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

More documents

Recommendations

Info

• The PMOC shall assess whether the estimate includes sufficient detail to establish a reasonably accurate cost for project development through construction and start-up. If based on quantities/activities and unit costs, are the quantities/activities adequately defined? What prices are lump sums versus based on market research or quotes from potential suppliers/vendors? • Allocated and unallocated contingencies shall be identified and a professional judgment offered as to the adequacy of contingencies, given project risks, complexity, and other factors. OP 33 Capital Cost Estimate describes the procedures for evaluating the reasonableness and accuracy of capital cost estimates. The results of this review, if performed commensurate with the completion of PE/Entry to FD phase of the project, should be incorporated into the OP 46.2 assessment of readiness to enter final design. 6.3 Technical Capacity and Capability and Other Readiness Reviews • The PMOC shall meet with the Grantee to review the grantee’s latest approved PMP. o The PMOC shall compare the PMP to the grantee’s current and proposed organizational structure. o The Grantee shall provide the PMOC with the agency's organization chart and job descriptions for the key positions in responsible charge of the final design process. o The PMOC shall evaluate whether sufficient breadth and depth are contained in the proposed organization to successfully execute final design. o The PMOC shall evaluate technical capacity based on the complexity of the scope of the project, detail/number of activities and activity interrelations described in the project master schedule, the size of the project budget and also the contracting approach to the project. o Additionally, the PMOC will consider other resources available to the project, including from project partners, consultant support, and other non-sponsor agency resources. PMP review procedures are described in OP No. 20 Project Management Plan Review. The results of this review, if performed commensurate with the completion of PE/Entry to FD phase of the project, should be incorporated into this analysis of Grantee technical capacity and capability. • The PMOC shall examine the Quality Assurance/Quality Control Plan (QAP) and verify that it is in compliance with FTA guidance documents, including Project and Construction Management Guidelines and FTA QA/QC Guidelines (latest updates). At entry to final design, the QAP shall fully address all elements governing project activities through the design phase. It should also contain, at least in outline form and to the level of detail possible, information relative to the upcoming construction phase. QAP review procedures are defined in OP No. 21, Quality Assurance/Quality Control Program Reviews. The results of this review, if performed commensurate with the completion of PE/Entry to FD phase of the project, should be incorporated into this analysis of Grantee technical capacity and capability. • The PMOC shall examine the Safety and Security Management Plan (SSMP) and verify that it is in compliance with FTA guidance as provided in Circular C5800.1. SSMP review procedures are defined in OP No. 22, Safety and Security Management Plan Reviews. The results of this review, if performed commensurate with the completion of PE/Entry to FD phase of the project, should be incorporated into this analysis of Grantee technical capacity and capability. OP 46.2 Readiness to Enter Final Design Revision 0, June 2008 Page 7 of 11
• The PMOC shall verify that the Real Estate Acquisition and Relocation Management Plan (RAMP) meets federal requirements and is in agreement with the project schedule and budget. o If a real estate acquisition schedule is available, the PMOC shall examine the schedule and compare it to the master project schedule to ensure that parcel acquisition and availability for construction are clearly integrated. In many instances, such detail will only become available during final design itself. When that is the case, the PMOC shall identify the risks to the schedule of acquisitions and determine if the Grantee has in place processes and procedures that would support confidence the planned acquisitions can be completed prior to construction. o Similar to above, the PMOC shall undertake a review of the Grantee’s technical capacity and capabilities to implement the real estate acquisition and relocation