Section J Attachment J-3 Oversight Procedures.pdf

FTA Oversight Procedures

CLIN# OP# OP Issue Date Description

0001 Contract and Program Support 1 6/20/2008 Administrative Conditions and Requirements

2 6/20/2008 PMOC Implementation, Transition Plans, and Project Status Reporting

3 6/20/2008 Special Tasks

0002 Project Management Services 11 6/20/2008 Grantee Capacity and Capability Review

12 6/20/2008 Recurring Oversight and Related Reports (Periodic, Trip, Quarterly, Final)

14 6/20/2008 Lessons Learned

20 6/20/2008 Project Management Plan Review

22 6/20/2008 Safety and Security Management Plan Review

23 6/20/2008 Real Estate Review

0003 Technical Review Services 25 6/20/2008 Fleet Management Plan Review

26A 6/20/2008 Buy America Review

26B 6/20/2008 Bus and Rail Vehicle Technical Review

32A 6/20/2008 Project Capacity Review

32B 6/20/2008 Environmental Document (NEPA) Review for New Starts Projects

32C 6/20/2008 Project Scope Review

32E 6/20/2008 Project Delivery Method Review

33 6/20/2008 Capital Cost Estimate Review

34 6/20/2008 Project Schedule Review

35 6/20/2008 Project Contingency and Contract Packaging Review

40 6/20/2008 Risk Assessment and Mitigation Review

41 6/20/2008 ADA Review - Level Boarding for Commuter Rail

43 6/20/2008 Annual Review

45 6/20/2008 Small Starts Review

46.1 6/20/2008 LPA Review and Readiness to Enter PE

46.2 6/20/2008 Readiness to Enter Final Design

46.3 6/20/2008 Readiness to Execute or Amend FFGA

46.4 6/20/2008 Readiness to Bid Construction Work

46.5 6/20/2008 Readiness for Revenue Operations

Updated: 6-9-2008

OP 1 Administrative Conditions and Requirements Revision 0, June 2008

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

Oversight Procedure 01 – Administrative Conditions and Requirements

1.0 PURPOSE

The purpose of this Oversight Procedure is to describe the administrative conditions and requirements associated with the performance of oversight by the Project Management Oversight Contractor (PMOC) for the Federal Transit Administration (FTA) of the planning, design, construction and revenue operations of major capital transit projects.

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

In 2003 and 2004 FTA selected and awarded contracts to seventeen firms to perform oversight services for a period of five years. Today, PMOCs monitor projects costing from $100 million to multiple billions of dollars.

3.0 OBJECTIVES

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

The following are 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 Grantee’s project work being reviewed under this OP: See Appendix A below.

5.0 GRANTEE 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, and within task orders, work orders. A PMOC may be issued one or more task orders under its contract.

The contract contains the following sections:

Section A: SOLICITATION/CONTRACT FORM Section B: SUPPLIES OR SERVICES AND PRICE/COST Section C: DESCRIPTION/SPECS./WORK STATEMENT Section D: PACKAGING AND MARKING Section E: INSPECTION AND ACCEPTANCE Section F: DELIVERIES OR PERFORMANCE Section G: CONTRACT ADMINISTRATION DATA Section H: SPECIAL CONTRACT REQUIREMENTS Section I: CONTRACT CLAUSES Section J: LIST OF ATTACHMENTS TABLE

Contract Line Item Numbers (CLINs) are primarily used for administration and accounting. CLINs tie specific types of oversight activities to be performed to work or cost categories which allow FTA to determine the cost effectiveness of the services provided.

The contract includes the following CLINs:

CLIN 0001 CONTRACT AND PROGRAM SUPPORT

CLIN 0002 PROJECT MANAGEMENT SERVICES

CLIN 0003 TECHNICAL REVIEW SERVICES

CLIN 0004 OTHER DIRECT COSTS

Work shall be directed by work order not by CLINs. When services are performed, labor hours and deliverables should be billed by work order and annotated with the CLIN and SubCLIN. SubCLINs represent the lowest level of work or cost category that FTA chooses to track program costs. They are summarized below under each CLIN description.

CLIN 0001 covers services that are required by FTA in support of the PMOC’s contract and the PMO program at large.

0001A Administrative Tasks (Contract implementation plans, task order implementation plans, transition plans, project status reports, FTA events such as Annual Engineers’ Conference, Annual PMO Conference, Quarterly PMO teleconferences, Transit Construction Roundtables, and other specialty meetings or conferences, etc.)

0001B Special Tasks (Update project management oversight procedures, develop technical papers, perform special studies, etc.)

0001C Ancillary Support (Covers unforeseeable tasks such as emergency support services and other work as directed by the Administrator)

CLIN 0002 covers Project Management Services that typically are required at regular intervals and are normally specified by FTA regional task order managers.

