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

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o Confirm that cost estimates are based on realistic levels of staffing for the duration of the project through close-out of construction contracts. o Confirm that costs for permitting, agency review fees, legal fees, etc. have been included. • Allocated Contingency o Confirm that adequate contingency has been allocated to each of the SCC categories based on the perceived risk inherent to each. • Cat. 90 - Unallocated Contingency o Confirm that adequate contingency has been added to the total project cost based on the perceived project risk. • Cat. 100 – Finance Charges o Confirm that finance charges are included if necessary. Ensure that the Grantee and <strong>FTA</strong>’s Financial Management <strong>Oversight</strong> Consultant review the reasonableness of the amount of finance charges. • Inflation o Confirm that adequate inflation rates have been applied to Base Year project costs to anticipate costs at procurement or bid time for contracts. The Year of Expenditure costs should be developed thoughtfully. Reference indices that may be useful are the ENR Building Cost Index and Construction Cost Index, some with regional cost databases. OP 33 Capital Cost Estimate Review Revision 0, June 2008 Page B-3
APPENDIX C Report Contents and Format 1) Table of Contents 2) Executive Summary (3 pgs. max) 3) Project Background a) Project description and information, including subsections for Project Delivery Method, Contract Packaging Strategy, construction phasing/sequencing 4) Methodology a) Describe the methodology used to deliver PMOC’s sampling plan b) Present, discuss, and thoroughly demonstrate the PMOC’s approach to identifying allowances and latent (hidden) contingencies c) Evaluation Team - Separately present PMOC and Grantee organizations 5) Review and Analysis of Project Cost a) Patent (exposed) contingency information may be included as a separate column in order to reconcile this information to the project cost estimate. 6) Review and Analysis of Correlation in Project Quantities a) Present analysis of the correlation of design document quantities with those in the cost estimate; also present recommended adjustments to the Grantee’s cost estimate. 7) Review and Analysis of Construction General Conditions Costs a) Present the assessment and evaluation of the General Conditions of the construction contract, referring to proposed construction contractor requirements, and characterized by contract package. Contrast Grantee’s general conditions cost estimate against PMOC’s independent cost estimate independent estimate for the systems work and the three largest construction contracts. 8) Review and Analysis of Escalation and Inflation Rates a) Review and evaluate the application of escalation rates to costs for materials, labor and equipment. Consider the adequacy and reasonableness of the rates, the soundness of the economic forecasts. When necessary, recommend adjustments to the Grantee cost estimate. b) Review and evaluate the application of inflation rates to the Base Year dollars to arrive at Year of Expenditure dollars. Consider the adequacy and reasonableness of the rates, the soundness of the economic forecasts. When necessary, recommend adjustments to the Grantee cost estimate. 9) Review and Analysis of Sponsor Allowances and Identification of Latent Contingency a) Present the basis for the PMOC’s review and evaluation of the general uniformity and reasonableness in the Grantee’s use of allowances. b) Present the review and evaluation of certain cost elements in the Grantee’s cost estimate that are functionally equivalent to contingency but not identified as such. 10) Review and Analysis of Project Cost Estimate Classification a) Present the basis for the review and evaluation of the general uniformity and reasonableness in the sponsor’s use of allowances. 11) Conclusion a) Summarize findings b) Make recommendations for adjustments to the estimate along with time frames for implementation c) Include information related to the Cost Estimate Review Checklist (Appendix B) d) Summarize overall project risk OP 33 Capital Cost Estimate Review Revision 0, June 2008 Page C-1
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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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(5) To provide PMOCs with recommend
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4.1.2 Pre-Award Purchaser’s Requi
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5.0 PMOC REVIEW OF PROJECT SPONSOR
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• If no, examine contract files,
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Page 146 and 147: orders: 5.6.2.1 Is PDR consistent w
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Page 152 and 153: 2.2 The New Starts Process New Star
Page 154 and 155: 3.0 OBJECTIVES During the initial e
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Page 158 and 159: provisions) to make detailed design
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Page 162 and 163: APPENDIX A Scope Review Checklist E
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Page 196 and 197: APPENDICES PROJECT COST ESTIMATE ([
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Page 200 and 201: 3.0 OBJECTIVES FTA’s objective is
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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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