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 11 - Grantee Capacity and Capability Review ______________________________________________________________________________ 1.0 PURPOSE The purpose of this Oversight Procedure is to describe the review, analysis, and recommendation procedures and reporting requirements expected by Federal Transit Administration (FTA) from the Project Management Oversight Contractor (PMOC) with regard to the Grantee’s management, organization, and technical capability to effectively and efficiently plan, develop, and implement a Federally-assisted capital project. 2.0 BACKGROUND The PMOC shall review a Grantee’s technical capability and capacity to efficiently and effectively develop a Federally-assisted project for implementation by evaluating the qualifications and organizational structure of the Grantee as well as its implementation methods, policies, and procedures. Particular attention needs to be given to the Grantee’s abilities, resources, and organizational structure, either through its own staff or qualified third-party consultants, to develop and implement project plans as well as identify and manage project cost and schedule risks, real estate acquisition (as applicable), safety and security requirements, quality assurance and quality control, and other issues of Federal concern. The results of this evaluation shall serve the FTA in programmatic decisions and determinations regarding whether the Grantee has demonstrated readiness to receive Federal funds at the various project stages. 3.0 OBJECTIVES Perform an initial evaluation of a Grantee’s capacity and capability to successfully implement a major Federally-assisted capital project, and perform subsequent partial or supplemental evaluations of a Grantee’s continued capacity and capability during the implementation of a project. The evaluations should cover the following: 1) Organization, Personnel Qualifications and Experience 2) Project Management Planning Documents 3) Grantee’s approach to the work, understanding of the work, ability to perform the work 4.0 REFERENCES The following are the principal, but by no means the only, references to Federal legislation, regulation and guidance with which the PMOC should have a good understanding as related to the Grantee’s project work being reviewed under this OP: 4.1 Regulations • 49 CFR Part 633, Project Management Oversight, dated 1989; OP 11 Grantee Capacity and Capability Review Revision 0, June 2008 Page 1 of 4
4.2 FTA Circulars • C5010.1C, Grants Management Guidelines, 10-01-98; • C5200.1A, Full-Funding Grant Agreements Guidance, 12-05-02; • C4220.1E, Third-Party Contracting Requirements, 06-19-03; • C5800.1, Safety and Security Management Guidance for Major Capital Projects, 8-1-07; 4.3 Guidance • Terms of the Full Funding Grant Agreement and referenced documents; and • FTA’s Project and Construction Management Guidelines, 2003 update. The PMOC shall apply other applicable regulations, policies, guidelines and circulars in determining the capacity and capability of a Grantee to advance a major capital project as relevant and necessary. 5.0 PROJECT SPONSOR SUBMITTALS The submittals to be secured by the PMOC from the Grantee shall be appropriate with the stage of project development. Such submittals include, but are not limited to, the following: • Organizational chart; • Project Management Plan (PMP) and associated documents; • Identified sources of local funding; • Proof of legal capacity to carry out the project; • Résumés of the Grantee’s key staff, including the key staff of third-party consultants; • Description of the internal mechanisms, policies, and procedures used to control project budgets and estimate costs, as well as a description of the estimating methodology; • Description of project scheduling method used; • Safety and Security Management Plan (SSMP); • Quality Control/Quality Assurance (QA/QC) Program Plan; • Operations & Maintenance (O&M) Plan; • Rail and Bus Fleet Management Plans. 6.0 SCOPE OF WORK The PMOC should review the Grantee’s organization to ascertain capability to fulfill the demands of implementing a major capital project. An important aspect is the Grantee’s staff’s qualifications and experience and their ability to recognize and manage project risk from scope, schedule and cost. Review of the PMP and other readiness documents is also central to the PMOC’s determination regarding the Grantee’s technical capacity and capability and its preparedness to advance a project into the next phase. The FTA normally engages a PMOC to review the Grantee’s technical capacity and capability prior to entry to PE and may request subsequent evaluations to verify continued capability and capacity before approval of the project to enter final design and award of the FFGA. OP 11 Grantee Capacity and Capability Review Revision 0, June 2008 Page 2 of 4
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
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Page 9 and 10: 7.1 Format Avoid repetition in the
Page 11 and 12: APPENDIX B Sample Task Order ______
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Page 15 and 16: U.S. DOT Federal Transit Administra
Page 17 and 18: Management controls are the organiz
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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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