0002A Grantee Technical Capacity and Capability Reviews (project sponsor technical capacity and capability reviews, project management plan reviews, project sponsor quality assurance/quality control program reviews, safety security management plan reviews, real estate acquisition plan reviews, etc.)

0002B On-site Monitoring and Reporting (Recurring oversight–monthlies, quarterlies, trip reports, final monitoring report, lessons learned)

0002C PMO Information Management Support and Products (Information technology support and services)

CLIN 0003 covers Technical Review Services and analysis that are normally specified by FTA headquarters project engineers and technical specialists.

0003A Scope, Cost, Schedule Characterization Reviews (Scope, capital cost estimate, schedule analysis, value engineering and life cycle cost analysis, annual new starts reviews, etc.)

0003B Vehicles Procurement Reviews (Fleet management plan reviews, rail and bus vehicle technical reviews)

0003C Risk Assessments and Contingency Reviews (Risk assessment and mitigation reviews, contingency reviews, etc.)

0003D Project Execution Readiness Reviews (Design and constructability reviews, ADA level boarding review, readiness to enter PE, FD, execute FFGA, readiness to bid construction, readiness for revenue operations – testing, start-up, etc.)

0003E Small Starts Reviews (Small starts projects reviews – includes all technical capacity, scope, schedule, cost, etc. for small starts projects)

CLIN 0004 covers travel and other expenses such as printing.

0004A Travel Expenses (Non-labor travel related expenses such as transportation expenses, lodging, per diem, etc. associated with any of the above CLINs)

0004B Other Direct Expenses (Printing, shipping, materials, etc.)

6.1.2 Task Orders

FTA headquarters or an FTA regional office will identify a project or group of projects that could benefit from PMOC oversight. For award of initial task orders for oversight, FTA’s procurement office will request proposals from all PMOCs that have indicated on the matrix in Attachment J-5 in the Request for Proposal an interest in performing the work and a lack of conflict of interest. Refer to Appendix D for the sample proposal format. Written proposals are due seven days after issuance of the request. The procurement office with the assistance of TPM-20 Office of Engineering will evaluate the proposals and select a contractor utilizing the “best value” approach.

In the interest of economy and efficiency, the procurement office will typically issue on a sole source basis follow-on task orders to the PMOC that was awarded the initial task order for a particular project, grantee or region. If the performance of the existing PMOC is unsatisfactory or if competing is deemed in the best interest of the government, the procurement office may compete follow-on task orders.

The total amount of all task orders awarded or issued by FTA in one year will not exceed the total amount available to FTA for oversight of major capital projects as documented in the TPM-20 Office of Engineering Program Plan. The Program Plan covers a twelve month period, therefore task orders will cover a maximum of twelve months. Task order amounts are based on cost estimates for PMOC oversight based on activities and events in the Grantee’s project schedule. A task order sample is shown in Appendix B.

The PMOC is required to submit a Task Order Implementation Plan upon receipt of the task order from FTA. This plan outlines the PMOC’s proposed approach to the overall task, identifies activities to be performed, and provides a schedule and cost breakdown for the activities.

All activities performed under task orders will be authorized through work orders. Some work orders will be written broadly, for example, covering all recurring oversight activities on a project (such as monthly and quarterly meetings and supporting reports). Other work orders will be written more narrowly, for example, covering reviews (such as scope, schedule, cost, and risk) on specific dates.

6.1.3 Work Orders

A sample work order format is shown in Appendix C. A work order will be based on an approved proposal by a PMOC. Refer to Appendix D for the sample proposal format.

The work order will describe the work; it may refer to certain Oversight Procedures (OP) to guide the performance of the work. It will include a not-to-exceed cost and a defined schedule. A Work Order Implementation Plan may be required by FTA for large scope work orders or for oversight activities for which there is no associated OP.

Before issuing, the COTR verifies that the work order cost is included in the authorized task order amount. The work order will refer to applicable CLINs. The cost of each work order must be tracked separately in project status reports and in invoices, with a breakdown by CLIN. Within the PMOC’s monthly or quarterly task order status reports, the estimated versus actual for each work order should be tracked as a subset of the estimated versus actual for the entire task order.

6.1.4 Spot Reports

In the previous PMO contract, “Spot Reports” were used to report on a variety of topics. In this PMO contract, the generic spot report will be required very infrequently if at all. By and large, the spot report is replaced by specific reports such as “Project Cost Review Report” or “Grantee Technical Capacity and Capability Review Report”, etc.

6.2 Roles and Responsibilities

The Grantees are the project builders and owners and are fully responsible for development and implementation of the capital transit project. They are responsible for planning, design, bidding the contract documents; supervising, administering, inspecting and accepting construction; performing testing and start up.

