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

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6.1.3 Schedule of Deliverables Unless otherwise indicated by Work Order instructions Implementation and Transition Plans shall be delivered in accordance with the following timeline. Requirement Calendar Days after request by FTA 1) Implementation and Transition Plans a) Draft plan or revision of previous plan 15-21 b) Finalize plan 30 c) Readiness for meetings 30 d) Readiness to assume oversight responsibilities (transitions) 60 e) Annual resubmittal* Jan. 20 of each year 2) Transition Plans by Outgoing PMOC a) Production of requested project information/documentation 15 b) Draft of “Close-out” task order implementation plan 21 c) Finalize “Close-out” task order implementation plan 30 d) Evaluations of Incoming PMOC work 15 after 1 st product e) If outgoing, final participation in meetings, conference calls 60 *Annual resubmittals are required only if plan has been in effect for more than 90 days; the resubmittals may be waived in writing by the COTR. 6.2 Project Status Reporting The project status reports typically incorporate task order level information. On occasion, the COTR or FTA task order manager may require the PMOC to provide a project status report containing contract or work order level information. Coordinate the project status report with the monthly invoice so the report and invoice support each other. Only the Contracting Officer, Contracting Officer’s Technical Representative, Task Order Manager, and Work Order Manager should be provided copies of the project status reports. Status reports are intended for FTA staff use only. 7.0 REPORTS, PRESENTATION, RECONCILIATION The PMOC shall provide reports to FTA as required by Work Order in accordance with this OP. When necessary, PMOC shall perform data analysis and develop data models that meet FTA requirements using Microsoft Office products such as Excel, Project, and Word and use FTA-templates when provided. The PMOC may add other software as required but documentation and report data shall be made available to FTA upon request. 7.1 Implementation Plan - Contents 1) Cover letter 2) Table of Contents 3) List of Acronyms 4) Project Description Overview (one page) OP 2 PMOC Implementation, Transition Plans, and Project Status Reporting Revision 0, June 2008 Page 6 of 9
5) Introduction to PMOC scope of work and period of performance (one page) 6) PMOC proposed Task Order Work Program: Tasks, Schedule, Staffing, Budget a) Summarize the budget in a table of tasks, labor hours for staff and subcontractor, and total costs. The total cost should be consistent with the task order and reflect FTA’s PMOC oversight guidance. Using Microsoft Project, incorporate this information into a schedule of project phases, years, months, milestones, etc. 7) PMOC organization and approach to communications with FTA on project progress, events, etc. a) Include organization charts for FTA, Grantee, and PMOC personnel to illustrate lines of communication. b) Indicate frequency of communicating with FTA and Grantee, how this work will be coordinated and reported, both formally and informally. c) An example of a statement follows: “The PMOC’s written communication documents will be submitted to FTA’s assigned work order manager. The work order manager will distribute the documents within FTA as appropriate, collect FTA comments, request modifications from the PMOC to the documents, and distribute the documents to the Grantee. Informal verbal communication will occur directly between the PMOC and the Grantee staff, at various levels, however the FTA work order manager will be apprised of the general nature of and any material specifics developed during these contacts.” 8) Procedures a) Cost Tracking, Invoicing, Financial Administration and Cost Control i) The PMOC shall describe: (1) The contract type and terms for all the tasks in the task order as well as identifying relevant compensation sublimits or fixed price work; (2) How employees’ record daily project time charges and accumulated into the corporate accounting system on what basis, e.g. weekly; (3) Its intent to comply with FTA’s billing instructions; (4) How invoices are generated and on what periodic basis, e.g. monthly; (5) When its accounting period closes, e.g. on the last Friday of the month; (6) How Subcontractor invoices are recorded, e.g. monthly in the corporate accounting system. b) Correspondence and Document Control i) The PMOC shall describe its approach to controlling correspondence to and from FTA; meeting FTA’s task order requirements for information delivery when deliverables have been accepted by FTA; the location of PMOC project files; file maintenance and control. OP 2 PMOC Implementation, Transition Plans, and Project Status Reporting Revision 0, June 2008 Page 7 of 9
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: 5. Act in a manner consistent with
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
Page 66 and 67: • Recipients with major capital p
Page 68 and 69: 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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