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

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U.S. DOT Federal Transit Administration TPM-20 Office of Engineering Project Management Oversight Oversight Procedure 33 – Capital Cost Estimate 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) with regard to the: • Soundness of the Grantee’s estimating methods and processes compared with proven professional quantity surveying and cost estimating practices for projects of this scale; • Congruence of the project cost estimate with the project scope and schedule, i.e. do these three elements fully reflect each other; • Reliability of the estimate for procurements, contract bids, and contract closeout, i.e. will the project budget prove to be adequate at these milestone events. 2.0 BACKGROUND Congress and FTA’s good stewardship insist that a Grantee’s cost estimates be reliable. The path to increased cost reliability is the application of sound engineering practices and professional experience and judgment to the development of project information. At the beginning points of project phases, such as preliminary engineering and final design, and at other points in project development, a thorough reevaluation of the scope, schedule and cost is performed to confirm and reconfirm the cost estimate’s reliability. 3.0 OBJECTIVES FTA’s objective is to assess the consistency of cost estimating information, understand its characteristics and descriptions as well as the correlation between the estimated quantities and the quantities shown on the design or contract documents. The Grantee’s cost estimate should reflect the scope in these documents. The PMOC is to review and characterize the cost estimate and its supporting information. The first time this review is performed, usually prior to entry of the project to preliminary engineering, a “baseline” is established, i.e. a point from which future estimates are measured. Later, when contract packages are conceived, the PMOC will evaluate the estimated costs in packages, and consider related General Conditions of the construction contract and other elements specific to the packages. FTA may direct the PMOC to perform this review prior to issuance of documents for bid, or during construction to assist the Grantee in deciding whether or not to reduce scope or enact other cost control measures or mitigations. OP 33 Capital Cost Estimate Review Revision 0, June 2008 Page 1 of 5
4.0 REFERENCES The statutes, regulations, policies, guidance documents and circulars in OP 01 apply. 5.0 PROJECT SPONSOR SUBMITTALS At a minimum, the PMOC is to obtain the Grantee’s current cost estimates and supporting information, environmental documents, project drawings, specifications, narratives, design criteria reports, the project schedule, information on real estate, and vehicle procurement. 6.0 SCOPE OF WORK FTA may direct the PMOC to perform any or all of the following: • A full project level cost characterization • A limited cost element review • Development of a cost estimate baseline • Performance of specialized quantitative cost modeling or assessments, surveillance reporting or trends analysis; • Reevaluation of project cost information on a periodic or event driven basis • Presentation to the Grantee of findings, analysis, recommendations, and opinions • Participation in a workshop with the Grantee to discuss the project 6.1 Basic Review The Grantee’s cost estimate shall be reviewed for the following: • Mechanically correct and complete • Free of any material inaccuracies or incomplete data • Consistent with relevant, identifiable industry or engineering practices • Uniformly applied by the sponsor’s cost estimators and consistent in its method of calculation • Consistent with available design documents • Consistent with the project scope described in NEPA document, Record of Decision, or other base documents • Characterize the level of estimating: o Level 1: Characterize the line quantities and nature of the estimate as being: the product of unit cost and quantity (Unit costs are defined when the estimate separately identifies direct and indirect cost components.) a cost estimating relationship (CER); (Unit pricing is classified as CER.) a lump sum (sometimes referred to as an “allowance” or “plug number”) o Level 2: Subdivide Level 1 as follows: quantities indicated in both the design documents and the cost estimate quantities indicated only in the cost estimate quantities indicated only in the design documents o Level 3: Subdivide Level 2 into the following subcategories: Cost to Cost CERs Non-Cost to Cost CERs OP 33 Capital Cost Estimate Review Revision 0, June 2008 Page 2 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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Requirement PMOC Review Comments 5C
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waiver is requested are not produce
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Page 140 and 141: including: the applicability of Fed
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Page 200 and 201: 3.0 OBJECTIVES FTA’s objective is
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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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