FTA administers grants and loans to State and local public bodies, and in public-private partnerships to private entities, to acquire, construct, and reconstruct transit facilities. FTA seeks to ensure through its oversight that FTA-funded projects related to these transit facilities are executed responsibly.

The FTA Office of Engineering within the Office of Program Management (TPM) in Washington, D.C. and the FTA Regional Offices (TROs) are responsible for oversight from the time of the Grantees’ application to enter preliminary engineering (PE) through final design (FD), the Full Funding Grant Agreement (FFGA), construction, substantial completion, testing, start-up, and revenue operations. As a general rule, recurring oversight and reviews of the Grantee’s project management capacity are conducted by TROs. Technical reviews for scope, schedule, cost, contingency and risk, etc. are usually initiated by TPM. TPM and TRO, along with TAD (Office of Procurement), administer the PMOC contracts, task orders and work orders.

PMOCs assist FTA in fulfilling its oversight responsibilities. The PMOCs’ primary FTA points of contact are FTA’s task order managers and FTA’s work order managers. The primary FTA staff person in Procurement is the Contracting Officer (CO) and in TPM is the Contracting Officer’s Technical Representative (COTR).

The PMOCs are responsible for rigorously but non-intrusively analyzing progress on projects, positively and constructively interacting with the Grantee to solve problems, and maintaining objectivity in discussions of findings, conclusions and recommendations with FTA and the Grantee.

One of the most important reviews is the assessment of the Grantees’ technical capacity and capability to successfully implement projects in a quality manner – to keep projects on time, on budget, in accordance with approved plans and specifications, constructible and well managed, employing value engineering, risk assessment and risk management. In addition to the Grantees’ technical capacity, the PMOCs review the planning, design, construction and operations of the project; specific project components: guideway structures, stations, maintenance and storage facilities, sitework, power, signal and communications systems; fare collection; real estate; vehicle design and manufacturing; project quality and capacity; safety; cost estimates, schedules, assessments of risk.

After PMOCs are awarded contracts, they may be awarded task orders and work orders within task orders to perform oversight. Task orders can cover all projects in a geographic area or they can be limited to the work of a particular Grantee. Task orders issued from TPM-20 can cover special studies and research, as well as technical reviews (scope, schedule, cost) for projects.

The PMOCs’ main responsibilities include:

• Investigation of project conditions and core documents; site visitation; review of pertinent documents; performance of interviews in sufficient detail as to become familiar with established project goals, site conditions, design criteria, operations plans, drawings and specifications, value engineering studies, peer and constructability reviews, schedules, cost estimates, risks, bid packages, and contracts;

• Assessment of the Grantee’s management of projects and technical capacity and capability;

• Assessment of the Grantee’s ability to meet goals related to design capacity, scope, schedule, budget, quality, and safety both during construction and in revenue operations;

• Identification of problems and uncertainties related to the fulfillment of program requirements;

• Recommendations and proactive problem solving with the Grantee and FTA staff, and provision of professional opinions to the FTA;

• Discussion of findings, conclusions and recommendations with the Grantee and FTA;

• Provision of supporting reports and presentations to the FTA.

In the performance of the above, the PMOCs are to accomplish, among other duties, the following:

1) Communications

a) Develop and regularly maintain contact throughout a Grantee’s organization with key personnel in planning, design and construction departments as well as operations, operations planning, procurement, legal, budgeting and real estate.

b) Develop and regularly maintain contact with FTA task order managers and work order managers at both headquarters and the region.

c) Maintain a log of project contacts.

d) Coordinate with other PMOCs covering the same Grantee.

e) Remind the Grantee of its responsibility for the project; that PMOC oversight in no way relieves the Grantee of responsibility.

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

2) Oversight assessments, recommendations, reporting

a) Identify sources of information to allow the FTA to directly question the Grantee 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 100 percent of the information, perform quantitative and qualitative checks on Grantee information.

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

d) Specifically cost-related

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

ii) Provide an estimator’s opinions as to whether the cost estimate information is biased.

iii) Describe the context of key cost assumptions and decisions by involved parties such as the Grantees, and their consultants and contractors.

iv) State reservations about costs in construction contractors’ bids or offers; provide supported opinions regarding a construction contractor’s propensity to submit change orders and claims on a project.

7.0 REPORTING, PRESENTATIONS, RECONCILIATION

For many 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.

Draft reports should be submitted to the FTA work order manager via email. In addition the PMOC should post reports to an FTA website, to be identified.

After FTA approval, the PMOC may be instructed to share the report with the Grantee. In the event that differences of opinion exist between the PMOC and the Grantee regarding the PMOC’s findings, the FTA may direct the PMOC to reconcile with the Grantee and provide FTA with a report addendum covering the agreed modifications by the Grantee and PMOC.

On occasion, the PMOC may be required to make presentations of project reports or other studies to FTA, the Grantee, or third party groups.

