Attachment_J-10_-_PMO_Operating_Procedures.pdf

OP 1 Administrative Conditions and Requirements September 2015

U.S. DOT Federal Transit Administration TPM-20 Office of Capital Project Management Project Management Oversight

Oversight Procedure 01 – Administrative Conditions and Requirements

1.0 PURPOSE

The purpose of this Oversight Procedure (OP) is to describe the administrative conditions and requirements associated with the performance of oversight by the Project Management Oversight Contractors (PMOC) for the Federal Transit Administration (FTA).

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 OPs are meant to instruct both FTA staff and its PMOCs, the PMOCs, in fact, perform most of the oversight. Therefore, the OPs refer to the reviewer as the PMOC.

3.0 OBJECTIVES

FTA requires project oversight that is proactive, includes investigation of issues and conditions, dialogue and problem solving with the project sponsor, 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

See Appendix A for 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 project sponsor’s project work and the oversight function.

5.0 PROJECT SPONSOR 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. A PMOC may be issued one or more task orders under its contract.

Contract Line Item Numbers (CLINs) are primarily used for administration and accounting. The contract includes the CLINs listed below:

CLIN 0001 – PROGRAM SUPPORT AND LESSONS LEARNED

CLIN 0002 – ON-SITE MONITORING AND REPORTING

CLIN 0003 – BASELINE OVERSIGHT

CLIN 0004 – OPTIONAL OVERSIGHT

CLIN 0005 – TRAVEL and OTHER DIRECT COST

CLIN 0001 PROGRAM SUPPORT AND LESSONS LEARNED

Program Support may be provided through the development of Regional Implementation Plans (RIP) or Programmatic Implementation Plans (PIP), Working Group participation, Conferences, Workshop attendance and speaking, meeting support, site visits, stakeholder interviews, and other non-project related activities.

Support for these activities comes in the form of Subject Matter Expertise to assist FTA in establishing and refining project management oversight standards. Listed below are some of the specific activities that could be carried out under this CLIN.

Supporting the creation, review, and update of standard operating procedures and OPs that define oversight requirements and processes Supporting the creation, review, and update of guidance documents (e.g. handbooks, lessons learned for performing project management oversight, frequently asked questions) that assist FTA staff and its contractors to implement project management oversight requirements and processes

CLIN 0002 ON-SITE MONITORING AND REPORTING

On-site monitoring and reporting is intrinsic solely to OP 25. This OP describes the review, analysis, and recommended procedures and reporting requirements that the Federal Transit Administration (FTA) expects from the Project Management Oversight Contractor (PMOC) regarding ongoing or recurring oversight of major capital transit projects prior to and upon receiving a Small Starts Grant Agreement (SSGA) or Full Funding Grant Agreement (FFGA). In addition, it is to describe the expected type and quality of reports of the PMOC’s findings, conclusions, and recommendations based on oversight activities.

CLIN 0003 CLIN 0003 – BASELINE OVERSIGHT

Project level professional oversight services consist of conducting project management activities for major capital projects in accordance with the respective Project Oversight Plan for the project and executed using either the RIP or the PIP. The Oversight Procedures to support the development and update of planning documents that define the type of oversight activities are provided in the table below.

These Oversight Procedures support FTA in establishing a risk-based Project Oversight Plan for each unique project that is customized to define the scope of activities, the deliverables due, funding needs, and the milestone dates.

Deliverables shall be periodic project status reports to summarize the performance of project sponsor planning and the delivery of major capital projects. Details shall include contractor activities, budget, risks, and outcomes associated with the professional oversight services.

Project management activities may consist of reviewing project sponsor documentation, investigating issues and conditions, engaging in dialogue and problem solving in coordination with the project sponsor, and providing FTA professional opinions and recommendations for action. FTA’s risk-based approach using the Risk Evaluation Tool and the Project Oversight Plan will tailor a specific level of effort for the completion of each project. Listed below are some of activities derived from these Oversight Procedures.

Evaluating the project sponsor’s Project Management Plan (PMP) and monitoring conformance with the approved PMP

Assessing the project sponsor’s technical capacity and capability to deliver the project Reviewing safety and security plans and related documents Reviewing real estate plans and estimates Assessing project sponsor quality assurance and quality control programs Evaluating value engineering activities Performing project scope reviews, including assessments of National Environmental Policy Act

(NEPA) compliance, transit capacity, and project delivery method Performing cost reviews to assess the consistency, soundness and reliability of estimates Performing schedule reviews and analyses Performing technical reviews of vehicle procurements and fleet management plans Conducting project risk and contingency reviews Assessing project readiness to advance to subsequent project phases (e.g. engineering, grant or loan agreement, construction, revenue service) Performing project-specific reviews to support FTA project evaluations and reporting Additional project-specific oversight reviews required by FTA

CLIN 0004 OPTIONAL OVERSIGHT

Optional Oversight consists of conducting project management activities for major capital projects in accordance with the respective Project Oversight Plan for the project and executed using the RIP or the PIP. The Oversight Procedures to support the development and update of planning documents that define the type of oversight activities are provided in the table below. These Oversight Procedures differ from those under CLIN 0003 from the perspective they are optional. They are not associated with milestone reviews and project metrics such as cost, scope, schedule and risk. Deliverables shall be specialized reports or reviews to isolate an activity for the delivery of the major capital project.

CLIN 0005 OTHER DIRECT COSTS

This CLIN is used to cover travel expenses and Other Direct Costs.

