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 46.5 – Readiness for Revenue Operations ______________________________________________________________________________ 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) as regards the Grantee’s readiness for revenue operations as evidenced by completed integrated testing of project components and systems. Through early performance of this procedure, the PMOC can help the Grantee to avoid “11th hour” testing, untimely surfacing of operational problems, and related postponements of the revenue operations date. 2.0 BACKGROUND Completion of the readiness for revenue operations criteria is the ultimate proof that a transit project operates as designed as an integrated whole. Successful achievement of this goal requires expertise, experience, and planning of testing far in advance to avoid impact to construction and the contractually agreed upon revenue operations date. Proper integration and coordination is important so that the testing process is understood by all involved stakeholders including safety personnel, operations, maintenance, engineering, the construction management consultant and the construction contractors. With proper planning, coordination, and comprehensive plans and procedures, the readiness for revenue operations testing can be implemented successfully, and the transit project can be ready for turnover to the transit agency’s operations and maintenance division. It is important that all systems, subsystems, components, equipment, and materials furnished and installed conform to the requirements of the contract documents which generally include plans and specifications. Integrated testing of systems includes such elements as track and associated trackwork; train control systems; signal systems; communications; traction power systems including substations, third rails, overhead catenary systems; vehicles; grade crossing protection systems including traffic signal timing; fare collection systems; and stations. 3.0 OBJECTIVES The objectives are to assess whether: • All systems, subsystems, components, equipment, and materials furnished and installed conform to the requirements of the contract documents • The entire transit system, with all interfaces, operates as indicated in the contract documents as an integrated whole and is capable of functioning effectively to provided dependable service. OP 46.5 Readiness for Revenue Operations Revision 0, June 2008 Page 1 of 5
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 • Project Management Oversight, 49 C.F.R. Part 633 4.2 Guidance • Project and Construction Management Guidelines, 2003 Update 5.0 PROJECT SPONSOR SUBMITTALS Obtain from the Grantee the following: 5.1 Contract Documents – Plans and Specifications and supporting documents as follows: • Design Criteria and Standards • Codes and Regulations including those mentioned above • Relevant Policies • Operating Rules • Project Management Plan • Safety and Security Plan • Safety Certification • Quality Assurance/Quality Control Plan • Risk Assessment Plan 5.2 Project Master Schedule The schedule for Readiness for Revenue Operations must be integrated into the project master schedule with time-phased activities showing the inter-dependencies between various activities and designating project performance milestones. The goal is to schedule the tests in order to avoid disruption to construction contractor activities and to the grantee’s revenue operations. Track Access. In order to avoid interfering with or delaying construction, track access must be coordinated with the contractors and the agency’s operations. This would avoid any disruptions to the contractors’ progress which could impact the project schedule. Cutover. One of the most complicated parts of construction involves the "cutover" to an existing system. The interface point between the existing lines, and the future extensions presents potential for impacts to existing operations during integrated testing and startup. In developing integrated test procedures and coordinating the testing, the focus should be on minimizing the impact of integrated testing during cutover to existing operations. This must be accomplished by proper coordination to determine windows of time for integrated testing which affects the existing system and to determine the contractors’ schedules and construction staging plans. OP 46.5 Readiness for Revenue Operations Revision 0, June 2008 Page 2 of 5
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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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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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Page 234 and 235: 4.2 Guidance coordination of platfo
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