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

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• If no, examine contract files, invoices, and other procurement documents to determine purchase dates, content of each purchase, and dates when vehicles were placed into service. Mark this item as a discrepancy for follow-up discussions with the Grantee/Sponsor. (4) Has the Grantee/Sponsor requested and/or received a waiver for any part of its purchase of vehicles? Does the Grantee/Sponsor have the FTA approved waiver in its procurement files for PMOC review? • If yes, PMOC must review the waiver and determine applicability to Grantee’s/Sponsor’s Post-Delivery Review. If acceptable, proceed to next question. • If no, has Grantee/Sponsor been denied an FTA approved waiver for Buy America provisions? If so, mark this item as a discrepancy for discussion with the Grantee/Sponsor. 5.5 Triennial Review The triennial review, as its name suggests, is a review of the Grantee’s Buy America activities over the past three years. There are two ways that a PMOC or FTA project manager might become involved with the Grantee’s triennial review: 5.5.1 As an auditor working on behalf of the FTA in conducting the review 5.5.2 As a PMOC/Project Manager for a specific procurement by the Grantee 5.5.3 In the first case, there are a number of specific issues to be addressed. (1) Has the Grantee included a Buy America provision for all procurements of steel, iron, and manufactured products, except products with a waiver or small purchases of $100,000 or less? (2) Has the Grantee obtained and retained Buy America certifications from successful vendors for purchases of more than $100,000? (3) Did the Grantee conduct pre-award and post-delivery audits for its purchases of rolling stock over $100,000? Does the Grantee have properly completed pre-award and post-delivery certifications in its contract files? (4) If the Grantee purchases rolling stock with multiple delivery dates using either options or multi-year procurements, has the Grantee performed and certified a preaward and post-delivery audit for each group of vehicles before placing them into service? (5) What process did the Grantee use to verify the domestic content of the vehicle, its components, and its subcomponents prior to awarding the contract? OP26A Buy America Review Revision 0, June 2008 Page 10 of 14
(6) If required, did the Grantee use in-plant inspectors during the manufacturing process? (7) Does the Grantee have a description of the manufacturing activities taking place during the final assembly of the vehicles and, for vehicles that were partially manufactured outside the United States, did the final assembly meet FTA requirements? 5.5.4 In the second case the PMOC or FTA project manager has the triennial report available to establish how the Grantee has handled Buy America issues in the past and provides some guidance for matters that require special attention. 6.0 SCOPE OF WORK In addition to the reviews of submittals indicated above, as part of its monthly report, the PMOC shall include recommendations for FTA to take corrective action with the Grantee. Before making such a report, the PMOC shall discuss possible corrective action with the Grantee, and report the intended corrective action concurrently. 6.1 Discrepancy Type 1: Grantee/Sponsor is deficient and did not have Buy America requirements in its procurement contracts for iron, steel, or manufactured products and/or does not have an FTA approved waiver. 6.1.1 Corrective Action: PMOC must advise Grantee to revise its procurement procedures to include the Buy America provisions, including the requirement to obtain vendor signed Buy America certifications. 6.1.2 Corrective Action: PMOC shall direct Grantee/Sponsor to submit revised purchasing procedures to the FTA. 6.2 Discrepancy Type 2: Grantee/Sponsor is deficient and did not conduct all of the required review for its rolling stock procurement. Grantee/Sponsor does not have all of the required certifications in its files. 6.2.1 Corrective Action: The PMOC should advise the Grantee/Sponsor to locate and sign all missing but required certifications. 6.2.2 Corrective Action: If the certifications cannot be located, the PMOC should direct Grantee/Sponsor conduct “after-the-fact” Pre-Award or Post-Delivery audits to verify that the procurement complies with domestic content and final assembly requirements. 6.3 Discrepancy Type 3: Grantee/Sponsor is deficient and has placed vehicles into revenue service, before completing Pre-Award and/or Post-Delivery Audits. 6.3.1 Corrective Action: The PMOC should direct the Grantee/Sponsor to provide the FTA with an explanation for how/why vehicles were placed in service before completing the Pre-Award and Post-Delivery Audits. OP26A Buy America Review Revision 0, June 2008 Page 11 of 14
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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 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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US DOT Federal Transit Administrati
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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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US DOT Federal Transit Administrati
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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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