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

More documents

Recommendations

Info

• 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
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
Page 31 and 32:
v) develop and implement a force ac
Page 33 and 34:
4.0 REFERENCES The following are th
Page 35 and 36:
o PMOC’s opinion of situations an
Page 37 and 38:
The report formatting requirements
Page 39 and 40:
Page 41:
APPENDIX A Sample - Lessons Learned
Page 66 and 67:
• Recipients with major capital p
Page 68 and 69:
follow, have different names for si
Page 70 and 71:
documents referenced in the SSMP to
Page 72 and 73:
(2) The effectiveness of the proces
Page 74 and 75:
For recipients with projects affect
Page 76 and 77:
APPENDIX A: SSMP REVIEW CHECKLIST -
Page 78 and 79:
App. No. Checklist Item Plan Requir
Page 80 and 81: App. No. Checklist Item Plan Requir
Page 88 and 89: APPENDIX B: LIST OF SUGGESTED DOCUM
Page 90 and 91: DOCUMENT (Title and acronym; R sign
Page 92 and 93: DOCUMENT (Title and acronym; R sign
Page 94 and 95: APPENDIX D: SAMPLE INTERVIEW QUESTI
Page 96 and 97: APPENDIX E: SSMP REVIEW CHECKLIST -
Page 98 and 99: Note: SSMP Element Compliant with D
Page 100 and 101: SSMP Element Compliant with DRAFT G
Page 102 and 103: APPENDIX F: DISCUSSION OF CONTENTS
Page 104 and 105: candidates for the committee so tha
Page 106 and 107: US DOT Federal Transit Administrati
Page 108 and 109: the time. During preliminary engine
Page 110 and 111: • Plans - who prepares, who can m
Page 112 and 113: U.S. Department of Transportation F
Page 114 and 115: • Serve as a resource by lending
Page 116 and 117: c. Peak Vehicle Requirement include
Page 118 and 119: 3 PMOC review of Grantee’s Operat
Page 120 and 121: Requirement PMOC Review Comments 5C
Page 122 and 123: waiver is requested are not produce
Page 124 and 125: (5) To provide PMOCs with recommend
Page 126 and 127: 4.1.2 Pre-Award Purchaser’s Requi
Page 128 and 129: 5.0 PMOC REVIEW OF PROJECT SPONSOR
Page 132 and 133: 6.3.2 Corrective Action: The Grante
Page 134 and 135: 8.0 APPENDICES 8.1 Sample Review Ce
Page 136 and 137: comply? 5.3.1.5 Are the vehicle bod
Page 138 and 139: US DOT Federal Transit Administrati
Page 140 and 141: including: the applicability of Fed
Page 142 and 143: • Each document addresses the int
Page 144 and 145: APPENDIX A: CHECKLIST OP Section Is
Page 146 and 147: orders: 5.6.2.1 Is PDR consistent w
Page 148 and 149: design-to-budget approach that main
Page 150 and 151: 15) Step the project forward using
Page 152 and 153: 2.2 The New Starts Process New Star
Page 154 and 155: 3.0 OBJECTIVES During the initial e
Page 156 and 157: 7.0 REPORT, PRESENTATION, RECONCILI
Page 158 and 159: provisions) to make detailed design
Page 160 and 161: 6) Identify any unknown or uncertai
Page 162 and 163: APPENDIX A Scope Review Checklist E
Page 164 and 165: o Development of strategies for min
Page 166 and 167: to then be backfilled or would othe
Page 168 and 169: • Major or critical work details;
Page 170 and 171: It is important to select a project
Page 172 and 173: 6.2 Preliminary Document Review Upo
Page 174 and 175: U.S. DOT Federal Transit Administra
Page 176 and 177: o Level 4: Subdivide Level 3 as fol
Page 178 and 179: • Is integrated with and makes ad
Page 180 and 181:
APPENDIX B Cost Estimate Review Che
Page 182 and 183:
o Confirm that cost estimates are b
Page 184 and 185:
12) Appendices a) Grantee Project I
Page 186 and 187:
This sample of 118 cost items was s
Page 188 and 189:
consistently accurate. In addition,
Page 190 and 191:
SCC-10.02 Earth Excavation Although
Page 192 and 193:
The scope review identifies risk in
Page 194 and 195:
• Producer Price Index (PPI) - Th
Page 196 and 197:
APPENDICES PROJECT COST ESTIMATE ([
Page 198 and 199:
EXHIBIT D-1: PROJECT COST ESTIMATE
Page 200 and 201:
3.0 OBJECTIVES FTA’s objective is
Page 202 and 203:
E) Lead times and durations for equ
Page 204 and 205:
activity durations. Critical path f
Page 206 and 207:
US DOT Federal Transit Administrati
Page 208 and 209:
orders may direct the PMOC to reeva
Page 210 and 211:
Design‐Build or CM‐GC), the pro
Page 212 and 213:
degree of understanding among the p
Page 214 and 215:
management labor and profit/fee. Su
Page 216 and 217:
US DOT Federal Transit Administrati
Page 218 and 219:
Construction Risk is subdivided int
Page 220 and 221:
Category or sub‐category cost ele
Page 222 and 223:
with the construction contractor. T
Page 224 and 225:
Management Plan; these recommendati
Page 226 and 227:
etween risk reduction and risk acce
Page 228 and 229:
75% construction 85% 90% constructi
Page 230 and 231:
milestones, the value of expected m
Page 232 and 233:
Page 234 and 235:
4.2 Guidance coordination of platfo
Page 236 and 237:
communicate with the vehicle manufa
Page 238 and 239:
APPENDIX A FTA Request for Informat
Page 240 and 241:
APPENDIX B OP 41 ADA Review - Level
Page 242 and 243:
4.1 Legislative • The Safe, Accou
Page 244 and 245:
4) Cost estimate in year-of-expendi
Page 246 and 247:
Page 248 and 249:
• Project Schedule (Master Schedu
Page 250 and 251:
d) Assessed safety and security iss
Page 252 and 253:
Page 254 and 255:
• Interim Guidance on Design-Buil
Page 256 and 257:
(3) Appropriateness of the proposed
Page 258 and 259:
7) Project Schedule The PMOC should
Page 260 and 261:
Page 262 and 263:
2) The Grantee’s program for adva
Page 264 and 265:
2. Identify all apparent discrepanc
Page 266 and 267:
• The PMOC shall assess whether t
Page 268 and 269:
to FD phase of the project, should
Page 270 and 271:
Table 1, continued: Expected Attrib
Page 272 and 273:
• Real Estate Acquisition Managem
Page 274 and 275:
Page 276 and 277:
performed Quality assurance records
Page 278 and 279:
plan that ensures the necessary qua
Page 280 and 281:
Page 282 and 283:
5.3 Systems/Facilities Integration
Page 284:
6.2 Successful completion and recor
show all

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

Create successful ePaper yourself

Delete template?

Save as template?