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

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It is important to select a project delivery method that can best satisfy the goals of the Grantee. Those goals could include rapid construction, lowest constructed cost or a unique innovative design, among other things. It is also important to consider the technical capacity and capability of the grantee. Different staffing levels and skill sets are required to successfully manage a design-bid-build approach versus a design-build approach. An agency embarking on its first rail project will face many decisions that will require careful consideration. A traditional design-bid-build approach can provide more opportunities and time to consider those decisions without necessarily impacting the project schedule. Using a design-build approach, however, will require the grantee to make decisions at the outset as part of the preparation of the performance specifications. A delay in making those decisions may negate the perceived schedule advantage offered by the design-build approach. The overall strategy for delivering the completed project should be developed early in the Preliminary Engineering phase. These decisions should start with the identification of the key objectives of the grantee. There may actually be multiple objectives that apply to either the overall project or some selected elements. Knowing these objectives is vital to the selection of the proper project delivery method. Once the objectives are known, they can be matched against the various delivery methods to determine which method or methods best accomplish the stated objectives. This comparison should also take into account the physical characteristics of the project, including the amount of right-of-way to be acquired and the number of individual parcels affected, whether development involves negotiation of rights with a freight railroad, the number of political jurisdictions involved, the need for a tunnel or significant aerial structures, etc. All of these factors play into the ultimate selection of the project delivery strategy and methods. Once these decisions have been made, it is vital that the grantee tailor the contract documents and procurement process to match the selected delivery method(s). The use of the incorrect form of contract for a specified delivery method or failure to consider the time necessary for a negotiated procurement will have serious negative consequences for the grantee. The development of the project delivery strategy during the PE phase is important because the final design phase of the project is directly linked to the strategy. The design consultant must know at the proposal stage whether he is going to completely design the facilities for use in a competitive bid situation or if he is going to produce one or more performance specifications for design-build packages. Further, if competitive bidding is the selected approach, it will be important to identify how many construction contract packages are expected to be produced. The project development strategy is also directly linked to the grantee’s project management approach and staffing decisions. 3.0 OBJECTIVES The objective of this review is to verify that the grantee has developed a rational plan for project delivery; that the plan is based on satisfying the grantee’s objectives for the project or its individual parts; that the plan is based on the unique characteristics of the project; that the plan was developed with consideration of the current and expected conditions of the local and national construction market place; that the project delivery method(s) chosen are appropriate for the associated project element; and that the plan takes into account the grantee’s technical capacity and capability. OP 32E Project Delivery Method Review Revision 0, June 2008 Page 2 of 5
4.0 REFERENCES The following are the principal, but by no means the only, references to Federal legislation, 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 United States Code • 49 U.S.C. Section 5327 4.2 Regulations • Project Management Oversight, 49 C.F.R. Part 633 4.3 FTA Circulars • C4220.1, Third Party Contracting Requirements 4.4 Guidance • Project and Construction Management Guidelines, 2003 Update - 2.2.6 Project Risk Analysis and Procurement Planning - 4.2 Construction Procurement Considerations - 4.2.1 Construction Contract Bid Documents and Requirements 5.0 PROJECT SPONSOR SUBMITTALS • Project Description • Preliminary Plan Set • Project Cost Estimate • Project Schedule • Project Management Plan • Project Implementation Plan, Procurement Management Plan or Contracting Plan • Results of any project risk assessments 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 capital projects. The experience should include the use of a variety of delivery methods. The individual(s) should be familiar with the advantages and disadvantages inherent in the various techniques, and the factors that would influence the choice of a particular delivery method. Ideally, the individual(s) should have managed the actual construction of multiple projects using a variety of contracting methods. OP 32E Project Delivery Method 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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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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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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