6.1.2 Roles and Responsibilities

The project sponsor is fully responsible for development and implementation of the capital transit project. The project sponsor is responsible for planning, design, and bidding the contract documents, supervising, administering, inspecting and accepting construction, and 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. As a steward of public funds, FTA provides oversight to ensure that FTA-funded transit projects are implemented responsibly – that scope, schedule and cost are in balance and the project design and construction conform to statutes, regulations, guidance, etc.

FTA performs oversight through its own staff and through its PMOCs to ensure the adequacy of the project sponsor’s management capability and capacity, assess the reasonableness of the scope, schedule and cost, and assess the likelihood the cost and schedule will hold through revenue service.

As part of oversight, FTA and the PMOCs identify problems, suggest solutions to the project sponsor, and report to FTA their findings, professional opinions, and recommendations.

Apart from oversight, FTA and the PMOCs occasionally provide technical assistance to project sponsors. Such assistance may include providing information and instruction in project management and project analysis practices, and sharing technical expertise in transit project design and construction. In the course of performing oversight, the PMOCs must bring to FTA’s attention the occasions when the project sponsor could benefit from technical assistance. The COR/ACOR will direct the PMOC through the Task Order Statement of Work to cover these occasions.

The FTA Office of Capital Project Management (TPM-20) within the Office of Program Management (TPM) in Washington, D.C. and the FTA Regional Offices (TROs) are responsible for providing project oversight starting prior to Engineering, and the Full Funding Grant Agreement (FFGA) or prior to the Small Starts Grant Agreement (SSGA), into construction, substantial completion, testing, start-up, and revenue service. As a general rule, recurring oversight (periodic and quarterly) is conducted by TROs; whereas, reviews for scope, schedule, cost, contingency and risk, etc. are usually initiated by TPM. TPM and TRO, along with the FTA Office of Procurement (TAD), administer the PMOC contracts and Task Orders.

The PMOCs’ primary FTA points of contact are the Contracting Officer (CO), Contract Specialist (CS) and the respective Contracting Officer’s Representative/Alternate Contracting Officer’s Representative (ACOR) for the Task Order. The primary staff person in the FTA Office of Procurement is the Contracting Officer (CO). The Contracting Officer’s Representative (COR) for the PMO program is part of TPM.

The PMOCs are responsible for rigorously, but non-intrusively, analyzing progress on projects;

positively and constructively interacting with the project sponsor to solve problems; and maintaining objectivity in discussions of findings, conclusions and recommendations with FTA and the project sponsor.

One of the most important reviews is the assessment of project sponsors’ management capacity and capability to successfully implement projects. Through a review of project sponsors’ organizations, personnel qualifications and experience, and the project sponsors’ stated approaches to the work and understanding of the work, PMOCs can assess the project sponsors ability to perform the work responsibly and keep projects on time, on budget, and in accordance with approved plans and specifications.

The PMOCs also review the planning, design, construction and operations of the project in the context of the existing transit system. The review covers all project components – guideway structures, stations, maintenance and storage facilities, sitework, power, signal and communications systems; fare collection; real estate; vehicle design and manufacturing – as well as overall project quality and capacity, safety, cost estimates, schedules, and assessments of risk.

After PMOCs are awarded contracts, they may be awarded task orders to perform oversight. Task orders will typically cover all projects by a particular project sponsor. “Programmatic” task orders issued from TPM can cover special studies and research, as well as technical reviews of project scope, schedule, cost, risk, and other tasks, as necessary.

The PMOCs’ main responsibilities include:

• Investigating project conditions and core documents; visiting project sites; reviewing pertinent documents; performing interviews; all in sufficient detail as to become familiar with the proposed 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, construction progress, methodology for resolving changes and claims, and conducting project closeout;

• Assessing project sponsors’ management capacity and capability to manage the projects, to meet goals related to design capacity, scope, schedule, budget, quality, and safety both during construction and in revenue service;

• Identifying problems and uncertainties in a timely manner;

• Making recommendations and proactively solving problems with the project sponsor and FTA staff;

• Providing professional opinions on the project sponsors’ work to the FTA;

• Discussing findings, conclusions and recommendations with the project sponsor and FTA;

• Providing supporting reports and presentations to the FTA;

• Engaging in other duties and responsibilities as requested by 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 project sponsor’s organization with key personnel in planning, design and construction departments as well as operations, operations planning, procurement, legal, budgeting and real estate; and avoid relying on only one source for information;

b) Develop and regularly maintain contact with FTA COR/ACORs at both Headquarters and the region;

c) Maintain a log of project contacts;

d) Coordinate with other PMOCs covering the same project sponsor;

e) Remind the project sponsor of its responsibility for the project; and that PMOC oversight or technical assistance in no way relieves the project sponsor of responsibility;

f) Provide informal communication to the project sponsor on the results of PMOCs’ reviews and analysis after approval from the COR/ACOR. Provide draft reports to the COR/ACOR and receive comments from COR/ACOR before providing copies to the project sponsor. Discuss draft findings with the project sponsor prior to finalizing reports.