7.1 Format

Avoid repetition in the report at all cost as repetition inhibits understanding on the part of the reader.

Instead, refer back to previous sections. Be concise. Provide current information and avoid long historical narratives or lists of events. Use italics and bold fonts to emphasize certain points. Use judgment to optimally portray information to aid in understanding – narratives, photographs, tables, graphs, spreadsheets, etc. Use Microsoft Word, Excel, and Microsoft Project.

Use Times Roman 12 point font unless otherwise specified.

All reports should include the following.

1) Cover page (See Appendix E for a sample cover page.)

a) Title of Report; plain English description of what is in the report

b) Project name and location, Grantee name

c) Date of report, if revisions, add Rev. 1, 2, etc.

d) Contract number

e) Task order number

f) Project number

g) Work order number

h) Oversight Procedures referenced

i) CLIN referenced

j) PMOC firm name, address

k) PMOC lead person’s name, affiliation if different from PMOC firm, phone, email

l) Length of time PMOC firm and person have been assigned to this project

2) Executive Summary (one page max) – simply written summary of the PMOC’s most important findings, professional opinions, conclusions, and recommendations

3) Description of PMOC personnel, qualifications performing the review

4) Table of Contents

5) Project Description (one page max)

6) Project Maps

7) Body of Report

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

b) Analysis, opinions, recommendations (specify time frames for performance of recommended actions)

c) Concluding Statement

8) Appendix

a) Acronyms used

b) Tables, spreadsheets, photos

OP 01 Administrative Conditions and Requirements

Page A-1

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 Grantee’s project work being reviewed under the Oversight Procedures (OPs):

Legislative

• SAFETEA-LU, Public Law109-59 United States Code

• 49 U.S.C Section 5327, General /Intermodal Programs, Mass Trans; PMO

• 49 U.S.C Section 5309, Major Capital Investment Projects Final Rule

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 -

• C4220.1D Third Party Contracting Requirements

• C5010.1C Grant Management Guidelines

• C5200 Full Funding Grant Agreements Guidance

• C6800.1 Safety and Security Management Plan

Guidance

• FTA Master Agreement, FTA MA o http://www.fta.dot.gov/documents/12-Master.doc

• Project and Construction Management Guidelines, 2003 Update o http://www.fta.dot.gov/funding/oversight/grants_financing_104.html

• Guidance for Transit Financial Plans, June 2000 o http://www.fta.dot.gov/publications/reports/other_reports/publications_1336.html

• 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, December 2006 o http://www.fta.dot.gov/publications/publications_5838.html o http://www.fta.dot.gov/funding/oversight/grants_financing_104.html

• Best Practices Procurement Manual, FTA, 2001 o http://www.fta.dot.gov/publications/reports/other_reports/publications_4571.html

Page B-1

APPENDIX B

Sample Task Order

Federal Transit Administration

TASK ORDER No. ___

Date issued:

Summary title: Projects X, Y, Z by Grantee Transit Agency ABC Located in City, Region, State/s

PMOC: Firm name

Lead person’s name, title, phone, email Firm address

Contract No.: DTFT60-0_______ Task Order: Managed by FTA Region or Headquarters Project No. DC-______ FTA Task Order Manager: name, phone, email

Scope: Description of scope of work

Reference to FTA Oversight Procedures Reference to CLIN Numbers

Schedule: Task order duration / End date of task order

Cost: This is being issued under Contracting Officer authority.

Services performed or products delivered under this task order are authorized by work order and billable by work order.

The not-to-exceed amount is _____ for labor and expenses under this task order.

Under no circumstances is the PMOC authorized to incur costs in excess of the amount above without prior authorization from the Contracting Officer.

Page C-1

APPENDIX C

Sample Work Order

Federal Transit Administration

WORK ORDER No. ___

Date issued: ______, 20__

Summary title: Review of X on Project Y, Grantee Transit Agency ABC Located in City, Region, State/s

PMOC: Lead person’s name, title, phone, email

Firm name, address

Contract No.: DTFT60-0_______ Task Order No.: ____ Project No. DC - _____ Task Order: Managed by FTA Region or Headquarters FTA Task Order Manager: name, phone, email FTA Work Order Manager: name, phone, email

Scope: Description of scope of work

Reference to FTA Oversight Procedures Reference to CLIN Numbers

Schedule: Period of Performance, Schedule of Milestones, Due Dates

Cost: This is being issued under COTR authority. Services performed or products delivered under this work order are billable by work order and CLIN.

The not-to-exceed amount is _____ for labor and expenses under this work order. Under no circumstances is the PMOC authorized to incur costs in excess of the amount above without prior authorization from the COTR.

