Attachment J-10 - Combined 2024 Final OPs - Final.pdf

RFP Number 69319524R000001

Attachment J-10 Oversight Procedures

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

OP 01 Administrative Conditions and Requirements October 2023

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 (PMOCs) for the Federal Transit Administration (FTA).

While this OP focuses on Capital Investment Grant (CIG) projects, which have specific requirements by law, it also applies to all capital projects. FTA will issue Implementation Plans (IPs) to clarify the specific reviews and expected deliverables based on the project types.

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 and efficiently;

• In conformance with applicable statutes, regulations, and guidance; and

• Developed with 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 and includes investigation of issues and conditions, dialogue, and problem solving with the project sponsor. Oversight should also include the provision of professional opinions and recommendations for action. Reports that support the oversight activities should be concise and provide FTA with critical input to its decision making on project advancement and funding.

4.0 REFERENCES

The PMOC shall become familiar with the references to Federal legislation, regulation, and guidance in Appendix A before reviewing the project sponsor’s work. These are the principal references, but this list is not exhaustive.

Project Management Oversight

OP 01 Administrative Conditions and Requirements October 2023

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 (RFP) for Project Management Oversight (PMO) services for its major capital projects. A group of firms is selected for award of Indefinite Delivery/Indefinite Quantity (IDIQ) contracts for oversight services, over a period of five years, for a not-to-exceed (NTE) 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 their 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 COSTS

6.1.1.1 OVERSIGHT PROCEDURE BY CLIN LIST

CLIN 0001 - PROGRAM SUPPORT AND LESSONS LEARNED

OP 02 PMOC Implementation/Transition Plans and PMOC Status Reports

OP 26 Lessons Learned

CLIN 0002 - ON-SITE MONITORING AND REPORTING

OP 03 Special Tasks

OP 20 Project Management Plan Review

OP 21 Management Capacity and Capability Review

OP 22 Safety and Security Management Plan Review

OP 23 Real Estate Acquisition and Management Plan Review

OP 24 Quality Assurance/Quality Control Review

OP 25 Recurring Oversight and Related Reports

OP 30 Value Engineering and/or Constructability Review

OP 31 Annual New Starts Review

OP 32A Project Transit Capacity Review

OP 01 Administrative Conditions and Requirements October 2023

CLIN 0002 - ON-SITE MONITORING AND REPORTING

OP 32B NEPA and Design Document Comparison

OP 32C Project Scope Review

OP 32D Project Delivery Method Review

OP 33 Capital Cost Estimate Review

OP 34 Project Schedule Review

OP 36 Buy America Compliance Review

OP 37 Fleet Management Plan Review

OP 39 Review of Third-Party Agreements for Major Capital Projects

OP 40 Risk and Contingency Review

OP 51 Readiness to Enter Engineering

OP 52 Readiness to Execute FFGA/SSGA

OP 53 Readiness to Procure Construction Work

OP 54 Readiness for Service

CLIN 0003 - BASELINE OVERSIGHT

OP 03 Special Tasks

OP 20 Project Management Plan Review

OP 21 Management Capacity and Capability Review

OP 22 Safety and Security Management Plan Review

OP 23 Real Estate Acquisition and Management Plan Review

OP 24 Quality Assurance/Quality Control Review

OP 25 Recurring Oversight and Related Reports

OP 30 Value Engineering and/or Constructability Review

OP 31 Annual New Starts Review

OP 32A Project Transit Capacity Review

OP 32B NEPA and Design Document Comparison

OP 32C Project Scope Review

OP 32D Project Delivery Method Review

OP 33 Capital Cost Estimate Review

OP 34 Project Schedule Review

OP 01 Administrative Conditions and Requirements October 2023

CLIN 0003 - BASELINE OVERSIGHT

OP 36 Buy America Compliance Review

OP 37 Fleet Management Plan Review

OP 39 Review of Third-Party Agreements for Major Capital Projects

OP 40 Risk and Contingency Review

OP 51 Readiness to Enter Engineering

OP 52 Readiness to Execute FFGA/SSGA

OP 53 Readiness to Procure Construction Work

OP 54 Readiness for Service

CLIN 0004 - OPTIONAL OVERSIGHT

OP 35 ADA Review (Level Boarding and Between-Car Barriers for Commuter Rail)