2) Oversight assessments, recommendations, reporting

a) Identify sources of information to allow the FTA to directly question the project sponsor on the accuracy or completeness of their information. Present information without taking it out of context. Efficiently verify the information with trusted sources, before presenting it as fact. Describe PMOC assumptions used to form conclusions and the methods used to come to those conclusions. Support PMOC statements, observations, findings, conclusions and professional opinions with project information, appropriate analysis and interpretation of the project information by qualified PMOC personnel with relevant and appropriate project development, design and construction experience.

b) Based on a cost-effective mix of random and planned sampling and, in certain cases, sampling all of the information provided from the project sponsor, perform quantitative and qualitative checks on project sponsors’ project information.

c) Provide reports that are focused, clear, coherent, accurate, complete, objective and unbiased. Perform work in a cost-efficient manner.

d) Specifically cost-related

i) Regarding the project sponsors’ cost estimating methodologies, verify that current market conditions for bidding of construction contracts are taken into account;

provide professional estimators’ opinions as to whether project sponsors’ cost estimate information is complete, coordinated, and unbiased;

ii) Describe the context of key cost assumptions and decisions by involved parties such as the project sponsors, and their consultants and contractors; state reservations about costs in estimates or bids.

As PMOC products are delivered to the COR/ACOR, it is the responsibility of the FTA COR/ACOR to evaluate the deliverables against the criteria set forth in the respective OP as either Pass/Fail. The FTA COR/ACOR shall maintain a copy of the completed assessment of the PMOC’s deliverables for ongoing discussions with the PMOC and for future reference during the formal contractor’s performance evaluation period. Copies of the completed assessments shall be made available to the Headquarters’ COR/ACOR. PMOC performance is formally evaluated on an annual basis; however, in accordance with Section G of the Base Contract, the COR/ACOR will informally meet with the PMOC to discuss performance Quarterly. The evaluation system used is the Federal Government’s Contractor Performance Assessment Reporting System (CPARS) – a web-based system administered by the Department of the Navy located at http://www.cpars.gov. CPARS transmits the final evaluations to the Past Performance Information Retrieval System (PPIRS), a multi-federal agency repository of past performance assessments.

http://www.cpars.gov/

The PMOC shall specifically and promptly advise the CO that its Task Order budget with respect to obligated funds to date, not just the task order award amount, has been seventy-five percent (75%) exhausted in the performance of such Task Order; and shall state whether, in the opinion of the PMOC, the assigned responsibilities under the Task Order can be completed without exceeding the applicable budget.

6.1.3 Task Orders

To begin the Task Order process, FTA Headquarters or Regional staff considers a project sponsor and its current and foreseeable projects. As a general rule, Task Orders will be written for oversight of all projects by a particular project sponsor. However, when the projects are too many or too large for the capacity of one PMOC, the project sponsor’s work will be divided among two or more PMOCs.

The FTA COR/ACOR will develop a draft Statement of Work and a related Independent Government Estimate (IGE). After internal approval of these documents, FTA will issue the schedule and scope of work to PMOCs as a request for cost proposal through TAD. Within seven days of receipt (or as noted in the task order proposal request), the PMOCs should submit cost proposals for the scope of work for each year of the Task Order. The cost proposal should be supplemented as required with work and staffing plans.

In the interest of economy and efficiency, follow-up Task Orders will typically be issued to the PMOC holding the initial Task Order for oversight of a particular project sponsor’s projects. However, if the performance of the PMOC is unsatisfactory, or if introducing competition is deemed in the best interest of the government, FTA will follow the processes above for issuing a new Task Order under the Fair Opportunity Clause referenced in FAR Part 16.505.

Upon selection and award of the Task Order, the PMOC is required to submit a Task Order Implementation Plan, outlining the proposed approach to the overall task, identifying activities to be performed, and providing a schedule and cost breakdown for the activities. Monthly PMOC Status Reports are required to track estimated versus actual costs for each Task Order.

Activities performed under Task Orders will be authorized through the Task Order Implementation Plan. Some Statements of Work will be written broadly, for example, covering all recurring oversight activities on a project (such as monthly and quarterly meetings and supporting reports). Other Statements of Work will be very detailed, for example, covering specific reviews (such as project sponsor management capacity and capability, scope, schedule, cost, and risk). When services are performed, the PMOC should bill by OP per Task Order for labor hours and expenses.

In a single year, the funding for all Task Orders will not exceed the total amount available to FTA for major capital project oversight, as documented in the one-year program plan for the TPM-20 (Office of Major Capital Project Management). Therefore, while Task Order dollar amounts will cover one to five years of work, funding will be incrementally provided on a one-year basis.

7.0 REPORTING, PRESENTATIONS, RECONCILIATION

For most oversight activities, the PMOC is required to provide the COR/ACOR with a supporting written report of findings, analysis, recommendations, professional opinions, and a description of the review activities undertaken.

The sequence and distribution for all reports is as noted in Section 7.0 of OP 25.

Reports should be submitted via email. Unless specifically requested, no paper copies of reports should be submitted. In addition, the PMOC may be required to post reports to an FTA website (to be identified in future.)

The PMOC shall provide the COR/ACOR with a written report, that is formatted in compliance with OP1, of its findings, analysis, recommendations, professional opinions, and a description of the review activities undertaken. After the COR/ACOR has transmitted formal acceptance of the report, the PMOC should share the report with the Sponsor. In the event that differences of opinion exist between the PMOC and the Sponsor regarding the PMOC’s findings, the COR/ACOR may direct the PMOC to reconcile with the Sponsor and provide the COR/ACOR with a report addendum covering the agreed modifications by the Sponsor and PMOC.

