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

6.1 General Review of Grantee’s Capacity and Capability
At a minimum, the following items are to be reviewed by the PMOC to reach a determination of a
Grantee’s capability and capacity to successfully implement a major Federally-assisted capital project:
1) Organization, Personnel Qualifications and Experience:
a) The PMOC shall review the complete organization of the Grantee to determine the likelihood
of the project management team to successfully implement the project. Determine whether the
Grantee has an organizational structure conducive to effective and efficient implementation of
the project;
b) Review the assigned and supporting staff qualifications, including but not limited to review of
resumes and personal interviews. Determine whether the Grantee has the appropriately
qualified staff and/or third-party consultants to design the project.
c) Determine if the Grantee staff has experience to deliver the project, given the form of project
delivery method(s) it plans to use, e.g. design/bid/build, design/build, Construction
Management/General Contractor (CM/GC), etc.
d) Analyze whether the Grantee has the physical resources, such as sufficient office space,
equipment and furnishings to effectively and efficiently progress the project.
e) Determine if the Grantee has, or will have, adequate qualified personnel and facilities to
maintain the project along with the Grantee’s existing system.
2) PMP and other readiness documents:
a) Ascertain whether the Grantee has drafted a Project Management Plan (PMP) and associated
readiness documents appropriate for the stage of project development at the time the evaluation
is taking place and, as required by FTA, whether the PMP and other readiness documents are
being updated by the Grantee on an ongoing basis.
b) Review the PMP to determine if it defines the objectives of the project and the methods and
resources to be used in meeting those objectives. See the OP for PMP review for more
instruction. Where the current PMP is determined by the PMOC to be adequate for the stage of
project development, the PMOC is to forecast a date when the PMP will require updating.
c) As an example of associated readiness documents: Fleet Management Plan -- If available, the
PMOC shall review the Grantee’s Fleet Management Plan (Bus and/or Rail) to determine that
the Grantee has, or will have, a sufficiently sized fleet to service the project without acquiring a
surplus or reserve fleet that exceeds reasonable requirements. Refer to other OP for instruction
on performing an FMP review.
3) Grantee’s approach to the work, understanding of the work, ability to perform the work
a) Review the adequacy of the Grantee’s methods, policies, and procedures for developing and
updating reasonable and realistic project budgets, cost estimates, and schedules and the control
mechanisms in place to monitor and ensure adherence with said budgets, estimates, and
schedules;
b) Evaluate the Grantee’s ability to
i) identify, analyze, manage and mitigate project risks, especially those involving cost,
technology and schedule risks, in the project;
ii) satisfy FTA grant reporting requirements and respond in a timely manner to specific
requests from Congress, the FTA, and the PMOC for project-related information;
iii) package, procure and manage third-party contracts in compliance with FTA and other
Federal requirements;
iv) account for project property and maintenance of project property inventory;
OP 11 Grantee Capacity and Capability Review
Revision 0, June 2008
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