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 46.2 – Readiness to Enter Final Design ______________________________________________________________________________ 1.0 PURPOSE The purpose of this Oversight Procedure (OP) is to provide guidance that reflects FTA’s program requirements for projects to advance into the final design phase of project development. This OP describes tasks and information required of FTA’s Project Management Oversight Contractor (PMOC) as they perform reviews of Grantees’ projects, thereby assisting FTA in its determination to approve a Grantee’s request to enter final design. 2.0 BACKGROUND Consistent with 49 USC 5309(e)(6) and 5328(a)(3), FTA will approve/disapprove entry of a proposed project into final design within 120 days of receipt of a formal request from the project sponsor(s). A proposed project can be considered for advancement into final design only if the NEPA (National Environmental Policy Act) process has been completed; a New Starts submittal has been accepted by FTA and the project is rated favorably; approval to enter preliminary engineering (PE) was received from FTA and design to approximately the 30 percent level (“schematic design” 1 ), has been prepared; a project cost estimate and detailed schedule have been issued; and the Grantee can demonstrate adequate technical capacity and capability to carry out final design (“design development” 2 ) for the proposed project, among other requirements. All applicable federal and FTA program requirements for PE and readiness to enter final design must have been satisfied (see 3.0 References). FTA's approval will be based on the results of its evaluation as described in 49 CFR Sections 611.9- 611.13 (Code of Federal Regulations, Title 49— Transportation). The FTA Office of Program Management (TPM) works closely with the Office of Planning and Environment (TPE) in determining whether a Grantee is ready to enter final design. TPM, Office of Engineering (TPM-20), has a critical role in determining technical readiness to enter final design as opposed to TPE’s role in evaluating whether environmental and planning requirements have been satisfied. 2.1 NEPA Requirements NEPA requirements for completion of PE include preparation of an environmental impact statement (EIS) where effects from a proposed project are significant or a Finding of No Significant Impact (FONSI) and accompanying environmental assessment (EA) where effects are less than significant. With preparation of an EIS, FTA in approving the preferred project issues a Record of Decision (ROD). The ROD describes the scope of the projected and committed mitigations to reduce the effects of identified impacts. A New Starts submittal (or Small Starts if the project is under $250 million and the sponsor is requesting no more than $75 million in program funds) allows FTA to evaluate 1 Schematic design involves the preparation of studies to determine project requirements, including the scale and relationships of project components. 2 Design development is the stage subsequent to schematic development, which establishes the detailed requirements of a project including all construction elements. OP 46.2 Readiness to Enter Final Design Revision 0, June 2008 Page 1 of 11
performance of various aspects of the project, including user benefits as opposed to capital and operating costs, local financial commitment, land use and economic development effects, and other factors. Section 5309(d)(1)(B)(ii) directs FTA to consider proposed New Starts projects for Full Funding Grant Agreements (FFGA) and proposed Small Starts for Project Construction Grant Agreements (PCGA) only if they receive a Medium, Medium-High, or High overall project rating (See:http://www.fta.dot.gov/planning/newstarts/planning_environment_2620.html). 2.2 Preliminary Engineering Design Requirements Progress towards completing the project design and the corresponding cost estimate and schedule to build the project must be satisfactory. As noted, PE generally requires design detail to 30 percent and capital cost estimate detail based upon (a) quantities of work established in the plans and (b) for all other costs (vehicles, equipment, land/right-of-way, administrative costs, consultant and other support, finance costs, etc.) a reasonable level of line item detail. The master schedule should include sufficient detail to identify all significant activities, their durations, and logical ties to other activities. Section 6.0 Scope of Work provides direction for determining whether the level of detail in the PE plans, cost estimate and schedule is sufficient as well as what other information is required to demonstrate technical readiness to enter final design. 2.3 Grantee Readiness: Technical Capacity and Capability Whether the Grantee has the necessary management approach and organizational structure, internal and external controls, and other resources available to administer a project—technical capacity and capability—is another important aspect of readiness to enter final design. The procedures for making these assessments are established in other guidance (see 4.0 References). The Grantee should document its program for project management in a current Project Management Plan for at least the design phase of project development (the PMP would incorporate provisions for construction as that phase approaches). At the conclusion of PE a project is likely to be subject to a formalized risk assessment that will evaluate whether the grantee has incorporated risk-based methods into its approach to project management. FTA guidelines also call for the Grantee to evaluate the project design through a formal, independent value engineering process during or at the close of PE. Both the risk assessment and value engineering processes are to be incorporated in the PMP, which describes their purpose and objectives, summarizes findings, and presents the action plan resulting from each process (e.g., Project Risk Management Plan for a risk assessment). The assessment of readiness to enter final design conducted under OP 46.2 incorporates findings of the risk assessment and value engineering programs. 3.0 OBJECTIVES FTA desires the PMOC’s professional and well reasoned findings and recommendations regarding the readiness of the Grantee to enter and complete the final design phase. Findings and recommendations shall pertain to: 1) The completeness, quality, and accuracy of engineering design, the project schedule, and the project capital cost estimate at the conclusion of PE. OP 46.2 Readiness to Enter Final Design Revision 0, June 2008 Page 2 of 11
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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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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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activity durations. Critical path f
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orders may direct the PMOC to reeva
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