications and related documents necessary for construction. In practice, however, some projects are not completely defined at the completion of PE and additional definition is provided during the FD phase. Note that the effort to define (or redefine) any particular element of project scope becomes increasingly costly and disruptive as the project moves from AA through PE and FD and into construction. The cost of a construction change order is greater and its impact on completion of the project is more significant than if the change had occurred prior to bid. For these reasons, the scope must be tightly defined prior to the advertisement for construction. Scope definition is particularly important in the case of a design-build project. If the Grantee has selected a design-build project delivery method, the most important design document will be a performance specification. This document will determine what the construction contractor has to deliver, and once under contract, the Grantee-Owner gives up the right (subject to contractual OP 32C Project Scope Review Revision 0, June 2008 Page 1 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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• 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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Page 118 and 119: 3 PMOC review of Grantee’s Operat
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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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