7.1 Format for Reports

The PMOC should be concise and avoid repeating text. Instead, the PMOC should refer back to the original text. Provide current information and avoid long historical narratives or lists of events. Use bold or underline text for emphasis. Creatively portray information to aid understanding, e.g., photographs, tables, graphs, etc. Use Microsoft Word, Excel, and Microsoft Project. Typically, use Times Roman 12 point font. Refer to “PMOC” instead of “contractor” to distinguish from construction contractors. All reports should include the following.

1) Cover page (See Appendix G for sample cover page and required information.)

2) Executive Summary (three pages max) – simply written summary of the most important findings, professional opinions, conclusions, and recommendations. This section should include a one paragraph description of the project scope.

3) Table of Contents

4) Body of Report – By topic

a) Findings (include photos of site conditions to aid in understanding)

b) Analysis, professional opinions regarding status, recommendations for action with time frame for performing recommended actions

5) Appendix

a) Acronyms used

b) Supporting checklists, tables, spreadsheets, photos, etc.

c) PMOC team – list personnel, qualifications for performing the review

OP 01 Administrative Conditions and Requirements

Page A-1

Oversight Procedure 01 – Administrative Conditions and Requirements

APPENDIX CONTENTS

Appendix A References

Appendix B 2019 Supplemental Invoicing Worksheet Sample

Appendix C Sub-Contractor Costs Worksheet

Appendix D Monthly and Total Cost Data Per CLIN

Appendix E Oversight Procedure CLIN List

Appendix F Report Cover Page Sample

Page A-2

APPENDIX A

References

The following are the principal, but by no means the only, references to Federal legislation, codification, regulation and guidance with which the PMOC should have a good understanding as related to the project sponsor’s project work being reviewed under the Oversight Procedures (OPs):

Legislative

• Moving Ahead for Progress in the 21st Century Act, or MAP-21, Public Law 112-141, July 6, United States Code

• 49 U.S.C Section 5327, Project Management Oversight

• 49 U.S.C Section 5309, Fixed Guideway Capital Investment Grants

Regulations

• Project Management Oversight, 49 C.F.R. Part 633

• Major Capital Investment Projects, 49 C.F.R. Part 611

• Joint FTA/FHWA regulations, Metropolitan Planning, 23 C.F.R. Part 450

• Joint FTA/FHWA regulations, Environmental Impact and Related Procedures, 23

• C.F.R. Part 771

• U.S. DOT regulation, Uniform Relocation Assistance and Real Property Acquisition for

Federal and Federally Assisted Programs, 49 C.F.R. Part 24 FTA Circulars

• C 4220.1F (Previously C4220.1D) Third Party Contracting Requirements

• C 5010.1D (Previously C5010.1C) Grant Management Guidelines

• C 5200.1A (Previously C5200) Full Funding Grant Agreements Guidance

• C 5800.1 (Previously C6800.1) Safety and Security Management Plan

Guidance

• FTA Master Agreement, FTA MA o http://www.fta.dot.gov/documents/17-Master.pdf

• Project and Construction Management Guidelines, 2011 Update o http://www.fta.dot.gov/images/content_images/FTA_Project_and_CM_Guidelines_- _July_2011_Update_12-01-26.pdf

• Guidance for Transit Financial Plans, June 2000 o http://www.fta.dot.gov/images/gftfp.pdf

• New Starts o http://www.fta.dot.gov/planning/newstarts/planning_environment_218.html o http://www.fta.dot.gov/planning/newstarts/planning_environment_213.html

• Construction Project Management Handbook, March 2012 o http://www.fta.dot.gov/documents/FTA_Report_No._0015.pdf

• Best Practices Procurement Manual, FTA, 2001 o http://www.fta.dot.gov/documents/BPPM_fulltext.pdf http://www.fta.dot.gov/documents/17-Master http://www.fta.dot.gov/ http://www.fta.dot.gov/images/gftfp.pdf http://www.fta.dot.gov/planning/newstarts/planning_environment_218.html http://www.fta.dot.gov/planning/newstarts/planning_environment_213.html http://www.fta.dot.gov/documents/FTA_Report_No._0015.pdf http://www.fta.dot.gov/documents/BPPM_fulltext.pdf

APPENDIX B

2019 Supplemental Invoicing Worksheet Sample

APPENDIX C

Sub-Contractor Costs Worksheet

SubContractor:

Date: 8-Aug-2008 Task Order: 0001

Scope of Work:

G&A 8.00%

Overhead 137.06% Fixed Fee 9.50%

PERSONNEL

H O

U R

S

H O

U R

L Y

R

A T

E

L A

B O

R

G

A

SU

B

O

V E

R H

E A

D

T O

T A

L w ith

Fi xe d Fe e

Terrapin Engineering, Inc. 24.0 $ 86.35 $ 2,072.40 $ 165.79 $ 2,840.43 $ 5,078.62

Sub Labor 24.0 $ 86.35 $ 2,072.40 $ 165.79 $ 2,840.43 $ 5,078.62

Total Other Direct Expenses $ 5,687.77

Total Billed This Period $ 10,766.39

CLIN Number and Name

CLIN 0003 – BASELINE OVERSIGHT

OP36

Buy America

SUBCONTRACTOR COST BREAKDOWN

NOTE: This format can be used for Task Order Cost Proposals, Invoices, and Independent Government Cost Estimates.

Terrapin Engineering, Inc.

Applies to PMOC labor only. Does not apply to PMOC Overhead or Fixed Fee, Subcontractor costs, or Expenses.

PRIME OVERHEAD RATE

Applies to PMOC labor, PMOC Overhead, and G & A only.

