DOT 49 CFR PART 633-2010 PROJECT MANAGEMENT OVERSIGHT.pdf

1、463 Federal Transit Admin., DOT 633.5 good-faith written response to this re-quest will be treated as a failure to re-port data under 630.5. 630.8 Questionable data items. FTA may enter a zero, or adjust any questionable data item(s), in any re-porting entitys NTD submission that is used in computin

2、g the Section 5307 apportionment. These adjustments may be made if any data appears to be inaccurate, have not been collected and reported in accordance with FTA ref-erence documents, or if there is not adequate documentation and a reliable recordkeeping system. 630.9 Notice of FTA action. Before ta

3、king final action under 630.5 or 630.8, FTA will transmit a written request to the reporting entity to provide the necessary information within a specified reasonable period of time. FTA will advise the reporting en-tity of its final decision. 630.10 Waiver of reporting require-ments. Waivers of one

4、 or more sections of the reporting requirements may be granted at the discretion of the Admin-istrator on a written showing that the party seeking the waiver cannot fur-nish the required data without unrea-sonable expense and inconvenience. Each waiver will be for a specified pe-riod of time. 630.11

5、 Data adjustments. Errors in the data used in making the Section 5307 apportionment may be discovered after any particular years apportionment is completed. If so, FTA shall make adjustments to correct these errors in a subsequent years ap-portionment to the extent feasible. PART 633PROJECT MANAGEME

6、NT OVERSIGHT Subpart AGeneral Provisions Sec. 633.1 Purpose. 633.3 Scope. 633.5 Definitions. Subpart BProject Management Oversight Services 633.11 Covered projects. 633.13 Initiation of PMO services. 633.15 Access to information. 633.17 PMO contractor eligibility. 633.19 Financing the PMO program. S

7、ubpart CProject Management Plans 633.21 Basic requirement. 633.23 FTA review of PMP. 633.25 Contents of a project management plan. 633.27 Implementation of a project manage-ment plan. 633.29 PMP waivers. AUTHORITY: 49 U.S.C. 1601 et. seq., 1619. SOURCE: 54 FR 36711, Sept. 1, 1989, unless otherwise n

8、oted. Subpart AGeneral Provisions 633.1 Purpose. This part implements section 324 of the Surface Transportation and Uni-form Relocation Assistance Act of 1987 (Pub. L. 10017), which added section 23 to the FT Act. The part provides for a two-part program for major capital projects receiving assistan

9、ce from the agency. First, subpart B discusses project management oversight, de-signed primarily to aid FTA in its role of ensuring successful implementation of federally-funded projects. Second, subpart C discusses the project man-agement plan (PMP) required of all major capital projects. The PMP i

10、s de-signed to enhance the recipients plan-ning and implementation efforts and to assist FTAs grant application analysis efforts. 633.3 Scope. This rule applies to a recipient of Federal financial assistance under-taking a major capital project using funds made available under: (a) Sections 3, 9, or

11、 18 of the Federal Mass Transit Act of 1964, as amended; (b) 23 U.S.C. 103(e)(4); or (c) Section 14(b) of the National Cap-ital Transportation Amendments of 1979 (93 Stat. 1320, Pub. L. 96184). 633.5 Definitions. As used in this part: VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00473

12、Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-464 49 CFR Ch. VI (10110 Edition) 633.11 Administrator means the Adminis-trator of the Federal Transit Adminis-tration or the

13、Administrators des-ignee. Days means calendar days. Fixed guideway means any public transportation facility which utilizes and occupies a separate right-of-way or rails. This includes, but is not limited to, rapid rail, light rail, commuter rail, automated guideway transit, people movers, and exclus

14、ive facilities for buses and other high occupancy vehi-cles. Full funding agreement means a writ-ten agreement between FTA and a re-cipient that establishes a financial ceiling with respect to the Govern-ments participation in a project; sets forth the scope of a project; and sets forth the mutual u

15、nderstanding, terms, and conditions relating to the con-struction and management of a project. Major capital project means a project that: (1) Involves the construction of a new fixed guideway or extension of an exist-ing fixed guideway; (2) Involves the rehabilitation or modernization of an existin

