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

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
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