OP 38 Bus and Rail Vehicle Technical Review

CLIN 0005 – TRAVEL AND OTHER DIRECT COSTS

CLIN 0001 – PROGRAM SUPPORT AND LESSONS LEARNED

Program support may be provided through the development of Implementation Plans (IPs), 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 PMO 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 (SOPs) and OPs that define oversight requirements and processes; and

• Supporting the creation, review, and update of guidance documents (for example, handbooks, lessons learned for performing PMO, frequently asked questions) that assist FTA staff and its contractors to implement PMO requirements and processes.

CLIN 0002 – ON-SITE MONITORING AND REPORTING

OP 25 describes the review, analysis, and recommended procedures and reporting requirements that FTA expects from the 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, OP 25 describes the expected type and quality

OP 01 Administrative Conditions and Requirements October 2023 of reports of the PMOC’s findings, conclusions, and recommendations based on oversight activities.

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 (POP) for the project, executed using an IP. These OPs support FTA in establishing a risk-based POP that is customized to define the scope of activities, deliverables due, funding needs, and milestone dates for each unique project.

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 with professional opinions and recommendations for action.

FTA’s risk-based approach using the Risk Evaluation Tool (RET) and the POP will tailor a specific level of effort for the completion of each project. Listed below are some of the activities derived from these OPs:

• 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 the project sponsor’s Quality Assurance/Quality Control (QA/QC) programs;

• Evaluating value engineering activities;

• Performing project scope reviews, including assessments of the 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 (for example, engineering, grant or loan agreement, construction, revenue service);

• Performing project-specific reviews to support FTA project evaluations and reporting;

and

• Additional project-specific oversight reviews required by FTA.

OP 01 Administrative Conditions and Requirements October 2023

CLIN 0004 – OPTIONAL OVERSIGHT

Optional oversight consists of conducting project management activities for major capital projects in accordance with the respective POP for the project, executed using the IP. OPs to support the development and update of planning documents that define the type of oversight activities are provided in Table 6.1. These OPs differ from those under CLIN 0003 in that 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.

Optional oversight activities may consist of reviewing project sponsor documentation during phase gates of the project lifecycle. In addition, these reviews ensure the project sponsor has demonstrated the capability and capacity to move forward. FTA’s risk-based approach using the RET and POP will tailor a specific level of effort for the completion of each project. Listed below are some of the activities derived from these optional OPs:

• Performing project-specific reviews to support FTA project evaluations and reporting;

and

• Additional project-specific oversight reviews required by FTA.

CLIN 0005 – TRAVEL and OTHER DIRECT COSTS

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

6.1.2 Roles and Responsibilities

The project sponsor is fully responsible for the development and implementation of the capital transit project, including:

• Planning, design, and bidding the contract documents;

• Supervising, administering, inspecting, and accepting construction; and

• Performing testing and startup.

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 that 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 (MCC), assess the reasonableness of the scope, schedule and cost, and assess the likelihood that 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. While performing oversight, the PMOCs must bring to FTA’s attention

OP 01 Administrative Conditions and Requirements October 2023 the occasions when the project sponsor could benefit from technical assistance. FTA will issue direction to the PMOC through the Task Order scope 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 prior to Engineering, and the FFGA or prior to the SSGA, into construction, substantial completion, testing, startup, and revenue service. Generally, recurring oversight (periodic and quarterly) is conducted by TROs, whereas reviews for scope, schedule, cost, contingency, and risk, etc., are usually initiated by TPM. The TPM, TRO and FTA Office of Procurement help administer PMOC contracts and Task Orders.

