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

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CLIN 0001 covers services that are required by FTA in support of the PMOC’s contract and the PMO program at large. 0001A Administrative Tasks (Contract implementation plans, task order implementation plans, transition plans, project status reports, FTA events such as Annual Engineers’ Conference, Annual PMO Conference, Quarterly PMO teleconferences, Transit Construction Roundtables, and other specialty meetings or conferences, etc.) 0001B Special Tasks (Update project management oversight procedures, develop technical papers, perform special studies, etc.) 0001C Ancillary Support (Covers unforeseeable tasks such as emergency support services and other work as directed by the Administrator) CLIN 0002 covers Project Management Services that typically are required at regular intervals and are normally specified by FTA regional task order managers. 0002A Grantee Technical Capacity and Capability Reviews (project sponsor technical capacity and capability reviews, project management plan reviews, project sponsor quality assurance/quality control program reviews, safety security management plan reviews, real estate acquisition plan reviews, etc.) 0002B On-site Monitoring and Reporting (Recurring oversight–monthlies, quarterlies, trip reports, final monitoring report, lessons learned) 0002C PMO Information Management Support and Products (Information technology support and services) CLIN 0003 covers Technical Review Services and analysis that are normally specified by FTA headquarters project engineers and technical specialists. 0003A Scope, Cost, Schedule Characterization Reviews (Scope, capital cost estimate, schedule analysis, value engineering and life cycle cost analysis, annual new starts reviews, etc.) 0003B Vehicles Procurement Reviews (Fleet management plan reviews, rail and bus vehicle technical reviews) 0003C Risk Assessments and Contingency Reviews (Risk assessment and mitigation reviews, contingency reviews, etc.) 0003D Project Execution Readiness Reviews (Design and constructability reviews, ADA level boarding review, readiness to enter PE, FD, execute FFGA, readiness to bid construction, readiness for revenue operations – testing, start-up, etc.) 0003E Small Starts Reviews (Small starts projects reviews – includes all technical capacity, scope, schedule, cost, etc. for small starts projects) CLIN 0004 covers travel and other expenses such as printing. 0004A Travel Expenses (Non-labor travel related expenses such as transportation expenses, lodging, per diem, etc. associated with any of the above CLINs) 0004B Other Direct Expenses (Printing, shipping, materials, etc.) OP 1 Administrative Conditions and Requirements Revision 0, June 2008 Page 3 of 8
6.1.2 Task Orders FTA headquarters or an FTA regional office will identify a project or group of projects that could benefit from PMOC oversight. For award of initial task orders for oversight, FTA’s procurement office will request proposals from all PMOCs that have indicated on the matrix in Attachment J-5 in the Request for Proposal an interest in performing the work and a lack of conflict of interest. Refer to Appendix D for the sample proposal format. Written proposals are due seven days after issuance of the request. The procurement office with the assistance of TPM-20 Office of Engineering will evaluate the proposals and select a contractor utilizing the “best value” approach. In the interest of economy and efficiency, the procurement office will typically issue on a sole source basis follow-on task orders to the PMOC that was awarded the initial task order for a particular project, grantee or region. If the performance of the existing PMOC is unsatisfactory or if competing is deemed in the best interest of the government, the procurement office may compete follow-on task orders. The total amount of all task orders awarded or issued by FTA in one year will not exceed the total amount available to FTA for oversight of major capital projects as documented in the TPM-20 Office of Engineering Program Plan. The Program Plan covers a twelve month period, therefore task orders will cover a maximum of twelve months. Task order amounts are based on cost estimates for PMOC oversight based on activities and events in the Grantee’s project schedule. A task order sample is shown in Appendix B. The PMOC is required to submit a Task Order Implementation Plan upon receipt of the task order from FTA. This plan outlines the PMOC’s proposed approach to the overall task, identifies activities to be performed, and provides a schedule and cost breakdown for the activities. All activities performed under task orders will be authorized through work orders. Some work orders will be written broadly, for example, covering all recurring oversight activities on a project (such as monthly and quarterly meetings and supporting reports). Other work orders will be written more narrowly, for example, covering reviews (such as scope, schedule, cost, and risk) on specific dates. 6.1.3 Work Orders A sample work order format is shown in Appendix C. A work order will be based on an approved proposal by a PMOC. Refer to Appendix D for the sample proposal format. The work order will describe the work; it may refer to certain Oversight Procedures (OP) to guide the performance of the work. It will include a not-to-exceed cost and a defined schedule. A Work Order Implementation Plan may be required by FTA for large scope work orders or for oversight activities for which there is no associated OP. Before issuing, the COTR verifies that the work order cost is included in the authorized task order amount. The work order will refer to applicable CLINs. The cost of each work order must be tracked OP 1 Administrative Conditions and Requirements Revision 0, June 2008 Page 4 of 8
Page 1 and 2: CLIN# OP# FTA Oversight Procedures
Page 3: 5.0 GRANTEE SUBMITTALS NA 6.0 SCOPE
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
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Page 21 and 22: 5) Introduction to PMOC scope of wo
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Page 25 and 26: Cost $2,500,000 $2,000,000 $1,500,0
Page 27 and 28: • Legislators, legislative staff
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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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