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

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including: the applicability of Federal regulations, alternative procurement practices; procurement planning; solicitation; award; DBE; Contract Clauses; the pros and cons of design versus performance specifications; Contract Administration; Close out; Disputes. It provides references to all relevant legislation, regulations, letters and circulars. This comprehensive document provides guidance on the whole project cycle, providing further guidance on: • Evaluation of projects at low levels of specification (below 10%), defining program goals, and relating vehicle procurements to program goals; • Procurement methodologies leading to best value; • Advantages and issues with performance based specifications and FTA position on this issue; • Steps required in assuring specification compliance; • Laws and regulations pertaining to procurement of Transit Systems using Federal Funds. 5.0 PROJECT SPONSOR SUBMITTALS The PMOC shall develop a program of submittal review that is intended to assure the FTA’s interests are protected economically, and not be a duplication of the work undertaken by the sponsor and its consultants. Under 49 U.S.C. 5325, 18 CFR 18.36(i), 49 CFR 633.17 all supplier submittals are available as sponsor submittals to the PMOC. Some of the key documents and papers that require attention from the PMOC are discussed below: 5.1 EIS/EIR Primarily, the PMOC shall confirm that the intended vehicle does not potentially conflict with any statements made in the EIS/EIR. List any discrepancies and bring them to the attention of the grantee. Report action taken by grantee. 5.2 Grant Application Does the vehicle under consideration fulfill the needs stated in the grant application? Pay attention to fulfilling operational needs, cost to procure vehicles, maintenance intentions, and prospects for add-on procurements. List any discrepancies and bring them to the attention of the grantee. Report action taken by grantee. 5.3 Useful Reading In review of the Specification in its developmental stages, the PMOC should pay particular attention to: • Comparing the vehicle being procured with the vehicle required to satisfy the EIS; • Determining whether the payment schedule provides the leverage required to assure compliance. Special attention must be paid to payment schedules that are front loaded (even if justified on fiscal grounds) to assure that the project sponsor retains sufficient funds to maintain the supplier’s attention; • Assuring the key technical documents will be approved before hardware delivery; • Identifying whether the vehicle to be delivered can be maintained by the resources at the grantee’s disposal; OP26B Bus and Rail Vehicle Technical Review Revision 0, June 2008 Page 3 of 6
• Assuring the vehicle meet the grantee’s operational requirements; • Assuring the training program allows the vehicle to be operated and maintained by the grantee; • Determining that qualification and acceptance criteria assure the vehicle “as delivered” meets the grantee’s needs; • Assuring that project technical issues are resolved and mitigated and that open items are resolved prior to payment of the relevant milestone. 5.4 CDRL The PMOC shall review the Contract Deliverables Requirements List (CDRL) documents to determine whether the documents will address all of the characteristics to be demonstrated through analysis and test. • These documents and tests shall include proof of design, maintainability, safety, serviceability, and reliability; • CDRLs for configuration controls and management must be closely monitored to enable ongoing and timely updates on changes by the supplier. 5.5 Test Program Plan The PMOC shall review the Test Program Plan to assure the plan is integrated with the CDRL. The PMOC must assure that, between test and analysis, the supplier will demonstrate full compliance with the Sponsor’s design specification. Specifically, the PMOC shall assure the following: • Critical specified performance criteria are demonstrated by test, by acceptable analysis, or prior agency certified test; • Acceptance tests are sufficient to demonstrate that each vehicle is compliant through testing of representative criteria; • The test program is valid for the vehicle and the intended infrastructure. For instance, new vehicles on new infrastructure will require different approaches, such as full system testing; existing vehicle designs previously tested on the existing infrastructure might only require vehicle testing to assure satisfactory interfacing with the existing infrastructure; • Waivers for existing designs are evaluated fully to assure that the waiver is soundly based upon proven in-service technology used in demonstrably similar systems. To support the Test Program Plan Review, the PMOC shall review pertinent test procedures to assure compliance: • Test procedures should reference applicable sections of the specification to be proven; • Test procedures are up-to-date and reflect the latest design configurations. 5.6 Design Documents In reviewing design documents the PMOC shall assure the following: • There is a properly sequenced plan of design that will assure compliance at the earliest possible moment, mitigating the costs of rework and dangers to the overall program schedule; OP26B Bus and Rail Vehicle Technical Review Revision 0, June 2008 Page 4 of 6
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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: LIST OF SUGGESTED DOCUM
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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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