CLIN 0005 – TRAVEL and OTHER

DIRECT COST

Other Direct Costs

Travel Expenses and Other Direct Costs

Subcontractor Printing, Phone Charges $ 5,687.77

APPENDIX D

Monthly and Total Cost Data Per CLIN

COST BREAKDOWN BY CLIN

Contractor:

Invoice No.

Invoice Date:

Billing Period: FROM: TO:

CLIN CLIN Description Task Order

Dollars Billed Previously

Task Order Hours Billed Previously

Task Order Dollars

Billed This Period

Task Order Hours

Billed This Period

Task Order Dollars Billed

To Date

Task Order Hours Billed

To Date

TOTAL $ - 0.00 $ - 0.00 $ - 0.00

1 PROGRAM SUPPORT AND LESSONS LEARNED $ - 0.00 $ - 0.00 $ - 0.00

2 ON-SITE MONITORING AND REPORTING $ - 0.00 $ - 0.00 $ - 0.00

3 BASELINE OVERSIGHT $ - 0.00 $ - 0.00 $ - 0.00

4 OPTIONAL OVERSIGHT $ - 0.00 $ - 0.00 $ - 0.00

5 TRAVEL and OTHER DIRECT COST $ - N/A $ - N/A $ - N/A

Page F-1

APPENDIX E

Oversight Procedure CLIN List

CLIN 0001 - PROGRAM SUPPORT AND LESSONS LEARNED

ve rs ig ht P ro ce du re

OP1 Administrative Conditions & Requirements

C on tr ac tu al ly A dm in is te re d y:

TPM - HQ

OP2

Regional and Programmatic

Implementation Plans, Transition Plans, and PMOC Status Reports

TPM - HQ

OP3 Technical Assistance and Special Tasks TPM, TRO

OP26 Lessons Learned TPM, TRO

CLIN 0002 - ON-SITE MONITORING AND REPORTING

Oversight Procedure OP25 Recurring Oversight and Related

Reports

Contractually Administered

By:

TPM, TRO

CLIN 0003 - BASELINE OVERSIGHT

ve rs ig ht P ro ce du re

OP20 Project Management Plan Review

C on tr ac tu al ly A dm in is te re d

TPM - HQ

OP21 Review of Grantee's Technical Capacity and Capability TPM - HQ

OP22 Safety and Security Management Plan Review TPM - HQ

OP23 Real Estate Review TPM - HQ

OP24 Quality Assurance/Quality Control Review TPM - HQ

OP30 Value Engineering Review TPM - HQ

OP32A, B, C,

D Project Scope Reviews TPM - HQ

Page F-1

OP33 Capital Cost Estimate Review TPM - HQ

OP34 Project Schedule Review TPM - HQ

OP35 American with Disabilities Act Review TPM - HQ

OP36 Buy America Review TPM - HQ

OP37 Fleet Management Plan Review TPM - HQ

OP39

Review of Third-Party

Agreements for Major Capital Projects

TPM - HQ

OP40B, C Risk and Contingency Review TPM - HQ

OP51 Readiness Reviews TPM - HQ

OP52 Readiness to Execute FFGA TPM - HQ

OP54 Readiness for Revenue Operations TPM - HQ

CLIN 0004 - OPTIONAL OVERSIGHT

ve rs ig ht P ro ce du re

OP27 Before and After Study Review

C on tr ac tu al ly A dm in is te re d

TPM, TRO

OP31 Annual New Starts Review TPM - HQ

OP38 Rail and Bus Vehicle Technical Review TPM - HQ

OP53 Readiness Review TPM, TRO

OP56 Before and After Study Review TPM, TRO

CLIN 0005 - TRAVEL AND OTHER DIRECT COSTS

Page G-1

APPENDIX F

Report Cover Page Sample

CAPITAL COST ESTIMATE REVIEW

Great City Light Rail Subway Project Great City Transportation Authority

Region or City, State

May 1, 2008 May 22, 2008, Rev. 1

PMOC Contract Number: DTFT - -_- Task Order Number: , Project Number: , OPs Referenced:

PMOC firm name, address PMOC lead person’s name and affiliation if different from PMOC firm, phone, email Length of time PMOC firm and person have been assigned to this project

OP 02 PMOC Implementation, Transition Plans, and Monthly Task Order Cost Status Reporting

Oversight Procedure 02 – PMOC Implementation / Transition Plans and Monthly Task Order Cost Status Report

The purpose of this Oversight Procedure (OP) is to describe the review, analysis and recommended procedures and reporting the Federal Transit Administration (FTA) expects from the Project Management Oversight Contractor (PMOC) with respect to two types of administrative tasks:

Implementation / Transition Plans and Monthly Task Order Cost Status Reports.

2.1 PMOC Implementation and Transition Plans

FTA requires PMOCs to develop implementation plans to ensure adequate and comprehensive oversight work by PMOCs. FTA requires PMOCs to develop transition plans to ensure continuity in the performance of oversight.

2.2 Monthly Task Order Cost Status Reports

FTA requires PMOCs to manage the activities and related costs and hours spent during oversight, and to report on projected and actual time and cost expenditures. Such reporting allows FTA to monitor oversight efforts by Task Order for a specific PMOC. When PMOC reports are aggregated, FTA can monitor its entire oversight program.