16、g fixed guideway with a total project cost in excess of $100 million; or (3) The Administrator determines is a major capital project because the project management oversight pro-gram will benefit specifically the agen-cy or the recipient. Typically, this means a project that: (i) Generally is expect

17、ed to have a total project cost in excess of $100 mil-lion or more to construct; (ii) Is not exclusively for the routine acquisition, maintenance, or rehabili-tation of vehicles or other rolling stock; (iii) Involves new technology; (iv) Is of a unique nature for the re-cipient; or (v) Involves a re

18、cipient whose past experience indicates to the agency the appropriateness of the extension of this program. Project management oversight means the monitoring of a major capital projects progress to determine wheth-er a project is on time, within budget, in conformance with design criteria, construct

19、ed to approved plans and specifications and is efficiently and ef-fectively implemented. Project management plan means a written document prepared by a recipi-ent that explicitly defines all tasks necessary to implement a major cap-ital project. Recipient means a direct recipient of Federal financia

20、l assistance from FTA. FT Act means the Federal Mass Tran-sit Act of 1964, as amended. FTA means the Federal Transit Ad-ministration. Subpart BProject Management Oversight Services 633.11 Covered projects. The Administrator may contract for project management oversight services when the following tw

21、o conditions apply: (a) The recipient is using funds made available under section 3, 9, or 18 of the Federal Mass Transit Act of 1964, as amended; 23 U.S.C. 103(e)(4); or section 14(b) of the National Capital Transpor-tation Amendments of 1979; and (b) The project is a major capital project. 633.13

22、Initiation of PMO services. PMO services will be initiated as soon as it is practicable, once the agen-cy determines this part applies. In most cases, this means that PMO will begin during the preliminary engineer-ing phase of the project. However, con-sistent with other provisions in this part, the

23、 Administrator may determine that a project is a major capital project at any point during its imple-mentation. Should this occur, PMO will begin as soon as practicable after this agency determination. 633.15 Access to information. A recipient of FTA funds for a major capital project shall provide t

24、he Ad-ministrator and the PMO contractor chosen under this part access to its records and construction sites, as rea-sonably may be required. 633.17 PMO contractor eligibility. (a) Any person or entity may provide project management oversight services VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO

25、 00000 Frm 00474 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-465 Federal Transit Admin., DOT 633.25 in connection with a major capital project, with the following excepti

26、ons: (1) An entity may not provide PMO services for its own project; and (2) An entity may not provide PMO services for a project if there exists a conflict of interest. (b) In choosing private sector persons or entities to provide project manage-ment oversight services, FTA uses the procurement req

27、uirements in the gov-ernment-wide procurement regula-tions, found at 48 CFR CH I. 633.19 Financing the PMO program. (a) FTA is authorized to expend up to 12 of 1 percent of the funds made avail-able each fiscal year under sections 3, 9, or 18 of the FT Act, 23 U.S.C. 103(e)(4), or section 14(b) of t

28、he Na-tional Capital Transportation Amend-ments of 1979 (93 Stat. 1320) to contract with any person or entity to provide a project management oversight service in connection with a major capital project as defined in this part. (b) A contract entered into between FTA and a person or entity for proje

29、ct management oversight services under this part will provide for the payment by FTA of 100 percent of the cost of carrying out the contract. Subpart CProject Management Plans 633.21 Basic requirement. (a) If a project meets the definition of major capital project, the recipient shall submit a proje

30、ct management plan prepared in accordance with 633.25 of this part, as a condition of Federal financial assistance. As a gen-eral rule, the PMP must be submitted during the grant review process and is part of FTAs grant application review. This section applies if: (1) The project fails under one of

31、the automatic major capital investment project categories (633.5(1) or (2) of this part); or (2) FTA makes a determination that a project is a major capital project, consistent with the definition of major capital project in 633.5. This deter-mination normally will be made during the grant review pr

32、ocess. However, FTA may make such determination after grant approval. (b)(1) FTA will notify the recipient when it must submit the PMP. Nor-mally, FTA will notify the recipient sometime during the grant review process. If FTA determines the project is major under its discretionary au-thority after t

33、he grant has been ap-proved, FTA will inform the recipient of its determination as soon as pos-sible. (2) Once FTA has notified the recipi-ent that it must submit a plan, the re-cipient will have a minimum of 90 days to submit the plan. 633.23 FTA review of PMP. Within 60 days of receipt of a projec

