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

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APPENDIX B OP 41 ADA Review – Level Boarding for Commuter Rail Revision 0, June 2008 Page B-1
U.S. DOT Federal Transit Administration TPM-20 Office of Engineering Project Management Oversight Oversight Procedure 43 – Annual 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) as regards the reliability of the Grantee’s project scope, capital cost and schedule as submitted to FTA for annual evaluation and/or recommendation to Congress. 2.0 BACKGROUND The number of project sponsors seeking New Starts or Small Starts funding has grown significantly over the years so that the amount sought exceeds the funding available. To ensure that FTA’s funds are well used, Congress requires that FTA report every year on the status of projects approved into FTA’s pipeline. This annual monitoring is meant to ensure these projects meet their goals and stay on-time and on-budget. Federal transit law requires that FTA evaluate and rate New Starts projects on project justification, cost-effectiveness, and local financial commitment prior to approving projects into a subsequent phase or making a recommendation to Congress for project funding. Evaluation and rating occurs when a project sponsor requests entry into a subsequent project phase. The request may or may not be coincident with FTA’s required annual report to Congress. The report includes the status of each project, ratings, recommendations for funding in the next fiscal year, and supporting information. 3.0 OBJECTIVES The PMOCs are familiar with the projects and are FTA’s best resource for insights regarding the projects. Therefore, the PMOC is to perform the review described below to provide findings, conclusions, and recommendations regarding the reliability of the Grantee’s project scope, schedule and cost estimate as a critical input to FTA’s annual project evaluation. The PMOCs are to make a statement of the potential cost range (lower / upper bound and most likely,) and describe uncertainties. For areas of significant uncertainty, PMOC are to recommend additional investigation, planning or design work by the project sponsor or other parties, with a schedule for the accomplishment of the work. (Note: The Grantee’s cost estimates are inputs into project cost-effectiveness calculations and financial plans.) 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: OP 43 Annual Review Revision 0, June 2008 Page 1 of 4
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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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6.3.2 Corrective Action: The Grante
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8.0 APPENDICES 8.1 Sample Review Ce
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comply? 5.3.1.5 Are the vehicle bod
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US DOT Federal Transit Administrati
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including: the applicability of Fed
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• Each document addresses the int
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APPENDIX A: CHECKLIST OP Section Is
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orders: 5.6.2.1 Is PDR consistent w
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design-to-budget approach that main
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15) Step the project forward using
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2.2 The New Starts Process New Star
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3.0 OBJECTIVES During the initial e
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7.0 REPORT, PRESENTATION, RECONCILI
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provisions) to make detailed design
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6) Identify any unknown or uncertai
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APPENDIX A Scope Review Checklist E
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o Development of strategies for min
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to then be backfilled or would othe
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• Major or critical work details;
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It is important to select a project
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6.2 Preliminary Document Review Upo
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o Level 4: Subdivide Level 3 as fol
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• Is integrated with and makes ad
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APPENDIX B Cost Estimate Review Che
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o Confirm that cost estimates are b
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12) Appendices a) Grantee Project I
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This sample of 118 cost items was s
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consistently accurate. In addition,
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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
Page 202 and 203: E) Lead times and durations for equ
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Page 208 and 209: orders may direct the PMOC to reeva
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Page 212 and 213: degree of understanding among the p
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Page 218 and 219: Construction Risk is subdivided int
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Page 224 and 225: Management Plan; these recommendati
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Page 230 and 231: milestones, the value of expected m
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Page 234 and 235: 4.2 Guidance coordination of platfo
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Page 238 and 239: APPENDIX A FTA Request for Informat
Page 242 and 243: 4.1 Legislative • The Safe, Accou
Page 244 and 245: 4) Cost estimate in year-of-expendi
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Page 250 and 251: d) Assessed safety and security iss
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Page 264 and 265: 2. Identify all apparent discrepanc
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Page 270 and 271: Table 1, continued: Expected Attrib
Page 272 and 273: • Real Estate Acquisition Managem
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Page 278 and 279: plan that ensures the necessary qua
Page 282 and 283: 5.3 Systems/Facilities Integration
Page 284: 6.2 Successful completion and recor
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