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 03 – Special Tasks ______________________________________________________________________________ 1.0 PURPOSE The purpose of this Oversight Procedure is to describe the performance and deliverables expected by Federal Transit Administration (FTA) from the Project Management Oversight Contractor (PMOC) for special tasks that may be required by FTA in addition to the project management and technical review services performed under other Project Management Oversight Procedures (OPs). 2.0 BACKGROUND FTA may occasionally issue work orders to one or more PMOCs to perform special tasks for both program-wide and project-related activities. In the past special tasks assigned to PMOCs have included the development of technical papers in support of FTA’s risk management program, study of factors leading to project cost increases on major capital projects, updates to the project management oversight procedures, etc. 3.0 OBJECTIVES Utilizing the PMOCs’ professional expertise in both program-wide and project-specific ways should advance the knowledge base and state-of-the-practice in the industry; improve FTA’s oversight of the planning, design, construction, and start-up of major capital transit projects; and in turn, result in higher quality transit projects that meet project goals, budget and schedule. 4.0 REFERENCES References shall be provided in the assigned work orders. 5.0 PROJECT SPONSOR SUBMITTALS If applicable, submittals will be indicated by FTA in work orders. 6.0 SCOPE OF WORK FTA may require the PMOC to prepare professional papers, special studies, special technical assistance, and present such papers or studies. Development of professional papers or other documents may include research and development of concepts, trends, information, etc., project investigations, examinations of agency histories, etc. Additionally the PMOC may be required to represent FTA and lead or participate in meetings with parties including but not limited to: • Grantees and their representatives OP 3 Special Tasks Revision 0, June 2008 Page 1 of 2
• Legislators, legislative staff • U.S. DOT Secretary and staff • Office of Management and Budget • U.S. DOT Office of Inspector General • Non-governmental entities and industry associations such as Transportation Research Board, American Public Transportation Association, National Transit Institute, American Society of Civil Engineers, American Institute of Architects, American Planning Association, etc. • Community representatives • Professional peer groups Representation of FTA and/or PMOC leadership or participation in meetings may include: • Preparation of advance meetings and briefings with FTA staff to discuss concepts, project issues, industry conditions or trends, etc. • Participation in and presentations at meetings, workshops, conferences, etc. • Development of meeting agendas • Documentation of the results of meetings in comprehensive reports • Debriefings, follow up papers or other documents 7.0 REPORTS, PAPERS, PRESENTATIONS The PMOC shall provide FTA with written materials fulfilling the requirements above and as stated in the assigning work order. When applicable, follow the report formatting requirements of OP-1 or other OPs as indicated in the work order. When necessary, perform data analysis and develop data models that meet FTA requirements using Microsoft Office products such as Excel and Word and use FTA-templates when provided. Add other software as required but documentation and report data shall be made available to FTA. OP 3 Special Tasks Revision 0, June 2008 Page 2 of 2
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: Cost $2,500,000 $2,000,000 $1,500,0
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: U.S. DOT Federal Transit Administra
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
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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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U.S. DOT Federal Transit Administra
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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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degree of understanding among the p
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management labor and profit/fee. Su
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Construction Risk is subdivided int
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Category or sub‐category cost ele
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with the construction contractor. T
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Management Plan; these recommendati
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etween risk reduction and risk acce
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75% construction 85% 90% constructi
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milestones, the value of expected m
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4.2 Guidance coordination of platfo
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communicate with the vehicle manufa
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APPENDIX A FTA Request for Informat
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APPENDIX B OP 41 ADA Review - Level
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4.1 Legislative • The Safe, Accou
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4) Cost estimate in year-of-expendi
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• Project Schedule (Master Schedu
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d) Assessed safety and security iss
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• Interim Guidance on Design-Buil
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(3) Appropriateness of the proposed
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7) Project Schedule The PMOC should
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2) The Grantee’s program for adva
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2. Identify all apparent discrepanc
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• The PMOC shall assess whether t
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to FD phase of the project, should
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Table 1, continued: Expected Attrib
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• Real Estate Acquisition Managem
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performed Quality assurance records
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plan that ensures the necessary qua
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5.3 Systems/Facilities Integration
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6.2 Successful completion and recor
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