The PMOCs’ primary FTA points of contact are FTA’s Contracting Officer’s Representative /Alternate Contracting Officer’s Representatives (COR/ACOR) from TRO or TPM. The primary staff person in the FTA Office of Acquisitions is the Contracting Officer (CO). The COR for the PMO program is part of TPM. The ACOR assumes the duties of the COR in their absence.

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 the project sponsor’s MCC to successfully implement projects. Through a review of the project sponsor’s organizations, personnel qualifications, and experience, and the project sponsor’s stated approaches to the work and understanding of the work, PMOCs can assess their 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, site work, 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 base 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 tasks and technical assistance on non-project efforts 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; and 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’ 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;

OP 01 Administrative Conditions and Requirements October 2023

• 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 FTA;

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

FTA;

• Providing supporting reports and presentations to FTA; and

• 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:

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 CORs/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 their 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 analyses after approval from FTA. Provide draft reports to FTA and receive comments from FTA before providing copies to the project sponsor. Discuss draft findings with the project sponsor prior to finalizing reports.

Oversight assessments, recommendations, and reporting

a) Identify sources of information to allow 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 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

OP 01 Administrative Conditions and Requirements October 2023

i) Regarding the project sponsors’ cost-estimating methodologies, verify that current market conditions for bidding of construction contracts are considered; provide professional estimators’ opinions to help determine that 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.

The PMOC shall notify the CO whenever they have reason to believe that the costs they expect to incur within the next 60 days, when added to all costs previously incurred, will exceed 75 percent of the total amount so far allotted (obligated funding) to the Task Order.

6.1.3 QUALITY ASSURANCE SURVEILLANCE PLAN

The contractor shall establish and implement a Quality Assurance (QA) program. The contractor shall provide a Quality Assurance Surveillance Plan (QASP) as part of their proposal. The QASP shall be approved by the COR. Once approved, the QASP shall be implemented at Contract Award and shall be continued throughout the period of performance of the contract.

The plan shall consist of sequential inspection and progressive Quality Control (QC) throughout the lifecycle of the contract. The QASP shall detail methods for documenting defects, providing for timely correction of deficiencies, identifying deficient areas, and recommending solutions to systemic problems.

The QASP shall ensure that the quality of items presented to the Government meets the requirements of the specifications, whether processed by the contractor, or procured from subcontractors or vendors. The plan shall be totally integrated into all areas of the contractor’s development and operation, both technical and administrative, including project oversight and non-project related activities. If during the period of performance of the base contract, modifications to the QASP are proposed for any reason, the contractor shall submit the changes to the Government for approval. The submission schedule shall allow 10 working days for the Government review and provide comments prior to implementation.

The personnel assigned to the development, administration, and daily functions of the QASP shall be fully trained in their areas of responsibility, which may include instruction and procedure development; product quality monitoring; inspection techniques; and inspection data management and analysis. The personnel assigned to QA functions shall have sufficient, well-defined responsibilities, the independent authority and organizational freedom to identify and evaluate quality problems, and to initiate and recommend timely and positive solutions. Timely notice shall be given to the Government of personnel changes that affect the overall and internal reporting requirements of either the QA organization or its assigned personnel.

Documentation demonstrating that the contractor has accomplished QA inspection shall be maintained and be made available to the Government prior to presentation for preliminary acceptance. The inspection documentation shall clearly describe the type of inspection to be accomplished with acceptance or rejection criteria. The documentation shall list the quantity and type of deficiencies found and the nature of the corrective action taken.

OP 01 Administrative Conditions and Requirements October 2023

The establishment and implementation of a QASP by a subcontractor or vendor does not relieve the contractor of their responsibility to furnish to the Government items which fully comply with the requirements of the contract.

QA procedures shall be applied to all deliverables, invoices, conference presentations, reports, and other products as prescribed by the COR. The contractor, in the performance of the contract, shall conduct audits of the developing products. The QASP shall describe the audit procedures to be used and shall identify the documents to be audited.