Page D-1

APPENDIX D

Sample Proposal Format

PROPOSAL TO FTA

Date:

Summary title: _________________

PMOC: Lead person’s name, title, phone, email

Firm name, address

Contract No.: DTFT60-0_______ Task Order No.: ____ if applicable Task Order: Managed by FTA Region or Headquarters FTA Task Order Manager: name, phone, email Work Order No.: ____ if applicable FTA Work Order Manager: name, phone, email

Scope: Description of scope of work; ref. to FTA Oversight Procedures, CLIN Nos.

Schedule: Period of Performance, Schedule of Milestones, Due Dates

Cost: Provide proposal breakdown including all of the information below:

CLIN CLIN Name Hours Hourly Rate Labor OH Rate Labor, OH Fee Rate Subtotal Total SBE DBE/WBE

Name, Title per contract 15.0 $85.00 $1,275 130% $2,933 9% $3,196 Name, Title per contract 8.0 $75.00 $600 130% $1,380 9% $1,504 Name, Title per contract 0.0 $45.00 $0 130% $0 9% $0 Total Staff 23.0 $1,875 $4,313 $4,701 Subconsult Name 13.0 $160.00 $2,080 $2,080 $2,080 Subconsult Name 10.0 $180.00 $1,800 $1,800 Subconsult Name 6.0 $170.00 $1,020 $1,020 Total Subconsultants 29.0 $4,900 $4,900 Total Labor $9,601 $4,900 $2,080 Staff $800 Subconsultants $0 Total $800 Staff $500 Subconsultants $0 Total $500

G & A (if applicable) 5% $526 $11,426

2B On-Site

Monitoring / Reporting

4A Travel Exp

Total overnight

4B Other Direct Exp printing, phone charges

Page E-1

APPENDIX E

Sample Report Cover Page

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 DC-__-____ Work Order Number ___ OPs Referenced ___

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

OP 2 PMOC Implementation, Transition Plans, and Project Status Reporting

U.S. DOT Federal Transit Administration

Oversight Procedure 02 – PMOC Implementation, Transition Plans, and Project Status Reporting

1.0 PURPOSE

The purpose of this Oversight Procedure is to describe the review, analysis and recommendation procedures and reporting requirements expected by Federal Transit Administration (FTA) from the Project Management Oversight Contractor (PMOC) with regard to two types of administrative tasks:

Implementation / Transition Plans and Project Status Reporting.

2.0 BACKGROUND

2.1 Implementation and Transition Plans

2.1.1 Implementation Plans

The PMOC is required to develop and submit for review, comment and approval an Implementation Plan at the contract, task order, and work order levels. These Contract, Task Order, or work order level Implementation Plans play a key part in demonstrating to FTA that the PMOC has achieved and maintains a readiness to perform services and produce deliverables and outcomes in a satisfactory manner that meet FTA’s requirements.

Implementation Plans define how the PMOCs’ services, products, deliverables, etc. will be accomplished in a manner and quality that meets FTA’s requirements. Unless otherwise directed by the COTR, PMOC services, products and outcomes will be performed in conformance with the then current version of the FTA approved Implementation Plan.

The Contract Level Implementation Plan defines how multiple task orders or a combination of Regional and Headquarters task orders will be accomplished. The Task Order Level Implementation Plan defines how task order level services, products, deliverables will be accomplished. Minimize duplication between the Task Order and Contract implementation plans. Identify and explain inconsistencies. The Work Order Level Implementation Plans may be required if the work is to be performed over many months, the work is particularly complex, or if FTA has concerns regarding the PMOC’s technical approach, staffing, schedule, etc.

2.1.2 Transition Plans

Transition Plans are required for Task Orders when changes in PMOC assignment necessitate. For Work Orders, Transition Plans may be required if the work is particularly complex or for other reasons indicated by FTA. FTA may require new PMOCs to replace or supplement the staff of current PMOCs when the current/resident/outgoing PMOC develops a conflict of interest with the subject project or FTA determines that it is in FTA’s interests to assign a replacement or supplemental PMOC.

If the PMOC is transitioning into an on-going project, the implementation plan should address the transition efforts as directed by FTA staff.

FTA may require PMOCs to replace other outgoing PMOCs. This may arise because the current, now outgoing PMOC has developed a conflict, or FTA has determined that it is in FTA’s interests to assign a new PMOC to monitor the grantee project. The outgoing and incoming PMOCs shall effectuate a smooth transition. FTA may also require the PMOC to transition onto a Grantee’s project for a limited independent review without a reassignment of the resident PMOC.

Upon notice from the FTA COTR that a task order has been awarded, the designated FTA task order manager will notify the Grantee in a timely fashion. In doing so, the task order manager should address the Grantee’s concerns, establish a transition dialogue between the incoming and outgoing PMOC and lastly through the exercise of the task order manager’s technical direction authority, lay the groundwork and priorities for both the outgoing and incoming PMOCs. The task order manager’s objective in the last element is to minimize the burden and disruption to the Grantee, and facilitate the two PMOCs, the Grantee and FTA to work as a team.

