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

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• Real Estate Acquisition Management Plan • Railroad Agreements • Third Party Agreements • Private Utility Agreements • Environmental Permits • Safety and Security Management Plan • Risk Assessment and Mitigation • FFGA Attachment 1 Scope of Project • FFGA Attachment 2 Project Description • FFGA Attachment 3 Baseline Cost Estimate • FFGA Attachment 3a Project Budget • FFGA Attachment 4 Baseline Project Schedule 6.0 SCOPE OF WORK 6.1 General With the exception of the FFGA attachments, all of the Grantee submittals should have been previously reviewed prior to final preparation for the FFGA, and any deficiencies noted to the Grantee and corrected. The scope of this procedure is to confirm that all of the documentation and analysis remains satisfactory and that there is consistency between the project documents and the proposed FFGA. 6.2 Qualifications of Reviewers To the extent possible, the reviewers should be same individuals that performed the prior review of the project documents, and should be regular participants in monthly project reviews. 6.3 Process for Establishing Readiness Confirm that Grantee plans and analysis are consistent with the plans and analysis that were previously reviewed and accepted by FTA. If any of the documents are revised, review the revisions and confirm that the revisions are improvements, and that there have been no material changes to project circumstances. Any last minute revisions should be highlighted to FTA. Review and confirm that FFGA supporting attachments are complete, accurate, and consistent with other project documentation. The FFGA attachments are likely to go through many iterations; and review of each version will be required. 7.0 REPORT, PRESENTATION, RECONCILIATION The PMOC shall synthesize the work performed in Section 6.0 into a formal Spot Report(s) following the format and administrative requirements described in OP 01 Documentation of Grantee’s readiness to enter into or amend an FFGA will take the form of a report. The purpose of the report is to provide a summary review of the due diligence findings that have proceeded the FFGA, and to convey the status of the review to FTA executive staff and congress. As OP 46.3 Readiness to Execute or Amend FFGA Revision 0, June 2008 Page 2 of 3
such, the spot report will largely summarize information from previously reviews of project plans and analysis, modified as necessary to reflect any changes that occurred after the earlier review. The following is a preliminary table of contents for the spot report List of Acronyms Executive Summary 1. Introduction / Objectives 2. Overview a. Background b. Project Scope (Facilities and Systems) with Map c. Operations (Hours, Fleet, Ridership) d. Design Status e. Contract Packaging Plan f. Financing Plan 3. FFGA Supporting Document Review a. Project Management Plan b. Bus and Rail Fleet Management Plans c. Value Engineering d. Final Design e. Quality Assurance Program Plan f. Document Control Plan g. Real Estate Acquisition Management Plan h. Railroad Agreements i. Third Party Agreements j. Private Utility Agreements k. Environmental Permits l. Safety and Security Management Plan m. Risk Assessment and Mitigation 4. Cost Estimate and Baseline Budget Review a. Cost Estimate Assessment b. Baseline Schedule Assessment 5. Conclusions / Recommendation OP 46.3 Readiness to Execute or Amend FFGA Revision 0, June 2008 Page 3 of 3
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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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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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Page 234 and 235: 4.2 Guidance coordination of platfo
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