6.1.4 Task Orders

To begin the Task Order process, FTA Headquarters or Regional staff considers a project sponsor and their current and foreseeable projects. Generally, Task Orders will be awarded for the oversight of a major capital project or several projects by a specific project sponsor. Task orders may be competed between several PMOCs for larger projects. 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 ACOR will develop a draft Task Order and a related Independent Government Estimate (IGE). After internal approval of these documents, FTA will issue the schedule and scope of work to the PMOCs as a request for a cost proposal. 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 to provide oversight of a project sponsor’s projects.

However, if the performance of the PMOC is unsatisfactory, or if introducing competition is deemed in the best interests of the government, FTA will follow the processes above for issuing a new Task Order under the Fair Opportunities Clause reference in FAR Section 16.505.

FTA’s CORs/ACORs will direct work against the task orders using IPs that will provide additional guidance and direction to perform the oversight efforts. The PMOC will be required to submit Cost Status Reports to FTA to track the PMOC contract status.

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 TPM- 20 (Office of Major Capital Project Management). Therefore, while Task Order dollar amounts will cover two to five years of work, funding will be incrementally provided on a one-year basis.

7.0 REPORTS, PAPERS, PRESENTATIONS

For most oversight activities, the PMOC is required to provide FTA with a supporting written report of findings, analysis, recommendations, professional opinions, and a description of the review activities undertaken. The report should be formatted in compliance with this OP, of their findings, analyses, recommendations, professional opinions, and description of the review activities undertaken, as well as other supporting information.

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

https://www.ecfr.gov/current/title-48/chapter-1/subchapter-C/part-16/subpart-16.5/section-16.505

OP 01 Administrative Conditions and Requirements October 2023

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 FTA’s document management system as directed by the COR/ACOR.

After the COR/ACOR has transmitted formal acceptance of the report, the PMOC should share the report with the project sponsor. If there are differences of opinion between the PMOC and the project sponsor regarding the PMOC’s findings, the COR/ACOR may direct the PMOC to reconcile their findings with the project sponsor and provide the COR/ACOR with a report addendum covering the modifications agreed upon by the project sponsor and PMOC.

Occasionally, the PMOC may be required to make presentations of project reports or other studies to FTA, the project sponsor, or third parties.

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 they should provide the COR/ACOR with documentation and report data when complete.

7.1 Format for Reports

The PMOC should be concise in their reporting, avoid repeating text, and refer back to the original text as needed. Reports should provide current information, avoid long historical narratives or lists of events, and creatively portray information to aid understanding (for example, photographs, tables, graphs, etc.). Reports should use Times New Roman 12-point font and bold or underline text for emphasis. Standard business reporting tools like Microsoft Word, Excel, and project scheduling software are most familiar and best suited to support reporting requirements. To avoid confusing the reader, use the term “PMOC” instead of “contractor” to distinguish from construction contractors.

All reports should include the following:

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

Executive Summary (three pages max): A 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.

Table of Contents 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 the time frame for performing recommended actions Appendix:

a) Acronyms used

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

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

Project Management Oversight

Appendix Contents OP 01 Administrative Conditions and Requirements

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APPENDIX CONTENTS

APPENDIX A: REFERENCES .......................................................................................... A-1

APPENDIX B: REPORT COVER PAGE SAMPLE ....................................................... B-1

APPENDIX C: ACRONYMS ............................................................................................. C-1

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Appendix A: References OP 01 Administrative Conditions and Requirements

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APPENDIX A: REFERENCES

The PMOC should become familiar with the following references to Federal legislation, regulation, and guidance before reviewing the project sponsor’s work. These are the principal references, but this list is not exhaustive:

A.1. Legislative

• Infrastructure and Investment Jobs Act (IIJA), Public Law 117-58 effective November 15, 2021 (also known as the “Bipartisan Infrastructure Law”)

A.2. United States Code

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

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

A.3. Regulations

• 23 CFR Part 450, Metropolitan Planning (Joint FTA/FHWA regulations)