FTA’s Office of Program Management will seek to achieve a transition period of least 2 months in length. FTA’s Regional Office will work with the Grantee and PMOCs to arrange a transition schedule that best fits future, scheduled meetings with the Grantee including Quarterly Progress Review meetings or Triennial Review meetings.

The task order manager in coordination with the COTR and support from the outgoing and incoming PMOC will identify transition elements and develop a coordinated transition schedule in order to assure the achievement of transition milestones. Transition elements include arranging for incoming PMOC to be introduced to FTA Region, Headquarters, the outgoing PMOC, and the Grantee organization, and given a project tour; arranging for the incoming PMOC to be oriented on administrative matters such as invoicing and performance evaluations; arranging for outgoing PMOC to orient incoming PMOC to the project – project characteristics, major project issues, baseline project information between the PMOC and Grantee, and FTA’s expectations.

2.2 Project Status Reporting

PMOCs are required to use management procedures in the performance of contracts, task orders, and work orders that provide for:

• 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

FTA can then monitor the status of the oversight contract, task orders, and work orders; 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.

3.0 OBJECTIVES

3.1 Implementation and Transition Plans

The Implementation Plan should demonstrate the PMOC’s comprehensive, organized and well considered proposal to accomplish the assigned scope of work in a manner and quality that meets FTA’s requirements. The Transition Plan is a substantive report of the essential project facts to expedite project knowledge during the transition period.

3.2 Project Status Reporting

Provide FTA with relevant progress updates on the PMOC’s assigned work including completed tasks, significant issues encountered, technical and others, and a 60-day look ahead forecast in a concise report.

4.0 REFERENCES

NA

5.0 PROJECT SPONSOR SUBMITTALS

NA

6.0 SCOPE OF WORK

PMOC scope of work is awarded through Task Orders and assigned Work Orders in accordance with oversight procedures (OPs). Implementation and Transition Plans shall be provided and should include PMOCs’ recommendations as to course of action. The PMOCs shall also provide Project Status Reports which will assist in FTA’s efforts to improve the accountability and effectiveness of its oversight program on major capital transit projects.

6.1 PMOC Implementation and Transition Plans

6.1.1 Implementation Plans

Implementation Plans shall be provided upon request by the COTR or FTA task order manager.

1. When the PMOC has been awarded multiple task orders or a task order that requires programmatic services or products, FTA may require from the PMOC a contract level implementation plan.

2. The PMOC shall develop an integrated schedule for the work (services and deliverables) and report progress against that integrated schedule as part of task order level implementation plan.

3. Ordinarily, individual work orders will not require implementation plans, however, for complex deliverables or services where technical approach, key staffing, schedule, etc. issues or concerns exist, FTA may require the PMOC to develop a simplified, or work order specific implementation plan.

The elements of the plans are described in Section 7 and Appendix A.

FTA in its sole discretion may require the outgoing PMOC to submit or revise its task order level implementation plan in order to minimize the overlap between the two PMOCs as well as to achieve the necessary coordination with and orientation of the new PMOC.

6.1.2 Transition Plans

The Transition Plan shall be prepared by the current or resident PMOC for use by a replacement or supplemental PMOC. The current PMOC and incoming PMOC shall work together to effectuate a smooth transition.

A. The incoming PMOC shall deliver products and perform services as follows:

1. Coordinate and integrate its services and work products with the current PMOC to identify transition elements, develop schedule and milestones.

2. Establish key contacts among the personnel of both PMOCs, FTA Region and Headquarters, and the Grantee.

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

a. The FFGA baseline and all amendments or as applicable FFGA application materials or letters of no prejudice;

b. Relevant grantee management plans such as Project Management Plan, QA/QC plan, Fleet

Management Plan(s), etc.

c. PMOC Lessons Learned report, Monitoring Reports, Quarterly Progress Review Meeting

Reports

d. Other documents recommended by FTA and outgoing PMOC

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 Grantee, 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 grantee 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 grantee personnel interviews to be cost effective.

b. Do not discuss the outgoing PMOC’s products or services to the Grantee.

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 until otherwise directed by the TASK ORDER MANAGER on information or assessments developed by the outgoing PMOC.

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

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

1. Subject to CO request, prepare a “close-out” Task Order proposal according to FTA’s instructions that includes “close-out” schedules, deliverables including final report and lessons learned, transfer documents and data 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.

2. Orient the incoming PMOC; facilitate introductions to the Grantee as well as their readiness to assume oversight responsibilities. Provide requested documents or assist the new PMOC in locating the information.