process. This will include a thorough review of the Grantee's organization structure and staffing plan and any consultant agreements undertaken in support of these activities. RAMP review procedures are defined in OP No. 23, Real Estate Review. The results of this review, if performed commensurate with the completion of PE/Entry to FD phase of the project, should be incorporated into this analysis of Grantee technical capacity and capability. • The PMOC shall examine the Rail Fleet Management Plan (RFMP) and/or the Bus Fleet Management Plan (BFMP), and verify consistency with the project scope, NEPA documents, and the project’s Operations Plan. Fleet Management Plan review procedures are defined in OP No. 25, Fleet Management Plan Reviews. The results of this review, if performed commensurate with the completion of PE/Entry to FD phase of the project, should be incorporated into this analysis of Grantee technical capacity and capability. • The PMOC shall examine all available third-party agreements deemed necessary to implement the project. o The PMOC shall evaluate third-party agreement processes and current status of agreements. Where agreements are not available, the Grantee should provide an outline or term sheet(s). When even this information is not available, the needed agreement shall be identified and the issues and any obstacles to executing the agreements noted. o Types of agreements and memoranda to be reviewed include, but are not limited to: - utility relocation agreements (public-water, sewer, etc.) - intergovernmental agreements (IGA) with local entities - agreements with railroad companies (design, construction, operating) - third-party franchise agreements (gas, telephone, cable TV, other communications, power) - universities, colleges, other educational institutions agreements - public/private funding arrangements (including transit-oriented development - TOD). o The PMOC shall evaluate the framework and content of these agreements to ensure they conform to the needs of the project. • The PMOC shall assess the reasonableness and applicability of Value Engineering (VE) studies. The focus should be on VE recommendations approved by the Grantee and incorporated into the project. The Grantee should identify why recommendations were or were not approved. VE review procedures are described in OP No. 39, Value Engineering and Life Cycle Cost Analysis. The results of this review, if performed commensurate with the completion of PE/Entry OP 46.2 Readiness to Enter Final Design Revision 0, June 2008 Page 8 of 11
Page 1 and 2:
CLIN# OP# FTA Oversight Procedures
Page 3 and 4:
5.0 GRANTEE SUBMITTALS NA 6.0 SCOPE
Page 5 and 6:
6.1.2 Task Orders FTA headquarters
Page 7 and 8:
and communications systems; fare co
Page 9 and 10:
7.1 Format Avoid repetition in the
Page 11 and 12:
APPENDIX B Sample Task Order ______
Page 13 and 14:
APPENDIX D Sample Proposal Format _
Page 15 and 16:
U.S. DOT Federal Transit Administra
Page 17 and 18:
Management controls are the organiz
Page 19 and 20:
5. Act in a manner consistent with
Page 21 and 22:
5) Introduction to PMOC scope of wo
Page 23 and 24:
7.3 Project Status Reporting - Cont
Page 25 and 26:
Cost $2,500,000 $2,000,000 $1,500,0
Page 27 and 28:
• Legislators, legislative staff
Page 29 and 30:
4.2 FTA Circulars • C5010.1C, Gra
Page 31 and 32:
v) develop and implement a force ac
Page 33 and 34:
4.0 REFERENCES The following are th
Page 35 and 36:
o PMOC’s opinion of situations an
Page 37 and 38:
The report formatting requirements
Page 39 and 40:
Page 41:
APPENDIX A Sample - Lessons Learned
Page 66 and 67:
• Recipients with major capital p
Page 68 and 69:
follow, have different names for si
Page 70 and 71:
documents referenced in the SSMP to
Page 72 and 73:
(2) The effectiveness of the proces
Page 74 and 75:
For recipients with projects affect
Page 76 and 77:
APPENDIX A: SSMP REVIEW CHECKLIST -
Page 78 and 79:
App. No. Checklist Item Plan Requir
Page 80 and 81:
Page 82 and 83:
Page 84 and 85:
Page 86 and 87:
Page 88 and 89:
APPENDIX B: LIST OF SUGGESTED DOCUM
Page 90 and 91:
DOCUMENT (Title and acronym; R sign
Page 92 and 93:
DOCUMENT (Title and acronym; R sign
Page 94 and 95:
APPENDIX D: SAMPLE INTERVIEW QUESTI
Page 96 and 97:
APPENDIX E: SSMP REVIEW CHECKLIST -
Page 98 and 99:
Note: SSMP Element Compliant with D
Page 100 and 101:
SSMP Element Compliant with DRAFT G
Page 102 and 103:
APPENDIX F: DISCUSSION OF CONTENTS
Page 104 and 105:
candidates for the committee so tha
Page 106 and 107:
US DOT Federal Transit Administrati
Page 108 and 109:
the time. During preliminary engine
Page 110 and 111:
• Plans - who prepares, who can m
Page 112 and 113:
U.S. Department of Transportation F
Page 114 and 115:
• Serve as a resource by lending
Page 116 and 117:
c. Peak Vehicle Requirement include
Page 118 and 119:
3 PMOC review of Grantee’s Operat
Page 120 and 121:
Requirement PMOC Review Comments 5C
Page 122 and 123:
waiver is requested are not produce
Page 124 and 125:
(5) To provide PMOCs with recommend
Page 126 and 127:
4.1.2 Pre-Award Purchaser’s Requi
Page 128 and 129:
5.0 PMOC REVIEW OF PROJECT SPONSOR
Page 130 and 131:
• If no, examine contract files,
Page 132 and 133:
6.3.2 Corrective Action: The Grante
Page 134 and 135:
8.0 APPENDICES 8.1 Sample Review Ce
Page 136 and 137:
comply? 5.3.1.5 Are the vehicle bod
Page 138 and 139:
Page 140 and 141:
including: the applicability of Fed
Page 142 and 143:
• Each document addresses the int
Page 144 and 145:
APPENDIX A: CHECKLIST OP Section Is
Page 146 and 147:
orders: 5.6.2.1 Is PDR consistent w
Page 148 and 149:
design-to-budget approach that main
Page 150 and 151:
15) Step the project forward using
Page 152 and 153:
2.2 The New Starts Process New Star
Page 154 and 155:
3.0 OBJECTIVES During the initial e
Page 156 and 157:
7.0 REPORT, PRESENTATION, RECONCILI
Page 158 and 159:
provisions) to make detailed design
Page 160 and 161:
6) Identify any unknown or uncertai
Page 162 and 163:
APPENDIX A Scope Review Checklist E
Page 164 and 165:
o Development of strategies for min
Page 166 and 167:
to then be backfilled or would othe
Page 168 and 169:
• Major or critical work details;
Page 170 and 171:
It is important to select a project
Page 172 and 173:
6.2 Preliminary Document Review Upo
Page 174 and 175:
Page 176 and 177:
o Level 4: Subdivide Level 3 as fol
Page 178 and 179:
• Is integrated with and makes ad
Page 180 and 181:
APPENDIX B Cost Estimate Review Che
Page 182 and 183:
o Confirm that cost estimates are b
Page 184 and 185:
12) Appendices a) Grantee Project I
Page 186 and 187:
This sample of 118 cost items was s
Page 188 and 189:
consistently accurate. In addition,
Page 190 and 191:
SCC-10.02 Earth Excavation Although
Page 192 and 193:
The scope review identifies risk in
Page 194 and 195:
• Producer Price Index (PPI) - Th
Page 196 and 197:
APPENDICES PROJECT COST ESTIMATE ([
Page 198 and 199:
EXHIBIT D-1: PROJECT COST ESTIMATE
Page 200 and 201:
3.0 OBJECTIVES FTA’s objective is
Page 202 and 203:
E) Lead times and durations for equ
Page 204 and 205:
activity durations. Critical path f
Page 206 and 207:
Page 208 and 209:
orders may direct the PMOC to reeva
Page 210 and 211:
Design‐Build or CM‐GC), the pro
Page 212 and 213:
degree of understanding among the p
Page 214 and 215:
management labor and profit/fee. Su
Page 216 and 217: US DOT Federal Transit Administrati
Page 218 and 219: Construction Risk is subdivided int
Page 220 and 221: Category or sub‐category cost ele
Page 222 and 223: with the construction contractor. T
Page 224 and 225: Management Plan; these recommendati
Page 226 and 227: etween risk reduction and risk acce
Page 228 and 229: 75% construction 85% 90% constructi
Page 230 and 231: milestones, the value of expected m
Page 232 and 233: U.S. DOT Federal Transit Administra
Page 234 and 235: 4.2 Guidance coordination of platfo
Page 236 and 237: communicate with the vehicle manufa
Page 238 and 239: APPENDIX A FTA Request for Informat
Page 240 and 241: APPENDIX B OP 41 ADA Review - Level
Page 242 and 243: 4.1 Legislative • The Safe, Accou
Page 244 and 245: 4) Cost estimate in year-of-expendi
Page 248 and 249: • Project Schedule (Master Schedu
Page 250 and 251: d) Assessed safety and security iss
Page 254 and 255: • Interim Guidance on Design-Buil
Page 256 and 257: (3) Appropriateness of the proposed
Page 258 and 259: 7) Project Schedule The PMOC should
Page 262 and 263: 2) The Grantee’s program for adva
Page 264 and 265: 2. Identify all apparent discrepanc
Page 268 and 269: to FD phase of the project, should
Page 270 and 271: Table 1, continued: Expected Attrib
Page 272 and 273: • Real Estate Acquisition Managem
Page 276 and 277: performed Quality assurance records
Page 278 and 279: plan that ensures the necessary qua
Page 282 and 283: 5.3 Systems/Facilities Integration
Page 284: 6.2 Successful completion and recor
show all

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

You also want an ePaper? Increase the reach of your titles

Delete template?

Save as template?