• 23 CFR Part 771, Environmental Impact and Related Procedures (Joint FTA/FHWA regulations)

• 49 CFR Part 24, Uniform Relocation Assistance and Real Property Acquisition for

Federal and Federally Assisted Programs

• 49 CFR Part 611, Major Capital Investment Projects

• 49 CFR Part 633, Project Management Oversight

A.4. FTA Circulars

• C 4220.1F, Third Party Contracting Guidance

• C 5010.1E, Award Management Requirements (or most recent version)

• C 5200.1A, Full Funding Grant Agreements Guidance

• C 5800.1 Safety and Security Management Guidance for Major Capital Projects

A.5. Guidance

• Capital Investment Grants Program Policy Guidance (2023)

• FTA Project and Construction Management Guidelines (2016)

• FTA Construction Project Management Handbook (2016)

• Best Practices Procurement and Lessons Learned Manual (2016) https://www.govinfo.gov/app/details/PLAW-117publ58/summary https://uscode.house.gov/view.xhtml?req=(title:49%20section:5309%20edition:prelim) http://uscode.house.gov/view.xhtml?req=(title:49%20section:5327%20edition:prelim) https://www.ecfr.gov/current/title-23/chapter-I/subchapter-E/part-450 https://www.ecfr.gov/current/title-23/chapter-I/subchapter-H/part-771 https://www.ecfr.gov/current/title-49/subtitle-A/part-24 https://www.ecfr.gov/current/title-49/subtitle-B/chapter-VI/part-611 https://www.ecfr.gov/current/title-49/subtitle-B/chapter-VI/part-633/ https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/third-party-contracting-guidance https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/award-management-requirements-circular-50101e https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/full-funding-grant-agreements-guidance https://www.transit.dot.gov/regulations-and-guidance/circular-final-fta-c-58001-safety-and-security-management-guidance-major https://www.transit.dot.gov/funding/grant-programs/capital-investments/final-capital-investment-grant-program-interim-policy https://www.transit.dot.gov/funding/procurement/fta-project-and-construction-management-guidelines-2016 https://www.transit.dot.gov/funding/procurement/fta-construction-management-handbook-2016 https://www.transit.dot.gov/funding/procurement/third-party-procurement/best-practices-procurement-manual

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Appendix B: Report Cover Page Sample OP 01 Administrative Conditions and Requirements

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APPENDIX B: REPORT COVER PAGE SAMPLE

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Appendix B: Report Cover Page Sample OP 01 Administrative Conditions and Requirements

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REPORT COVER PAGE SAMPLE

CAPITAL COST ESTIMATE REVIEW

<PROJECT NAME> <PROJECT SPONSOR> <REGION>

Status as of November 1, 2019 Submitted December 15, 2019

Rev. 0

PMOC Contract Number: DTFT-TPM20-______ -________

Task Order Number:

Project Number:

Project Type:

Project Phase:

OPs Referenced:

PMOC firm name, address

PMOC lead person’s title, name, affiliation (if different from PMOC firm), phone, email, and the length of time the PMOC firm and the person have been assigned to this project:

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Appendix C: Acronyms OP 01 Administrative Conditions and Requirements

