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

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provisions) to make detailed design decisions. Because of the nature of a design-build contract, a change in scope that occurs after contract award is likely to be much more costly than a similar change to a project being built using a design-bid-build process. This result occurs because any scope change will affect both the design schedule and the construction schedule, which are closely tied by the design-build contract. 3.0 OBJECTIVES The objective of this review is to verify that the overall scope of the project is complete and well defined and when applicable, that the scope is consistent with the scope in the FFGA or FFGA amendment. The scope to be reviewed includes the Grantee’s internal plans and organization for project delivery; third party responsibilities; and plans and specifications prepared by the Grantee prior to advertising work for construction. If the project scope has been increased or reduced, it will be necessary to determine if the project still meets the functional requirements established upon approval of the FFGA. 4.0 REFERENCES The following are the principal, but by no means the only, references to Federal legislation, codification, regulation and guidance with which the PMOC should have a good understanding as related to the Grantee’s project work being reviewed under this OP: 4.1 Regulations • Project Management Oversight, 49 C.F.R. Part 633 4.2 Guidance • Project and Construction Management Guidelines, 2003 Update • FTA Standard Cost Category Workbook (SCC) http://www.fta.dot.gov/planning/newstarts/planning_environment_2580.html 5.0 PROJECT SPONSOR SUBMITTALS • When applicable, executed Full Funding Grant Agreement (with Attachments) and approved and pending amendments • Project Description • Project Management Plan • Current Integrated Project Schedule • Current Project Budget • Project Implementation Plan, Procurement Management Plan or Contracting Plan • Final Environmental Documents (FEIS, FONSI, DCE) • Results of the most recent project risk assessment and risk mitigation plan • When applicable, documentation submitted to gain approval to enter Final Design • Value Engineering Report(s) • Constructability Review(s) • Documents describing any changes to project scope that have occurred since the FTA approved entry into Final Design • Final Design Documents (Plans, Specifications and Estimates) OP 32C Project Scope Review Revision 0, June 2008 Page 2 of 5
6.0 SCOPE OF WORK 6.1 PMOC Qualifications The individual or team of individuals selected to perform this evaluation should have extensive experience in the planning and delivery of large complex federally funded transit projects. The experience should include familiarity with the issues usually presented during the construction phase of such projects. 6.2 Preliminary Document Review Upon receipt of the assignment, the PMOC should request the specified materials from the Grantee. The PMOC may already be generally familiar with the project as a result of on-going monitoring activities. If the assigned personnel are not familiar with the project, they should review the materials in preparation for their on-sight visit. 6.3 On-site Review Meeting The PMOC should arrange for an on-site briefing by the Grantee’s project management team. The briefing should focus on any changes in the scope of the project that have occurred since the last major review milestone, e.g. commencement of preliminary engineering, commencement of final design, execution of the FFGA. The discussion of project scope should include a review of the Grantee’s plan for project delivery, any changes in the Grantee’s plans for managing the project through the construction, start-up, testing and acceptance phases, and any changes in external factors such as thirdparty agreements that would affect project scope. 6.4 Review and Assessment The Scope Review Checklist, attached as Appendix A, provides a guide to evaluating the scope for completeness. The checklist should be used in conjunction with the project cost estimate and schedule to develop a comprehensive understanding of the scope and as a cross-check for scope omissions and conflicts. The PMOC should address the following questions. The answers should be comprehensive, with sufficient information to allow the reader to develop a complete understanding of any significant changes in the scope of the project since the last major milestone. 1) What changes in project scope have occurred since the last major milestone e.g. commencement of preliminary engineering or final design, execution of the FFGA? 2) Have the known changes been incorporated into the documents, Project Management Plans, and the Full Funding Grant Agreement? 3) Are there any additional known or anticipated changes to scope at the time of this assessment? 4) Do the project delivery plans and construction documents reflect the full scope of the project? If not, identify any missing elements. 5) Do the current cost estimate and schedule correlate with the known and anticipated scope of the project? OP 32C Project Scope Review Revision 0, June 2008 Page 3 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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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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