3.1 Implementation and Transition Plans

An Implementation Plan should demonstrate the PMOC’s comprehensive, organized and well considered proposal to accomplish the assigned scope of work in a manner, quality and quantity that meets FTA’s requirements. A Transition Plan should relay, to an incoming PMOC from an outgoing PMOC, the essential project facts needed to effectively assume oversight activities with minimum disruption to the project sponsor.

3.2 Monthly Task Order Cost Status Reports

PMOC Monthly Reports serve to update FTA on the PMOC’s oversight activities associated with one Task Order.

• OP 01 – Administrative Conditions and Requirements

• OP 25 – Recurring Oversight and Related Reports

5.0 PROJECT SPONSOR’S SUBMITTALS – N/A

6.1 PMOC Implementation Plan / Transition Plan

6.1.1 Implementation Plan

After FTA awards a Task Order, the PMOC responds to the assigned scope of work and schedule and develops an Implementation Plan. This plan, the PMOC’s recommended course of oversight action, is submitted to the respective COR/ACOR for the Task Order for review, comment and approval.

An Implementation Plan should demonstrate the PMOC’s understanding of FTA’s core requirements for the project with respect to oversight, as well as the scope and nature of the oversight work to be performed. It should define the manner, quantity and quality of the PMOC’s intended services, products, deliverables, etc.

It should also demonstrate the PMOC’s readiness to perform such oversight activities in a manner that meets FTA’s requirements. The Implementation Plan shall be provided to the COR/ACOR in accordance with Section H of the PMOC’s Base Contract. It should include an integrated schedule for the work (services and deliverables) and a plan to report progress against the schedule.

After approval by the COR/ACOR, PMOC services, products and outcomes should be performed in conformance with the Implementation Plan.

In the case of a transition, FTA, in its sole discretion, may require the outgoing PMOC to update and revise its existing Implementation Plan to better coordinate with and orient the incoming PMOC and minimize the loss of knowledge when the incoming PMOC assumes oversight duties.

6.1.2 Transition Plan

When changes occur in PMOC assignments at the Task Order level, FTA shall require the outgoing PMOC to develop a transition “report” and the incoming PMOC to develop a transition “plan.”

Changes in assignments may be due to the development of a conflict of interest or FTA’s determination that it is in its best interest to replace or supplement a PMOC. Transition reports and plans may be required for assignments if the work is particularly complex or for other reasons indicated by FTA.

Upon notice from the COR/ACOR of an incoming PMOC to replace or supplement an existing PMOC, the COR/ACOR shall direct the PMOC in a timely fashion, address the project sponsor’s concerns, and set up a transition schedule that fits well with previously arranged meetings to the extent possible.

The COR/ACOR shall also establish a transition dialogue between the incoming and outgoing PMOC and set forth the priorities for both PMOCs. The COR/ACOR’s overall objectives are to minimize disruption to the project sponsor, facilitate teamwork between the PMOCs, and ensure transition steps are accomplished.

For example, arranging for the incoming PMOC to be introduced to FTA, the outgoing PMOC, and the project sponsor’s staff and consultant team; giving the incoming PMOC a project tour and familiarizing the PMOC with project documents and FTA administrative matters such as invoicing and performance evaluations; arranging for the outgoing PMOC to orient the incoming PMOC to the project, its characteristics, major project issues, baseline project information, and FTA’s expectations.

FTA’s Office of Program Management will seek to achieve transition periods of at least two months in length. During the transition, the outgoing and incoming PMOCs will be expected to collaborate and effectuate a smooth transition.

The incoming PMOC shall perform services as follows:

1) Develop a transition “plan.” Coordinate and integrate incoming PMOC services and work products with the current PMOC to identify transition elements, develop schedule and milestones.

2) Establish key contacts among the personnel of the incoming and outgoing PMOCs, FTA Region and Headquarters, and the project sponsor.

3) Develop a list of documents needed for the transition period as applicable, including but not limited to the following:

a) The latest baseline documents (Project Development, Engineering, or FFGA) and all amendments, application materials, Letters of No Prejudice, etc.

b) Relevant project sponsor management plans such as Project Management Plan, QA/QC Plan, Fleet Management Plan(s), etc.

c) Lessons Learned Reports, Monitoring Reports, Quarterly Progress Review Meeting Reports, Final Closeout Monitoring Report

d) Project related design and construction documents, construction contract agreement, general and special provisions, technical specifications, baseline and updates of project cost and schedule

e) Other documents recommended by FTA and outgoing PMOC

f) List of project contact information for contractor, consultants, and project sponsor’s representatives associated with the project

4) Be adequately prepared for the initial monthly or quarterly meeting, interviews, site tours, conference calls, follow-up meetings, etc. by:

a) Conducting sufficient pre-meetings between FTA and outgoing PMOC.

b) Providing sufficient and appropriate personnel at meetings, interviews or tours.

c) Being prepared and knowledgeable of the content in materials prepared by the project sponsor, PMOC, and FTA on major issues. Be aware of sensitive issues.

d) Listening carefully, particularly to key issues/potential impacts to project progress.

e) Promoting a “partnership” relationship and minimizing project sponsor impacts.

f) Making every effort to understand the project conditions including taking project photos during tour.

5) Act in a manner consistent with FTA’s direction on priorities and expectations.

a) Conduct an adequate number of site visits, meetings, or project sponsor personnel interviews to be cost effective.

b) Do not discuss the outgoing PMOC’s products or services with the project sponsor.

c) Provide an adequate amount of useful inputs to the outgoing PMOC on the incoming PMOC transition activities during that period of performance when the outgoing PMOC has responsibility for project monitoring.

d) Achieve a sufficient level of knowledge about the outgoing PMOC’s oversight activities.