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APPENDIX C: ACRONYMS

Acronym Term

ACOR Alternate Contracting Officer’s Representative

ADA The Americans with Disabilities Act

AGC Associated General Contractors of America

ATC Alternative Technical Concepts

AVS Associate Value Specialist

BEA Bureau of Economic Analysis

BLS Bureau of Labor and Statistics

BRF Beta Range Factor

BY Base Year

CATEX or CE or CX or Exclusion

Categorical Exclusion

CCIP Contractor Controlled Insurance Program

CE Categorical Exclusion

CER Cost Estimating Relationship

CFR Code of Federal Regulations

CIG Capital Investment Grant

CLIN Contract Line Item Number

CM Construction Manager

Appendix C: Acronyms OP 01 Administrative Conditions and Requirements

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Acronym Term

CM/GC Construction Manager/General Contractor

CMAR Construction Manager at Risk

COR Contracting Officer’s Representative

CPM Critical Path Method

CPTED Crime Prevention Through Environmental Design

CR Constructability Review

CVS Certified Value Specialists

DB Design-Build

DBB Design-Bid-Build

DBE Disadvantaged Business Enterprise

DBF Design-Build-Finance

DBFOM Design-Build-Finance-Operate and Maintain

DBOM Design-Build-Operate and Maintain

DEIS Draft Environmental Impact Statement

DF Designated Function

DHS Department of Homeland Security

DTS Department of Transportation Services

EA Environmental Assessment

EIS Environmental Impact Statement

Appendix C: Acronyms OP 01 Administrative Conditions and Requirements

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Acronym Term

EMP Emergency Management Plan

ENR Engineering News-Record

EPCM Engineering/Procurement/Construction Management

ESWA Early Systems Work Agreement

FEIS Final Environmental Impact Statement

FEMA Federal Emergency Management Agency

FFGA Full Funding Grant Agreement

FHWA Federal Highway Administration

FLSSC Fire/Life Safety and Security Committee

FONSI Finding of No Significant Impact

FRA Federal Railroad Administration

FTA Federal Transit Administration

GAO Government Accountability Office

GC General Contractor

GC/CM General Contractor/Construction Manager

GMP Guaranteed Maximum Price

HAZMAT Hazardous Materials

IP Implementation Plan

LONP Letter of No Prejudice

Appendix C: Acronyms OP 01 Administrative Conditions and Requirements

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Acronym Term

LPA Locally Preferred Alternative

MBE Minority Business Enterprise

MCC Management Capacity and Capability

MDBF Mean Distance Between Failures

MPO Metropolitan Planning Organization

NEPA National Environmental Policy Act

NTE Not-to-Exceed

NTP Notice to Proceed

O&M Operation and Maintenance

OCIP Owner Controlled Insurance Program

ODCs Other Direct Costs

OHA Operational Hazard Analysis

OIG Office of Inspector General

OMP Operations and Management Plan

OP Oversight Procedure

P3 Public Private Partnership

PCMG Project and Construction Management Guidelines

PD Project Development

PDM Project Delivery Method

Appendix C: Acronyms OP 01 Administrative Conditions and Requirements

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Acronym Term

PHA Preliminary Hazard Analysis

PMO Project Management Oversight

PMOC Project Management Oversight Contractor

PMP Project Management Plan

POP Project Oversight Plan

PTASP Public Transportation Agency Safety Plan

QA/QC Quality Assurance/Quality Control

R&D Research and Development

RAMP Real Estate Acquisition Management Plan

RAP Rail Activation Plan

RCMP Risk and Contingency Management Plan

RET Risk Evaluation Tool

RFI Request for Information

RFP Request for Proposal

RFQ Request for Qualifications

ROD Record of Decision

ROW Right-of-Way

RSD Revenue Service Date

S/DBE Small/Disadvantaged Business Enterprises

Appendix C: Acronyms OP 01 Administrative Conditions and Requirements

October 2023 Page C-6 of 7

Acronym Term

SABCE Stripped and Adjusted Base Cost Estimate

SABS Stripped and Adjusted Base Schedule

SAVE Society of American Value Engineers

SCC Standard Cost Category

SCIL Safety Certifiable Items List

SGR State of Good Repair

SIT System Integration Testing

SITP Systems Integration Test Plan

SOP Standard Operating Procedure

SOW Scope of Work

SSCVR Safety Certification Verification Report

SSGA Small Starts Grant Agreement

SSI Sensitive Security Information

SSMP Safety and Security Management Plan

STIP Statewide Transportation Improvement Program

SYGA Single Year Grant Agreement

TAR Travel Authorization Request

TBM Tunnel Boring Machine

