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

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2) The Grantee’s program for advancing the design, schedule, and cost estimate to the point of having available construction-ready bid documents. 3 3) The Grantee’s ability to execute final design and construction (i.e., technical capacity and capability) and whether the Grantee has adopted a risk-based management approach to project implementation that incorporates findings of a project risk assessment. 4) Whether the Grantee has in place other project controls and management policies and procedures to execute the project, including those for maintaining quality control/quality assurance of products and services; the safety and security of project design, construction and operation; and, acquisition of required rights-of-way, among other policies and procedures. 5) Satisfied other FTA requirements for readiness to advance to final design. This information, combined with findings from environmental, New Starts, financial, and other FTAdirected reviews will support FTA’s determination on whether or not to approve Grantee entry into the final design phase of project development 4.0 REFERENCES The following policies, guidance documents, and circulars apply to the performance of this OP and should be consulted by the PMOC as necessary to support a recommendation on the Grantee’s readiness to enter final design. • 49 USC 5309, ( See Section (e), and 49 USC 5309(e)(6) and 5328(a)(3), Parts Sections 611.9- 611.11) • U.S. Department of Transportation, Federal Transit Administration. Project and Construction Management Guidelines 2003 Update. May 2003. (See Chapter 2 Section 2.4, and Chapter 4) • National Transit Institute. Rutgers, The State University of New Jersey. Management of Transit Construction Projects (seminar and course materials) • Risk-Informed Project Oversight at the FTA, David N. Sillars and L. Brian Ehrler. August 2007 • For information on FTA New Starts Policies and Procedures see specific references at: www.fta.dot.gov/planning/newstarts/planning_environment_222.html Oversight Procedures, including but not limited to: • OP No. 11: Project Sponsor Capacity and Capability • OP No. 16: Design and Constructability Reviews • OP No. 20: Project Management Plan Review • OP No. 21: Quality Assurance / Quality Control Plan Review • OP No. 22: Safety and Security Plan Review • OP No. 23: Real Estate Acquisition and Management Plan Review • OP No. 25: Fleet Management Plan Review • OP No. 32: Scope • OP No. 33: Capital Cost Estimate • OP No. 34: Schedule Review • OP No. 40: Risk Assessment and Mitigation Review 3 For projects intended to be implemented through alternative delivery methods, such as design-build, design-build-operate, etc. where the selected construction contractor will complete the design after some point, the Grantee would advance project or project component design to the bid stage and not to completion. OP 46.2 Readiness to Enter Final Design Revision 0, June 2008 Page 3 of 11
• OP No. 39: Value Engineering 5.0 PROJECT SPONSOR SUBMITTALS A number of documents and other information are to be provided by the Grantee for the PMOC to examine in carrying out this OP. These include, but are not limited to, the following: • Final Environmental Impact Statement (or FONSI/Environmental Assessment) • Record of Decision for EIS, including project effects mitigation plan • Recently adopted and any revised versions of Grantee’s operating budget • Project master schedule, including electronic files in the scheduling software • PMP • Quality Assurance/Quality Control Plan • Safety and Security Management Plan • Real Estate Acquisition and Management Plan (RAMP) • Third-party agreements, including memorandums of agreement/understanding (e.g., utilities, governmental agencies, educational institutions, railroads) • PE plans, specifications, and capital cost estimate in Contract Unit and SCC format, including detailed back-up and capital cost methodology report • Project’s proposed implementation (contracting) plan • Fleet management plans • Project operations plan • Value engineering studies • Previously conducted or current risk assessments • Other information relevant to the project scope, schedule and budget and project sponsor roles and responsibilities for project development. 6.0 SCOPE OF WORK The PMOC’s assessment of Grantee technical readiness to enter final design will be initiated by a task order (TO) or work order (WO) from FTA. The TO/WO may expand upon the general scope of services described in this section. For example, FTA may request further detail in conjunction with analyses that are critical to FTA’s readiness determination or needed to fill in gaps in Grantee submittals. The OP 46.2 assessment may be performed in conjunction with other oversight activities. In many ways OP 46.2 is a process of integrating findings and recommendations of other reviews, as described in Section 2.0 Background and listed in Section 3.0 References. In general, for each work item listed in this section, the PMOC will follow a similar analytical approach: 1. Review and analyze the pertinent information available for completeness, adequacy, consistency, and appropriate level of detail given the phase of the work. OP 46.2 Readiness to Enter Final Design Revision 0, June 2008 Page 4 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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Design‐Build or CM‐GC), the pro
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