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

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• Interim Guidance on Design-Build • Quality Assurance and Quality Control Guidelines • Project and Construction Management Guidelines, 2003 Update • Value Engineering Process Overview, January 1998 5.0 PROJECT SPONSOR SUBMITTALS In advance of performing the review, the PMOC should meet with the FTA Regional Office, the Project Sponsor and their consultants, visit the project sites, discuss the purpose of the review, and obtain and study the available project documents: To verify the status of the LPA • MPO adopted Long Range Transportation Plan • Transportation Improvement Program Narrative and drawing material • Written project narrative, project description • Project sponsor’s New Starts submittal • Final Alternatives Analysis Report • Environmental studies, Draft Environmental Impact Statement, Environmental Assessment • Design Criteria, Design Standards • Planning diagrams and drawings, materials used in public presentations • Plans, profiles, cross sections, special studies for locations with large uncertainties Cost and schedule information • Capital cost estimating methodology memo • Cost estimate and back up detail in Project Sponsor’s original format • Schedule in hard copy and acceptable electronic format i.e. Primavera, .PRX, etc. • Cost estimate and schedule in FTA’s Standard Cost Category format • Operating and Maintenance Cost Estimates and Assumptions • Transit Agency Operating and Capital Budget Other Documentation • Project Sponsor Organization and Staffing • Project Management Plan • Operating Plan • Rail Fleet Management Plan • Bus Fleet Management Plan • Risk Register and Mitigation Plan • Contracting Plan for Preliminary Engineering • Contingency Management Plan (identifying significant areas of uncertainty in scope, cost, and schedule) • Real Estate Acquisition Management Plan • System Safety and Security Management Plan • Quality Assurance/Quality Control Plan • Third Party Agreements and Permits OP 46.1 LPA Review and Readiness to enter PE Revision 0, June 2008 Page 3 of 8
6.0 SCOPE OF WORK The PMOC should form a competent team of subject matter experts with prior experience to fulfill the requirements below: 1) Setting the groundwork So that this review is undertaken at the appropriate time, the FTA Regional Office should confirm that the Project Sponsor’s materials are developed to the level required at entry to PE. The PMOC should coordinate with the Regional Office to make the initial interview, project discussion and site visit with the project sponsor and to obtain from the project sponsor the materials to be reviewed. The PMOC should verify that the Final Alternative Analysis Report (AA) indicates that the project sponsor has considered all reasonable alternatives. In particular, the PMOC should verify that a transit mode was not overlooked leaving the LPA open to later challenge. The PMOC shall verify that the Notice of Intent for the environmental review has been issued. If an environmental document has been produced, a Draft Environmental Impact Statement (DEIS) or Environmental Assessment (EA), the PMOC shall verify that impacted third parties have been notified of the project and provided with an opportunity to review and comment. For each impacted third party, the PMOC shall coordinate with FTA’s Regional Office that the correct representative has been identified and the correct address has been used. The review should verify that the project is adopted into the MPO’s financially constrained Long Range Transportation Plan and the Transportation Improvement Plan and identify which year the LRTP and TIP call for the project to be funded. 2) Project Scope The PMOC should review the project scope in relation to the Draft Environmental Document, Operating Plan, Design Criteria, Schedule and Budget including an evaluation of the mitigation measures as follows: a) Assess the Project Sponsor’s fundamental reasons for the project and for selecting this alternative from the alternatives considered. Confirm that all reasonable modes were considered by the Project Sponsor in its alternatives analysis. Comment on the project assumptions that have led to scope decisions (relationship between the transit project and existing or future residential/commercial development, ridership in the forecast year, operating plan, infrastructure and vehicle capacities, project implementation schedule, and life cycle considerations, etc.) b) Through a site visit, perform an on-the-ground check of physical conditions. Verify project fit with local conditions through study of project planning diagrams, jurisdictional zoning and transit-oriented development maps, and concept design drawings. c) Study and evaluate the project documents (narratives, design criteria, planning diagrams, plans and profile drawings, aerial photos, and environmental studies) for completeness including: (1) Spatial and functional aspects of the project (2) Compliance with applicable statutes, regulations, guidance and policies, including but not limited to, the level boarding provisions of the Americans with Disabilities Act. OP 46.1 LPA Review and Readiness to enter PE Revision 0, June 2008 Page 4 of 8
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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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APPENDICES PROJECT COST ESTIMATE ([
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EXHIBIT D-1: PROJECT COST ESTIMATE
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3.0 OBJECTIVES FTA’s objective is
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E) Lead times and durations for equ
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Page 234 and 235: 4.2 Guidance coordination of platfo
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