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 45 – Small Starts 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 Small Starts projects: the reasonableness, quality, completeness, and reliability of the project scope, cost, and schedule and the technical capacity and capability of the Grantee to execute the project. This PMOC may be directed to perform this review at various milestones during the project development, including: • Approval for entry into Project Development (first design phase) • Approval for a Project Construction Grant Agreement (PCGA) / funding • When issues arise that may impede project progress or successful implementation 2.0 BACKGROUND FTA conducts oversight of major capital projects receiving federal funds to assess Grantee compliance with federal requirements and ensure projects are completed within budget and on schedule. The project management oversight (PMO) program also has an important role in providing technical assistance to Grantees, helping them address problems and other issues that arise during the various phases of project development, from preliminary engineering through construction and start-up. Initially, prior to the passage of SAFETEA-LU, formal oversight was limited to New Starts projects (Major Fixed Guideway Capital Investments) funded through 49 U.S.C. Section 5309 and generally with a capital cost of at least $100 million and $25 million or more in Section 5309 program funding, although most projects exceeded these thresholds. SAFETEA-LU amended the Section 5309 program to provide funding for a new category of projects designated Small Starts (Capital Investment Grants) in addition to New Starts. Small Starts are smaller in scale than New Starts and/or are requesting a lower level of Section 5309 program funding. Small Starts projects are defined as projects requesting under $75 million in Section 5309 Capital Investment Grant funding with a total cost of less than $250 million, both in year of expenditure dollars (YOE). The Small Starts program is designed to fill a funding gap in Section 5309 funding and offer streamlining of project approvals, including Small Starts project evaluation and rating. Small Starts projects can vary considerably in size—from tens to hundreds of millions— and the level of oversight that FTA requires can also vary. Some projects may only entail a general overview of the Grantee’s project development program. Others may involve periodic targeted reviews at certain milestones. Larger, more complex projects may have continuing oversight at intervals directed by FTA. The work order will indicate the frequency and type of review. OP 45 Small Starts Review Revision 0, June 2008 Page 1 of 5
The PMOC will provide technical oversight support to FTA in many of the same ways it does for a New Starts project, such as determining the completeness and quality of engineering designs; the reasonableness and general accuracy of cost estimates; the reasonableness of the project schedule. The PMOC may be directed to assess the ability of the Grantee to execute the project (technical capacity and capability) and provide technical assistance to the Grantee. In this respect, oversight procedures for New Starts projects are applicable to Small Starts, with the proviso that the level of effort is likely to be less. Refer to other oversight procedures 3.0 OBJECTIVE The objective is to evaluate Small Starts projects to ensure: • The scope of the project indicated in the engineering design and cost estimate is consistent with the purpose and need established during the environmental review phase • Planning and design have been completed to a level commensurate with the current phase of the proposed project (e.g., entry into Project Development or award of a Project Construction Grant Agreement) • The Grantee has in place policies, procedures and other project management programs to deliver a quality project within budget and on schedule • Cost ceilings for Small Starts are not exceeded 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 Guidance - FTA New Starts Policies and Procedures, www.fta.dot.gov/planning/newstarts/planning_environment_222.html 5.0 PROJECT SPONSOR SUBMITTALS In order to show that the proposed project qualifies as a Small Starts project, and to demonstrate consistency among the scope, cost and schedule, the Grantee will submit: • Alternatives Analysis, Locally Preferred Alternative report • Environmental impact studies, if applicable (EIS/ Record of Decision; Environmental Assessment/Finding of No Significant Impact; or Categorical Exclusion) • Project narratives / descriptions • Diagrams, drawings, plans, profiles, cross section drawings, special design studies, graphics • Specifications, design criteria reports • Cost estimate in original format and in FTA’s Standard Cost Category format (SCC) • Capital cost estimating methodology memo (refer to Appendix A) • Third-party agreements, including memoranda of agreement/understanding (e.g., utilities, governmental agencies, educational institutions, railroads) • Value engineering studies, as applicable • Previously conducted or current risk assessments, if any. OP 45 Small Starts 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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(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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The scope review identifies risk in
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• Producer Price Index (PPI) - Th
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Page 234 and 235: 4.2 Guidance coordination of platfo
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