34、t management plan, the Administrator will notify the recipient that: (a) The plan is approved; (b) The plan is disapproved, including the reasons for the disapproval; (c) The plan will require modifica-tion, as specified, before approval; or (d) The Administrator has not yet completed review of the

35、plan, and state when it will be reviewed. 633.25 Contents of a project manage-ment plan. At a minimum, a recipients project management plan shall include (a) A description of adequate recipi-ent staff organization, complete with well-defined reporting relationships, statements of functional responsi

36、bil-ities, job descriptions, and job quali-fications; (b) A budget covering the project management organization, appropriate consultants, property acquisition, util-ity relocation, systems demonstration staff, audits, and such miscellaneous costs as the recipient may be prepared to justify; (c) A co

37、nstruction schedule; (d) A document control procedure and recordkeeping system; (e) A change order procedure which includes a documented, systematic ap-proach to the handling of construction change orders; (f) A description of organizational structures, management skills, and staffing levels require

38、d throughout the construction phase; (g) Quality control and quality assur-ance programs which define functions, procedures, and responsibilities for VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00475 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided

39、by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-466 49 CFR Ch. VI (10110 Edition) 633.27 construction and for system installa-tion and integration of system compo-nents; (h) Material testing policies and pro-cedures; (i) Plan for internal reporting re-quireme

40、nts including cost and schedule control procedures; and (j) Criteria and procedures to be used for testing the operational system or its major components; 633.27 Implementation of a project management plan. (a) Upon approval of a project man-agement plan by the Administrator the recipient shall begi

41、n implementing the plan. (b) If a recipient must modify an ap-proved project management plan, the recipient shall submit the proposed changes to the Administrator along with an explanation of the need for the changes. (c) A recipient shall submit periodic updates of the project management plan to th

42、e Administrator. Such up-dates shall include, but not be limited to: (1) Project budget; (2) Project schedule; (3) Financing, both capital and oper-ating; (4) Ridership estimates, including op-erating plan; and (5) Where applicable, the status of local efforts to enhance ridership when estimates are

43、 contingent, in part, upon the success of such efforts. (d) A recipient shall submit current data on a major capital projects budg-et and schedule to the Administrator on a monthly basis. 633.29 PMP waivers. A waiver will be considered upon ini-tiation by the grantee or by the agency itself. The Adm

44、inistrator may, on a case-by-case basis, waive: (a) Any of the PMP elements in 633.25 of this part if the Administrator determines the element is not nec-essary for a particular plan; or (b) The requirement of having a new project management plan submitted for a major capital project if a recipi-ent

45、 seeks to manage the major capital project under a previously-approved project management plan. PART 639CAPITAL LEASES Subpart AGeneral Sec. 639.1 General overview of this part. 639.3 Purpose of this part. 639.5 Scope of this part. 639.7 Definitions. Subpart BRequirements 639.11 Lease qualification

46、requirements. 639.13 Eligible types of leases. 639.15 Eligible forms of grant. 639.17 Eligible lease costs. 639.19 Other Federal requirements. Subpart CCost-Effectiveness 639.21 Determination of cost-effectiveness. 639.23 Calculation of purchase or construc-tion cost. 639.25 Calculation of lease cos

47、t. 639.27 Minimum criteria. Subpart DLease Management 639.31 Early lease termination or modifica-tion. 639.33 Management of leased assets. AUTHORITY: 49 U.S.C. 5302; 49 CFR 1.51. SOURCE: 56 FR 51794, Oct. 15, 1991, unless otherwise noted. Subpart AGeneral 639.1 General overview of this part. This pa

48、rt contains the requirements to qualify for capital assistance when leasing facilities or equipment under the Federal transit laws. This part is set out in four subparts, with subpart A containing general information on scope and definitions. Subpart B con-tains the principal requirements of this pa

49、rt, including eligibility require-ments, the self-certification system used, and identification of the various forms of leases and grants that are eli-gible under the program. Subpart B also contains a section on other Fed-eral requirements that may apply. Sub-part C includes the actual calculations that each recipient should undertake before certifying that a lease is cost-ef-fective. Finally, subpart D contains