TCC FTA Office of the Chief Counsel

Appendix C: Acronyms OP 01 Administrative Conditions and Requirements

October 2023 Page C-7 of 7

Acronym Term

TCRP Transit Cooperative Research Program

TIFIA Transportation Infrastructure Finance and Innovation Act

TIGER Transportation Investment Generating Economic Recovery

TIP Transportation Improvement Program

TOD Transit-Oriented Development

TPE FTA Office of Planning and Environment

TPM FTA Office of Program Management

TRB Transportation Research Board

TSA Transportation Security Administration

TVA Threat and Vulnerability Assessment

URA Uniform Relocation Assistance and Real Property Acquisition Act

U.S.C. United States Code

VE Value Engineering

VECP Value Engineering Change Proposals

WBE Women Business Enterprise

WBS Work Breakdown Structure

YOE Year of Expenditure

Project Management Oversight

Appendix Contents OP 02 PMOC Implementation/Transition Plans and PMOC Status Reporting

October 2023

Oversight Procedure 02 – PMOC Implementation/Transition Plans and PMOC Status Reports

1.0 PURPOSE

The purpose of this Oversight Procedure (OP) is to describe the review, analysis, and recommended procedures and reporting requirements that the Federal Transit Administration (FTA) expects from the Project Management Oversight Contractor (PMOC) regarding two types of administrative tasks: Implementation/Transition Plans and PMOC Status Reports.

While this OP focuses on Capital Investment Grant (CIG) projects, which have specific requirements by law, it also applies to all capital projects. FTA will issue Implementation Plans (IPs) to clarify the specific reviews and expected deliverables based on the project types.

2.0 BACKGROUND

2.1 PMOC Implementation and Transition Plans

FTA requires PMOCs to develop Implementation Plans (IPs) to ensure that they conduct adequate and comprehensive oversight work. FTA requires PMOCs to develop Transition Plans to ensure continuity in the performance of oversight.

2.2 PMOC 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 the entire oversight program.

3.0 OBJECTIVES

3.1 Implementation Plans and Transition Plans

An IP is critical to project management and oversight execution. The IP outlines the oversight activities within the overall Task Order to be performed as directed by the Contracting Officer’s Representative (COR) or Alternate Contracting Officer’s Representative (ACOR). The IP outlines the scope, the funding table, and the schedule of deliverables for review. An IP is provided by FTA with input from the PMOC. The IP is not a contractual document and there is not a deliverable.

A Transition Plan should convey essential project information to an incoming PMOC from an outgoing PMOC. This plan should promote a seamless transition from the current PMOC to the new PMOC with minimum disruption to the project sponsor or FTA.

3.2 PMOC Task Order Cost Status Reports

PMOC Task Order Cost Status Reports document the cost progression of a project over a specific reporting period. This frequency is found in Section F of the Task Order award

OP 02 PMOC Implementation/Transition Plans and PMOC Status Reporting October 2023 document. The purpose is to provide FTA with an update on the Task Order’s financial status as well as identify funding needs.

4.0 REFERENCES

The PMOC shall become familiar with the following references reviewing the project sponsor’s work. These are the principal references, but this list is not exhaustive:

• OP 01: Administrative Conditions and Requirements

• OP 25: Recurring Oversight and Related Reports

5.0 PROJECT SPONSOR SUBMITTALS – N/A

6.0 SCOPE OF WORK

6.1 PMOC Implementation Plan / Transition Plan

6.1.1 Implementation Plan

FTA will use IPs to direct the work against the Task Order. The IP is not a contractual document but rather a supplementary guidance document that prescribes the work that will be completed within the scope and funding outlined in the Task Order and within the incremental funding available or to be available. The IP may be directly tied to the incremental funding, but it is not required. However, the IP funding for each Contract Line Item Number (CLIN) cannot exceed the Task Order funding.

See Appendix A for an IP template.

6.1.2 Transition Plan

When changes occur in PMOC assignments at the Task Order level, FTA will 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 interests to replace or supplement a PMOC. Transition Reports and Plans may be required for Task Order assignments if the work is particularly complex or for other reasons indicated by FTA.

