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

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6) Identify any unknown or uncertain conditions (e.g., right-of-way to be acquired, permits to be issued, third-party agreements to be finalized) that may affect the cost and/or schedule for construction and the grantee’s plan and schedule for resolving these issues. 7) Do the contract documents address these unknown or uncertain issues in a way that appropriately allocates risk and avoids incurring unnecessary costs? 8) Based on this review of the project and its current documentation, are there likely to be changes in project scope (including related cost and schedule impacts) beyond those ordinarily expected during the construction phase. If so, identify these items and discuss the grantee’s plan for resolving them. 9) If the scope of the functional elements of the project has changed, e.g., longer/shorter alignment, fewer/more stations, fewer traction power substations, etc., can the revised project still meet the capacity requirements of the program and as approved in the FFGA? The PMOC shall assess and evaluate grantee and material third party project information and data and produce characterizations of the project scope that integrate and summarize available information and data for the Federal project, providing all professional opinions, analysis, information, data and descriptive text in an accessible and understandable format. 1) Such project data can include but are not limited to scope, capacity, level of service, functionality, reliability, etc. 2) Characterizations for individual scope elements such as guideway, vehicles, systems, etc. shall be totally sufficient to provide FTA with a project or sub-project level understanding. 3) For those projects in the PE or FD phases, the PMOC shall review and characterize the Grantee’s project scope in terms of its descriptions, designs, products, etc. using the checklist from Appendix A to determine that it is: • Substantially consistent with that adopted in the Record of Decision; • Sufficiently complete to support the level and quality of revenue service typically offered by the Grantee; • Proprietary systems or methods specified will permit a reasonable number of construction contractors with the expertise to compete for construction packages. • Major work details, structural element dimensions, design interfaces and physical interfaces are complete and well defined. • Plans and drawings are adequate in terms of content, presentation, clarity, cross-referencing and detail. • Roles and responsibilities of construction contractors versus those of the authority (Grantee staff and its consultant support) are also well defined. • Project is constructible. 4) Review and characterize the Grantee’s project system and vehicle description. Determine whether the Grantee has matched appropriate technologies with the planned transit applications for the best performance at a reasonable cost. 5) In the absence of adequate scope detail for a given level of design, the PMOC shall validate project data by comparing the current Grantee assumptions to relevant, identifiable industry experience. OP 32C Project Scope Review Revision 0, June 2008 Page 4 of 5
7.0 REPORT, PRESENTATION, RECONCILIATION The PMOC’s findings should be presented in descending order of importance (most likely, largest consequences, least likely, moderate/minor consequences) and accompanied by recommendations for modifications or additional work by the Grantee along with a time frame for the performance of the work. 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 Grantee. In the event that differences of opinion exist between the PMOC and the Grantee regarding the PMOC’s findings, the FTA may direct the PMOC to reconcile with the Grantee and provide FTA with a report addendum covering the agreed modifications by the Grantee and PMOC. The report formatting requirements of OP-1 apply. When necessary, PMOC shall perform data analysis and develop data models that meet FTA requirements using Microsoft Office products such as Excel, Word, Microsoft Project, 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 32C Project Scope Review Revision 0, June 2008 Page 5 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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the time. During preliminary engine
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Page 118 and 119: 3 PMOC review of Grantee’s Operat
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Page 132 and 133: 6.3.2 Corrective Action: The Grante
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Page 140 and 141: including: the applicability of Fed
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Page 152 and 153: 2.2 The New Starts Process New Star
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Page 158 and 159: provisions) to make detailed design
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Page 200 and 201: 3.0 OBJECTIVES FTA’s objective is
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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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