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 01 – Administrative Conditions and Requirements ______________________________________________________________________________ 1.0 PURPOSE The purpose of this Oversight Procedure is to describe the administrative conditions and requirements associated with the performance of oversight by the Project Management Oversight Contractor (PMOC) for the Federal Transit Administration (FTA) of the planning, design, construction and revenue operations of major capital transit projects. 2.0 BACKGROUND As part of its responsibility to prudently use public funds, FTA performs project oversight to ensure that major capital transit projects are executed professionally, efficiently, and in conformance with applicable statutes, regulations, and guidance and sound engineering and project management practices. FTA performs oversight through its own staff and through its contractors, the PMOCs. While these Oversight Procedures are meant to instruct both FTA staff and its PMOCs, the PMOCs in fact perform most of the oversight. Therefore the Oversight Procedures refer to the reviewer as the PMOC. In 2003 and 2004 FTA selected and awarded contracts to seventeen firms to perform oversight services for a period of five years. Today, PMOCs monitor projects costing from $100 million to multiple billions of dollars. 3.0 OBJECTIVES FTA requires project oversight that is proactive, includes investigation of issues and conditions, dialogue and problem solving with the Grantee, and provision of professional opinions and recommendations for action. Reports that support the oversight activities should be concise and provide FTA with critical input to its decision making on project advancement and funding. 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: See Appendix A below. OP 1 Administrative Conditions and Requirements Revision 0, June 2008 Page 1 of 8
5.0 GRANTEE SUBMITTALS NA 6.0 SCOPE OF WORK 6.1 General Administrative Requirements and Documents 6.1.1 Contracts Every five years, FTA issues a request for proposals for project management oversight services for its major capital projects. A group of firms is selected for award of indefinite-delivery indefinite-quantity contracts for oversight services over a period of five years for a not-to-exceed contract amount. Specific assignments for oversight work are negotiated with individual firms and are authorized through task orders, and within task orders, work orders. A PMOC may be issued one or more task orders under its contract. The contract contains the following sections: Section A: SOLICITATION/CONTRACT FORM Section B: SUPPLIES OR SERVICES AND PRICE/COST Section C: DESCRIPTION/SPECS./WORK STATEMENT Section D: PACKAGING AND MARKING Section E: INSPECTION AND ACCEPTANCE Section F: DELIVERIES OR PERFORMANCE Section G: CONTRACT ADMINISTRATION DATA Section H: SPECIAL CONTRACT REQUIREMENTS Section I: CONTRACT CLAUSES Section J: LIST OF ATTACHMENTS TABLE Contract Line Item Numbers (CLINs) are primarily used for administration and accounting. CLINs tie specific types of oversight activities to be performed to work or cost categories which allow FTA to determine the cost effectiveness of the services provided. The contract includes the following CLINs: CLIN 0001 CONTRACT AND PROGRAM SUPPORT CLIN 0002 PROJECT MANAGEMENT SERVICES CLIN 0003 TECHNICAL REVIEW SERVICES CLIN 0004 OTHER DIRECT COSTS Work shall be directed by work order not by CLINs. When services are performed, labor hours and deliverables should be billed by work order and annotated with the CLIN and SubCLIN. SubCLINs represent the lowest level of work or cost category that FTA chooses to track program costs. They are summarized below under each CLIN description. OP 1 Administrative Conditions and Requirements Revision 0, June 2008 Page 2 of 8
Page 1: CLIN# OP# FTA Oversight Procedures
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: U.S. DOT Federal Transit Administra
Page 41: 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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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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