Upon notice from the ACOR of an incoming PMOC to replace or supplement an existing PMOC, the COR/ACOR will notify the project sponsor 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 ACOR will also establish a transition dialogue between the incoming and outgoing PMOC and set forth the priorities for both PMOCs. The ACOR’s overall objectives are to minimize disruption to the project sponsor, facilitate teamwork between the PMOCs, and ensure that transition steps are accomplished.

One element of a successful transition could include an introductory meeting with the incoming PMOC, FTA, the outgoing PMOC, and the project sponsor staff. Activities could include a project tour, copies of project sponsor documents, PMOC reports, key FTA letters or approval documents, and any other pertinent documents. The electronic format of the documents will be

OP 02 PMOC Implementation/Transition Plans and PMOC Status Reporting October 2023 directed by the COR/ACOR. In all circumstances, it will be imperative to arrange for the outgoing PMOC to orient the incoming PMOC to the project, including its characteristics, major project issues, baseline project information, and FTA’s expectations.

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

The incoming PMOC shall perform services as follows:

Develop a Transition Plan. Coordinate and integrate incoming PMOC services and work products with the outgoing PMOC to identify transition elements and develop schedule and milestones.

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

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

a) The latest project baseline documents (Project Development, Engineering, or Full

Funding Grant Agreement (FFGA)) and all amendments, application materials, letters of no prejudice, etc.;

b) Relevant project sponsor management plans, such as Project Management Plan (PMP), Quality Assurance/Quality Control (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; and

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

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

a) Conducting pre-meetings between FTA and outgoing PMOC;

b) Providing appropriate personnel at meetings, interviews, or tours;

c) Being prepared and knowledgeable of the content in materials prepared by the project sponsor, outgoing PMOC, and FTA on major issues; being 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 and taking project photos during the tour;

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.

OP 02 PMOC Implementation/Transition Plans and PMOC Status Reporting October 2023

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

c) Provide adequate input 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 ACOR.

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

The outgoing PMOC should do the following (this list is not exhaustive):

Develop a transition “report” to convey pertinent facts to the incoming PMOC for an effective transition of oversight activities with minimum disruption to the project sponsor.

Prepare a “close-out” Task Order proposal that includes “close-out” schedules and deliverables with a final report and lessons-learned document. Prepare a list of transfer documents and information to the incoming PMOC and other transition elements identified above.

Orient the incoming PMOC by facilitating introductions to the project sponsor. Provide the 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.

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

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

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

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

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

6.1.3 Schedule for Transition Plans

Transition Plans and Reports shall be delivered in accordance with the Task Order.

6.2 Task Order Cost Status Reports

The Task Order Cost Status Report provides an update to FTA regarding the Task Order financial status and highlights critical funding needs at both the Task Order and CLIN level.

These reports shall reflect (1) direct labor hours by categories by CLIN, including subcontract hours; and (2) elements of cost by direct loaded dollars, subcontracts, and Other Direct Costs (ODCs), etc., that have been incurred and/or committed. 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

OP 02 PMOC Implementation/Transition Plans and PMOC Status Reporting October 2023 reports differ from those anticipated at Task Order award, the contractor must provide a reconciliation of the difference and a plan for future expenditure rates, as part of the monthly report.

The PMOC 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 prudent management procedures in the performance of contracts and Task Orders that provide for:

• Funding notifications to FTA once the funding level of any CLIN reaches 75 percent expenditure;

• Funding notification to FTA once the funding level of the total Task Order amount reaches the 75 percent expenditure;

• Addressing any PMOC staffing changes;

• Planning and control of costs and schedules;

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

• Generation of timely and reliable information to be reported.

Upon receipt of the PMOC Status Reports, FTA can monitor the status of the oversight, verify the reasonableness of the PMOC’s invoices considering achieving performance, verify reported costs and expenses accrued during reporting periods, and estimate costs to be accrued during subsequent reporting periods.

It should be noted that PMOC program managers are responsible for the quality and timeliness of…