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 12 - Recurring Oversight and Related Reports (Periodic, Trip, Quarterly, Final) ______________________________________________________________________________ 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 ongoing or recurring oversight of major capital transit projects. In addition it is to describe the expected type and quality of reports of the PMOCs’ findings, conclusions and recommendations based on oversight activities. 2.0 BACKGROUND In its major capital program, FTA oversees projects with costs ranging from $100 million to multiple billions of dollars. These projects are complex. They extend for miles and cross jurisdictional boundaries. They are fitted into existing urban, rural and railroad environments. They are designed to accommodate and transport persons while providing comfort, convenience, safety and enjoyment. These projects are meant to last decades, sometimes even centuries. Ongoing and recurring oversight by the PMOC helps FTA to accomplish its fundamental stewardship role, provide technical assistance to Grantees in their efforts to avoid problems and capture opportunities, and meet the requirements of 49 CFR Part 633, the Project Management Oversight Rule. This rule states that "Project Management Oversight" is the monitoring of a major capital project's progress to determine whether a project is on time, within budget, in conformance with design criteria, constructed to approved plans and specifications and is efficiently and effectively implemented. The PMO rule also describes the roles and responsibilities of FTA and recipients of federal funds (Grantees) with respect to the PMO program and Project Management Plans (PMP.) As part of the PMOC’s ongoing and recurring oversight activities, written reports are required to be submitted to FTA. In addition to the instructions below, refer to OP 01 for a larger description of the PMOCs’ role and report requirements. 3.0 OBJECTIVES The objective of the reports is to provide FTA with important information gleaned from the PMOC’s oversight regarding the project and the Grantees’ ability to implement the project. By keeping FTA informed of findings, project status, issues of concern, and recommendations for action, the PMOC supports FTA’s decision making on project advancement and funding. OP 12 Recurring Oversight and Related Reports (Periodic, Trip, Quarterly, Final) Revision 0, June 2008 Page 1 of 6
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 5.0 PROJECT SPONSOR SUBMITTALS Material that should be reviewed by PMOCs as part of oversight includes: • Grantee communications with FTA, other agencies, third parties, etc. • Design drawings and construction documents including specifications • Cost estimates in Grantees’ original format and FTA Standard Cost Category (SCC) format • Schedules • Value engineering findings and recommendations reports • Risk assessment reports • Consultant Contracts • Project Management Plan and sub-plans o Bus Fleet Management Plan o Rail Fleet Management Plan o Safety and Security Management Plan (SSMP) o Real Estate Acquisition and Management Plan (RAMP) o Quality Management Plan o Project Development and Project Execution Plans o Third-party Agreements o Safety and Security Management Plan and Safety and Security Certification Plan • Construction Administration/Management files o Selection of project delivery methods o Organization and coordination of contract packages o Terms and conditions of construction contracts o Addenda to bid packages o Bid tallies o Construction contracts signed o Change order (includes potential Change Orders) files o Claims (includes potential Claims) file o Request for Information (RFI) logs o Inspection Reports o Meeting Minutes o Contract Management (CM) reports OP 12 Recurring Oversight and Related Reports (Periodic, Trip, Quarterly, Final) Revision 0, June 2008 Page 2 of 6
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
Page 7 and 8: and communications systems; fare co
Page 9 and 10: 7.1 Format Avoid repetition in the
Page 11 and 12: APPENDIX B Sample Task Order ______
Page 13 and 14: APPENDIX D Sample Proposal Format _
Page 15 and 16: U.S. DOT Federal Transit Administra
Page 17 and 18: Management controls are the organiz
Page 19 and 20: 5. Act in a manner consistent with
Page 21 and 22: 5) Introduction to PMOC scope of wo
Page 23 and 24: 7.3 Project Status Reporting - Cont
Page 25 and 26: Cost $2,500,000 $2,000,000 $1,500,0
Page 27 and 28: • Legislators, legislative staff
Page 29 and 30: 4.2 FTA Circulars • C5010.1C, Gra
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Page 37 and 38: The report formatting requirements
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Page 68 and 69: follow, have different names for si
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Page 76 and 77: 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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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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