3. 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 TASK ORDER MANAGER of information or assessments developed by the incoming PMOC.

d. Evaluate input and work products of the incoming PMOC giving consideration to its lack of familiarity with the project.

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

6.1.3 Schedule of Deliverables

Unless otherwise indicated by Work Order instructions Implementation and Transition Plans shall be delivered in accordance with the following timeline.

Requirement Calendar Days after request by FTA

1) Implementation and Transition Plans

a) Draft plan or revision of previous plan 15-21

b) Finalize plan 30

c) Readiness for meetings 30

d) Readiness to assume oversight responsibilities (transitions) 60

e) Annual resubmittal* Jan. 20 of each year

2) Transition Plans by Outgoing PMOC

a) Production of requested project information/documentation 15

b) Draft of “Close-out” task order implementation plan 21

c) Finalize “Close-out” task order implementation plan 30

d) Evaluations of Incoming PMOC work 15 after 1st product

e) If outgoing, final participation in meetings, conference calls 60

*Annual resubmittals are required only if plan has been in effect for more than 90 days; the resubmittals may be waived in writing by the COTR.

6.2 Project Status Reporting

The project status reports typically incorporate task order level information. On occasion, the COTR or FTA task order manager may require the PMOC to provide a project status report containing contract or work order level information. Coordinate the project status report with the monthly invoice so the report and invoice support each other. Only the Contracting Officer, Contracting Officer’s Technical Representative, Task Order Manager, and Work Order Manager should be provided copies of the project status reports. Status reports are intended for FTA staff use only.

7.0 REPORTS, PRESENTATION, RECONCILIATION

The PMOC shall provide reports to FTA as required by Work Order in accordance with this OP. When necessary, PMOC shall perform data analysis and develop data models that meet FTA requirements using Microsoft Office products such as Excel, Project, and Word and use FTA-templates when provided. The PMOC may add other software as required but documentation and report data shall be made available to FTA upon request.

7.1 Implementation Plan - Contents

1) Cover letter

2) Table of Contents

3) List of Acronyms

4) Project Description Overview (one page)

5) Introduction to PMOC scope of work and period of performance (one page)

6) PMOC proposed Task Order Work Program: Tasks, Schedule, Staffing, Budget

a) Summarize the budget in a table of tasks, labor hours for staff and subcontractor, and total costs. The total cost should be consistent with the task order and reflect FTA’s PMOC oversight guidance. Using Microsoft Project, incorporate this information into a schedule of project phases, years, months, milestones, etc.

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

a) Include organization charts for FTA, Grantee, and PMOC personnel to illustrate lines of communication.

b) Indicate frequency of communicating with FTA and Grantee, how this work will be coordinated and reported, both formally and informally.

c) An example of a statement follows: “The PMOC’s written communication documents will be submitted to FTA’s assigned work order manager. The work order manager will distribute the documents within FTA as appropriate, collect FTA comments, request modifications from the PMOC to the documents, and distribute the documents to the Grantee. Informal verbal communication will occur directly between the PMOC and the Grantee staff, at various levels, however the FTA work order manager will be apprised of the general nature of and any material specifics developed during these contacts.”

8) Procedures

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

i) The PMOC shall describe:

(1) The contract type and terms for all the tasks in the task order as well as identifying relevant compensation sublimits or fixed price work;

(2) How employees’ record daily project time charges and accumulated into the corporate accounting system on what basis, e.g. weekly;

(3) Its intent to comply with FTA’s billing instructions;

(4) How invoices are generated and on what periodic basis, e.g. monthly;

(5) When its accounting period closes, e.g. on the last Friday of the month;

(6) How Subcontractor invoices are recorded, e.g. monthly in the corporate accounting system.

b) Correspondence and Document Control

i) The PMOC shall describe its approach to controlling correspondence to and from FTA;

meeting FTA’s task order requirements for information delivery when deliverables have been accepted by FTA; the location of PMOC project files; file maintenance and control.

9) In addition describe PMOC’s proposed approach to the following:

a) Measuring goals consistent with FTA’s strategic plan for program oversight. If the PMOC is transitioning into an on-going project, the implementation plan should address the transition efforts as directed by FTA staff.

b) Monitoring of Grantee Project Development and Implementation

c) Ancillary Support

d) Quality Management System

e) Project Status Reporting / Debriefing

f) Staff and subcontractors: Resources and qualifications

10) If plan is an update, provide progress report on Task Order responsibilities and deliverables

7.2 Project Status Reporting – Task Order Level

Project status reports at the task order level may be required monthly or quarterly as directed by the COTR. Include the following in the report, unless otherwise directed by the COTR.

