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

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separately in project status reports and in invoices, with a breakdown by CLIN. Within the PMOC’s monthly or quarterly task order status reports, the estimated versus actual for each work order should be tracked as a subset of the estimated versus actual for the entire task order. 6.1.4 Spot Reports In the previous PMO contract, “Spot Reports” were used to report on a variety of topics. In this PMO contract, the generic spot report will be required very infrequently if at all. By and large, the spot report is replaced by specific reports such as “Project Cost Review Report” or “Grantee Technical Capacity and Capability Review Report”, etc. 6.2 Roles and Responsibilities The Grantees are the project builders and owners and are fully responsible for development and implementation of the capital transit project. They are responsible for planning, design, bidding the contract documents; supervising, administering, inspecting and accepting construction; performing testing and start up. FTA administers grants and loans to State and local public bodies, and in public-private partnerships to private entities, to acquire, construct, and reconstruct transit facilities. FTA seeks to ensure through its oversight that FTA-funded projects related to these transit facilities are executed responsibly. The FTA Office of Engineering within the Office of Program Management (TPM) in Washington, D.C. and the FTA Regional Offices (TROs) are responsible for oversight from the time of the Grantees’ application to enter preliminary engineering (PE) through final design (FD), the Full Funding Grant Agreement (FFGA), construction, substantial completion, testing, start-up, and revenue operations. As a general rule, recurring oversight and reviews of the Grantee’s project management capacity are conducted by TROs. Technical reviews for scope, schedule, cost, contingency and risk, etc. are usually initiated by TPM. TPM and TRO, along with TAD (Office of Procurement), administer the PMOC contracts, task orders and work orders. PMOCs assist FTA in fulfilling its oversight responsibilities. The PMOCs’ primary FTA points of contact are FTA’s task order managers and FTA’s work order managers. The primary FTA staff person in Procurement is the Contracting Officer (CO) and in TPM is the Contracting Officer’s Technical Representative (COTR). The PMOCs are responsible for rigorously but non-intrusively analyzing progress on projects, positively and constructively interacting with the Grantee to solve problems, and maintaining objectivity in discussions of findings, conclusions and recommendations with FTA and the Grantee. One of the most important reviews is the assessment of the Grantees’ technical capacity and capability to successfully implement projects in a quality manner – to keep projects on time, on budget, in accordance with approved plans and specifications, constructible and well managed, employing value engineering, risk assessment and risk management. In addition to the Grantees’ technical capacity, the PMOCs review the planning, design, construction and operations of the project; specific project components: guideway structures, stations, maintenance and storage facilities, sitework, power, signal OP 1 Administrative Conditions and Requirements Revision 0, June 2008 Page 5 of 8
and communications systems; fare collection; real estate; vehicle design and manufacturing; project quality and capacity; safety; cost estimates, schedules, assessments of risk. After PMOCs are awarded contracts, they may be awarded task orders and work orders within task orders to perform oversight. Task orders can cover all projects in a geographic area or they can be limited to the work of a particular Grantee. Task orders issued from TPM-20 can cover special studies and research, as well as technical reviews (scope, schedule, cost) for projects. The PMOCs’ main responsibilities include: • Investigation of project conditions and core documents; site visitation; review of pertinent documents; performance of interviews in sufficient detail as to become familiar with established project goals, site conditions, design criteria, operations plans, drawings and specifications, value engineering studies, peer and constructability reviews, schedules, cost estimates, risks, bid packages, and contracts; • Assessment of the Grantee’s management of projects and technical capacity and capability; • Assessment of the Grantee’s ability to meet goals related to design capacity, scope, schedule, budget, quality, and safety both during construction and in revenue operations; • Identification of problems and uncertainties related to the fulfillment of program requirements; • Recommendations and proactive problem solving with the Grantee and FTA staff, and provision of professional opinions to the FTA; • Discussion of findings, conclusions and recommendations with the Grantee and FTA; • Provision of supporting reports and presentations to the FTA. In the performance of the above, the PMOCs are to accomplish, among other duties, the following: 1) Communications a) Develop and regularly maintain contact throughout a Grantee’s organization with key personnel in planning, design and construction departments as well as operations, operations planning, procurement, legal, budgeting and real estate. b) Develop and regularly maintain contact with FTA task order managers and work order managers at both headquarters and the region. c) Maintain a log of project contacts. d) Coordinate with other PMOCs covering the same Grantee. e) Remind the Grantee of its responsibility for the project; that PMOC oversight in no way relieves the Grantee of responsibility. f) Provide informal communication to the Grantee on the results of PMOCs’ reviews and analysis after approval from FTA. Provide draft reports to FTA and receive comments from FTA before providing copies to the Grantee. Discuss draft findings with the Grantee prior to finalizing reports. OP 1 Administrative Conditions and Requirements Revision 0, June 2008 Page 6 of 8
Page 1 and 2: CLIN# OP# FTA Oversight Procedures
Page 3 and 4: 5.0 GRANTEE SUBMITTALS NA 6.0 SCOPE
Page 5: 6.1.2 Task Orders FTA headquarters
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 33 and 34: 4.0 REFERENCES The following are th
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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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