Maintain traceability of information or assessments developed by the outgoing PMOC until and unless otherwise directed by the COR/ACOR.

6) Complete familiarization with the project sponsor’s project, reports and information and achieve readiness to assume oversight responsibilities.

The outgoing PMOC’s responsibilities include but are not limited to:

1) Develop a transition “report” to relay to the incoming PMOC the essential project facts needed to effectively assume oversight activities with minimum disruption to the project sponsor.

2) Subject to FTA’s Contracting Officer’s request, prepare a “close-out” Task Order proposal according to FTA’s instructions that includes “close-out” schedules and deliverables including a final report and lessons learned, as well as transfer documents and information to the incoming PMOC and other transition elements identified above. If necessary or requested by FTA, update the Task Order Level Implementation Plan to reflect “close-out” activities.

3) Orient the incoming PMOC; facilitate introductions to the project sponsor. Provide requested documents and, if necessary, assist the incoming PMOC in locating and securing the information. Additionally, provide the incoming PMOC with any other documents that might be pertinent to understanding the condition and status of the project sponsor and the project.

Conduct project site tours with the project sponsor and incoming PMOC.

4) Coordinate and integrate the services and work products of the incoming PMOC with your own.

a) Identify transition elements, develop a schedule and milestones.

b) Incorporate the incoming PMOC’s input into the monitoring reports.

c) Maintain traceability until otherwise directed by the COR/ACOR of information or assessments developed by the incoming PMOC.

d) Evaluate input and work products of the incoming PMOC.

e) Provide sufficient and appropriate personnel to participate in conference calls and meetings during the transition.

5) Assess the incoming PMOC’s readiness to assume oversight responsibilities

6.1.3 Schedule for Implementation and Transition Plans

Unless otherwise indicated, Implementation and Transition plans and reports shall be delivered in accordance with the following timeline.

1) Implementation Plans and Transition Plans (incoming PMOC)

Calendar Days after Request by FTA

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

2) Transition Reports 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) Evaluation of Incoming PMOC work 15 after 1st product

e) Final participation in meetings, conference calls 60

6.2 Monthly Task Order Cost Status Reports

The PMOC shall submit Monthly Task Order Cost Status Reports which set forth monthly and cumulative: (1) direct labor hours by categories as set forth in the Task Order, including subcontract hours; and (2) elements of cost by direct loaded dollars, subcontracts, and other direct costs, etc. that have been incurred and/or committed. The Monthly Task Order Cost Status Reports shall be provided by the 15th of each month. Proprietary rate information should not be discussed in the status reports.

The costs that have been committed, but are unpaid to date, will be noted in the status reports.

Where the burn rate and cumulative amounts on the monthly reports differ from those anticipated at Task Order award, the Contractor shall provide a reconciliation of the difference, and a plan for future expenditure rates, as part of the monthly report.

The Monthly Task Order Cost Status Reports will assist in FTA’s efforts to improve the accountability and effectiveness of its oversight program on major capital transit projects. PMOCs are required to use management procedures in the performance of contracts and Task Orders that provide for the following:

• Planning and control of costs and schedules

• Measurement of performance (value for completed tasks and major subtasks)

• Generation of timely and reliable information to be reported

Upon receipt of the Monthly Task Order Cost Status Reports, FTA can monitor the status of the oversight, verify the reasonableness of the PMOCs’ invoices considering performance, verify reported costs and expenses accrued during reporting periods, and estimate costs to be accrued during subsequent reporting periods.

Management accountability is the expectation that managers are responsible for the quality and timeliness of program performance, increasing productivity, controlling costs and mitigating adverse aspects of agency operations, and assuring that programs are managed with integrity and in compliance with applicable law.

Management controls are the organization, policies, and procedures used to reasonably ensure that (1) programs achieve their intended results; (2) resources are used consistent with agency mission; (3) programs and resources are protected from waste, fraud, and mismanagement; (4) laws and regulations are followed; and (5) reliable and timely information is obtained, maintained, reported and used for decision making.

The Monthly Task Order Cost Status Reports typically incorporate Task Order level information. Monthly Task Order Cost Status Reports are for FTA staff use only.

7.0 REPORTS, PRESENTATION, RECONCILIATION

The PMOC shall provide the COR/ACOR with a written report, that is formatted in compliance with OP1, of its findings, analysis, recommendations, professional opinions, and a description of the review activities undertaken. After the COR/ACOR has transmitted formal acceptance of the report, the PMOC should share the report with the Sponsor. In the event that differences of opinion exist between the PMOC and the Sponsor regarding the PMOC’s findings, the COR/ACOR may direct the PMOC to reconcile with the Sponsor and provide the COR/ACOR with a report addendum covering the agreed modifications by the Sponsor and

PMOC.

When directed by the COR/ACOR, the PMOC shall perform data analysis and develop data models that meet FTA requirements using Microsoft Office products such as Excel and Word and use FTA-templates when provided. Upon approval by the COR/ACOR, the PMOC may add other software as required but the documentation and report data shall be made submitted to the COR/ACOR when complete.

7.1 Implementation Plan - Body of Report

1) Description of the PMOC scope of work and period of performance (one page)

2) Table of proposed work program elements including tasks, schedule, staffing, labor hours for staff and subcontractors, hourly rates, expenses, and total cost. The total cost should be consistent with the Task Order and reflect the requirements of the OPs. Using Microsoft Project, show this information in a schedule of project phases, years, months, milestones, etc.

