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

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4.1 Legislative • The Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users, or SAFETEA-LU, Pub.L. 109-59, as amended. 4.2 United States Code • 49 USC 5309, most recently reauthorized by the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU) in August 2005. SAFETEA- LU directs FTA to evaluate and rate candidate New Starts projects as an input to federal funding decisions and at specific milestones throughout each project’s planning and development. SAFETEA-LU further supports a comprehensive planning and project development process which New Starts projects must follow. 5.0 PROJECT SPONSOR SUBMITTALS Obtain the following from the Grantee: • Project narratives/descriptions • Environmental impact studies and mitigation plans • Diagrams, drawings, plans, profiles, cross section drawings, special design studies, graphics • Specifications, design criteria reports • Capital cost information including: o Estimating methodology memo (refer to Appendix A) o Complete cost estimate in project sponsor’s original format including Calculations for construction escalation by commodity type Calculations for inflation by year o Complete cost estimates in FTA’s Standard Cost Category (SCC) format. The SCC worksheets serve as a reporting format. They summarize the actual cost estimate. (Obtain from the project sponsor the same version of the worksheets the project sponsor has submitted or will submit to FTA for the annual review.) • Schedule information in project sponsor’s original format and in SCC format • Risk assessment and mitigation report, when a risk assessment has been conducted • A copy of the PMOC annual review from previous year 6.0 SCOPE OF WORK Meet with the project sponsors regarding project conditions and current developments. 1) On an introductory page of your report, provide the following information: a) Date of your report b) Project name and location c) Project sponsor d) PMOC firm e) Person (and affiliation if different from PMOC firm) providing this report f) Length of time PMOC firm and person have been assigned to this project 2) Describe the history and basis of the cost estimate for the project. a) Verify that the cost estimate in its original and SCC formats are consistent. Identify discrepancies between the content in the two formats. b) Indicate the date of the SCC Workbook (see “Today’s Date” on the BUILD Main); attach the OP 43 Annual Review Revision 0, June 2008 Page 2 of 4
Excel file of the SCC Workbook to your email with the report c) Explain reasons for increases in the cost estimate and any updates d) Example: i) “The estimate was originally done in (year of estimate) when the project sponsor requested entry to final design. It could be characterized as a “bottom up” estimate as it was done from scratch and based on a very complete preliminary engineering set of documents. It made wide use of quantities, unit costs (it separated direct from indirect costs.) The estimate was $250 million in 20-- Base Year dollars and $300 million in Year of Expenditure (YOE) dollars. The current estimate was updated in (date) to $310 million YOE. The increase of $10 million is attributable solely to an inflation rate correction. Based on the June estimate, the Grantee’s SCC worksheets dated (include date), submitted as part of their New Starts submittal, indicate $310 million YOE.” e) For all of the following questions, refer to the cost estimate and schedule both in their original format and in the SCC format. Also refer to the drawings and other project documents listed above. 3) Cost estimate in (year) Base Year Dollars. a) Characterize the scope and level of scope definition that formed the basis for the project sponsor’s current capital cost estimate. Has the original project scope since the original cost estimate been changed? If the scope has changed, do the current cost estimates reflect the change? b) Assess and evaluate the capital cost estimate. Make recommendations where appropriate for change of approach or additional work. i) Check the estimate’s internal consistency (does it add up?) ii) Check the estimated quantities through comparison with drawings iii) Check the unit costs through comparison with recent similar bid prices iv) Check the reasonableness of pricing escalation for specific construction elements and commodities based on current conditions v) Check the reasonableness of the cost estimate for and assumptions behind the General Conditions of the Contract in terms of allocation of risk to the project sponsor, the construction contractors, etc. vi) Have important changes occurred since the project sponsor’s actual cost estimate was prepared that would render the estimate less valid? How does the project compare with the project reviewed by the PMOC in past years? vii) Identify sources of uncertainty and related potential for cost increase. Estimate the cost and time impact of these uncertainties. Uncertainties may include unresolved issues or inadequate project definition associated with the design and construction scope; the political, institutional and project management context of the project; procurement conditions, contracting methodology, bid climate; methodology of developing the capital cost estimate itself; perceived biases in the estimate; funding sources / financing mechanisms; cost of inflation or change in the value of the dollar over time. viii) Check the amount of allocated contingency for specific line items. Has allocated contingency been used to target perceived uncertainties in scope, schedule or cost in a specific line item? In your opinion, is the total allocated contingency as a percentage of total base year dollars and project scope adequate? Is the contingency adequate to cover unforeseen conditions in all project areas and remain in reserve until construction is well underway? OP 43 Annual Review Revision 0, June 2008 Page 3 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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SCC-10.02 Earth Excavation Although
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Page 234 and 235: 4.2 Guidance coordination of platfo
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