1) Cover letter

a) Contract number

b) Task order numbers

c) Project numbers

d) Date of report

e) Period covered

f) Report distribution – to FTA Task Order Manager

g) Percent expended of authorized amount on Task Order No. X

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

i) Time remaining until end date of task order

j) Brief narrative explaining why variances between planned and actual exist in hours or costs

k) Brief narrative describing the benefits the assigned PMOC team has brought to the major capital project being overseen. Approach this description of benefits from a “lessons learned” or lessons to be shared point of view. Consider the measurable goals that the PMOC set forth in its Implementation Plan.

2) Costs and Labor Hours –

a) See Appendix A for sample tables and graphs. Cost and hours utilization information is to be consistent with the monthly invoices.

b) In a table, record task order planned per month, planned to date, actual per month, and actual to date for cost and hours.

c) In one graph show task order cost utilization for planned and actuals to date for the PMOC/subconsultants 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 Project Status Reporting – Contract Level

This report is to be provided at the direction of the COTR. 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,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.

Page A-1

APPENDIX A

MONTH Planned per Month

Planned To Date

Actual per Month

Actual To Date

MONTH Planned per Month

Planned To Date

Actual per Month

Actual To Date

AUG $ 775,000 $ 775,000 $ 700,000 $ 700,000 AUG 3700 3700 3800 3800

SEP $ 850,000 $ 1,625,000 $ 850,000 $ 1,550,000 SEP 4400 8100 4750 8550

OCT $ 950,000 $ 2,575,000 $ 900,000 $ 2,450,000 OCT 5500 13600 5500 14050

NOV $ 1,025,000 $ 3,600,000 $ 950,000 $ 3,400,000 NOV 6000 19600 7200 21250

DEC $ 1,185,000 $ 4,785,000 $ 1,050,000 $ 4,450,000 DEC 7000 26600 7900 29150

JAN $ 1,500,000 $ 6,285,000 JAN 8000 34600

FEB $ 1,750,000 $ 8,035,000 FEB 9000 43600

MAR $ 2,000,000 $ 10,035,000 MAR 10000 53600

APR $ 2,250,000 $ 12,285,000 APR 11000 64600

MAY $ 2,000,000 $ 14,285,000 MAY 10000 74600

JUN $ - JUN

JUL $ - JUL

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

COST HOURS

Tables should incorporate full period of performance for the Task Order.

TASK ORDER COST AND HOURS UTILIZATION

Page A-2

APPENDIX A

Note: Graph should be scaled to incorporate full period of performance for the Task Order Aug Sep Oct Nov Dec Jan Feb Mar Apr May

Total Planned 775,000 850,000 950,000 1,025,000 1,185,000 1,500,000 1,750,000 2,000,000 2,250,000 2,000,000 Total Actual 700,000 850,000 900,000 950,000 1,050,000 S/SDBC Planne 85,000 125,000 150,000 175,000 202,500 275,000 350,000 425,000 575,000 S/SDBC Actual 100,000 115,000 125,000 155,000 177,000

PMOC Name, TO No. ___, Grantee Name and Location, Project Name

TASK ORDER COST UTILIZATION

$0

$500,000

$1,000,000

$1,500,000

$2,000,000

$2,500,000

Aug Sep Oct Nov Dec Jan Feb Mar Apr

Month, Year

C os t

Total Planned

Total Actual

S/SDBC Planned

S/SDBC Actual

Note: Graph should be scaled to incorporate full period of performance for the Task Order Aug Sep Oct Nov Dec Jan Feb Mar Apr May

Total Planned 3700 4400 5500 6000 7000 8000 9000 10000 11000 10000 Total Actual 3800 4750 5500 7200 7900 S/SDBC Planne 600 700 900 1100 1350 1500 1850 2100 2400 2100 S/SDBC Actual 500 600 800 900 1180

PMOC Name, TO No. ___, Grantee Name and Location, Project Name

TASK ORDER HOURS UTILIZATION

10000

12000

Aug Sep Oct Nov Dec Jan Feb Mar Apr May

Month, Year

H ou rs

Total Planned Total Actual S/SDBC Planned S/SDBC Actual

OP 3 Special Tasks

U.S. DOT Federal Transit Administration

Oversight Procedure 03 – Special Tasks

1.0 PURPOSE

The purpose of this Oversight Procedure is to describe the performance and deliverables expected by Federal Transit Administration (FTA) from the Project Management Oversight Contractor (PMOC) for special tasks that may be required by FTA in addition to the project management and technical review services performed under other Project Management Oversight Procedures (OPs).

2.0 BACKGROUND

FTA may occasionally issue work orders to one or more PMOCs to perform special tasks for both program-wide and project-related activities. In the past special tasks assigned to PMOCs have included the development of technical papers in support of FTA’s risk management program, study of factors leading to project cost increases on major capital projects, updates to the project management oversight procedures, etc.

3.0 OBJECTIVES

Utilizing the PMOCs’ professional expertise in both program-wide and project-specific ways should advance the…