3) Description of Approaches and Procedures

a) PMOC organization and approach to communications with FTA on project progress, events, etc.

i) Include organizational charts for FTA, project sponsor, and PMOC personnel to illustrate lines of communication

ii) Identify staff and subcontractors. Include resumes, describe capabilities

iii) Describe the approach to provide proactive oversight, technical assistance and professional opinions

iv) Indicate the frequency of communications with FTA and project sponsor and how this work will be coordinated and reported, both formally and informally. An example of a statement follows: “The PMOC’s written communication documents will be submitted to FTA’s assigned COR/ACOR who will distribute the documents within FTA as appropriate, collect FTA comments, request the PMOC to make modifications to the documents, and authorize distribution of the documents to the project sponsor. Informal verbal communication will occur directly between the PMOC and the project sponsor staff, at various levels;

however, the FTA COR/ACOR will be made aware of the general nature of and any material specifics developed during these communications.”

b) Cost Tracking, Invoicing, Financial Administration and Cost Control

i) Identify the contract type and terms for all the tasks in the Task Order and identify relevant compensation sub-limits or fixed price work;

ii) Describe employees’ record daily project time charges and how the charges are accumulated into the corporate accounting system, and the periodicity (e.g., weekly);

iii) State how the PMOC intends to comply with FTA’s billing instructions;

iv) Provide a description how invoices are generated and the periodicity (e.g., monthly);

v) Identify when the PMOC accounting period closes (e.g., on the last Friday of the month);

vi) Describe the recordation process of Subcontractor invoices (e.g., monthly in the corporate accounting system).

c) 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.

7.2 Monthly Task Order Cost Status Report at Task Order Level - Body of Report

Unless otherwise directed by the COR/ACOR, Monthly Task Order Cost Status Reports should cover only one Task Order and include the following:

1) Introduction

a) Period covered (one month)

b) Percent expended of authorized/obligated amount (dollars and hours) on Task Order

75% expenditure level occurred on X date or is anticipated on X date

c) Time remaining until end date of Task Order

2) List

a) Major completed PMOC tasks

b) Significant issues encountered in project or by PMOC

c) Significant events in the next 90 days

3) Brief narrative

a) Describing reasons for variances between planned and actuals for PMOC hours and costs

b) Describe benefits the assigned PMOC team has brought to the major capital project. Approach this description of benefits from a “lessons learned” or lessons to be shared point of view.

4) Costs and Labor Hours – See Appendix B for sample tables and graphs. Cost and hours utilization information is to be consistent with the monthly invoices.

a) In a table, record Task Order planned per month, planned to date, actual per month, and actual to date for cost and hours.

b) In one graph show Task Order cost utilization for planned and actuals to date for the PMOC/sub-consultants, as well as for Small Business Enterprise (SBE) and Disadvantage Business Enterprise (DBE)/ Women Business Enterprise (WBE). In another graph similarly show Task Order hours utilization.

7.3 Monthly Task Order Cost Status Reporting at Contract Level – Body of Report

This report is to be provided at the direction of the COR/ACOR. Provide a contract level progress, status, and management report that consolidates information for all Task Orders issued under the contract. This report shall include the following information:

1) Listing of all active Task Orders

2) Listing of all inactive Task Orders and date of closure and final total cost

3) Percentage of contract expenditures for SBE, DBE and WBE

4) Cost summaries for each Task Orders including:

a) Planned costs for full period of performance

b) Actual costs to date

c) Ratio of expenditures for prime contractor to subcontractors

d) Estimate of cost to complete

e) Notation of Task Orders with overruns over 10% with explanation

f) Notation of Task Orders with significant issues and/or problems.

OP 02 PMOC Implementation, Transition Plans, and Monthly Task Order Cost Status Reporting

APPENDIX B

Implementation Plan Elements / Monthly Task Order Cost Status Reporting Tables

Task Order Key Parameters Table

PMOC Name, Task Order No. , Grantee Name and Location, Project Name

TASK ORDER COST AND HOURS UTILIZATION**

COST HOURS

Y ea r O ne

MONTH

-YEAR

Planned per Month

Planned to Date

Actual per

Month

Actual To Date

MONTH

-YEAR

Planne d per

Month

Planne d to Date

Actua l per Mont h

Actua l To Date

Aug-15 $83,333 $80,000 $84,221 $81,437 Aug-15 337.25 16 337 14 Sep-15 $83,333 $79,800 $87,488 $88,021 Sep-15 337.25 16 321 16 Oct-15 $83,333 $72,345 $67,239 $65,328 Oct-15 337.25 16 358 20 Nov-15 $83,333 $85,899 $85,458 $87,330 Nov-15 337.25 16 345 21 Dec-15 $83,333 $88,933 $87,964 $92,002 Dec-15 337.25 16 323 16 Jan-15 $83,333 $80,238 $88,953 $88,554 Jan-15 337.25 16 319 18 Feb-15 $83,333 $87,333 $86,232 $86,998 Feb-15 337.25 16 321 17 Mar-15 $83,333 $86,234 $87,117 $85,889 Mar-15 337.25 16 336 19 Apr-15 $83,333 $80,216 $80,111 $80,553 Apr-15 337.25 16 336 23 May-15 $83,333 $79,440 $82,980 $76,557 May-15 337.25 16 340 21 Jun-15 $83,333 $81,225 Jun-15 337.25 16