J-10_Attachment___Oversight_Procedures_FY_2014.pdf

FOR FTA INTERNAL USE ONLY OP 1 Administrative Conditions and Requirements

September 2013

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

Oversight Procedure 01 – Administrative Conditions and Requirements

1.0 PURPOSE

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

2.0 BACKGROUND

As part of its responsibility to prudently use public funds, FTA performs project oversight to ensure that major capital transit projects are executed professionally, efficiently, and in conformance with applicable statutes, regulations, and guidance, and sound engineering and project management practices.

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

3.0 OBJECTIVES

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

4.0 REFERENCES

See Appendix A for the principal, but by no means the only, references to Federal legislation, regulation and guidance with which the PMOC should have a good understanding as related to the project sponsor’s project work and the oversight function.

5.0 PROJECT SPONSOR SUBMITTALS - NA

6.0 SCOPE OF WORK

6.1 General Administrative Requirements and Documents

6.1.1 Contracts

Every five years, FTA issues a request for proposals for project management oversight services for its major capital projects. A group of firms is selected for award of indefinite-delivery indefinite-quantity contracts for oversight services, over a period of five years, for a not-to-exceed contract amount.

Specific assignments for oversight work are negotiated with individual firms and are authorized through task orders, and within task orders, through work orders. A PMOC may be issued one or more task orders under its contract.

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

CLIN 0001 CONTRACT AND PROGRAM SUPPORT

CLIN 0002 PROJECT MANAGEMENT REVIEW SERVICES

CLIN 0003 TECHNICAL REVIEW SERVICES

CLIN 0004 OTHER REPORTS, REVIEWS, AND PLANS

CLIN 0005 OTHER DIRECT COSTS

CLIN 0001 CONTRACT AND PROGRAM SUPPORT covers services that are required by FTA in support of the PMOC’s contract, the PMO program, and special tasks including technical assistance to project sponsors.

0001A Special Tasks

CLIN 0002 PROJECT MANAGEMENT REVIEW SERVICES covers services that typically are required at intervals. These review services are normally specified and managed by FTA regional staff.

0002A Project Management Reviews (Project Management Plan Reviews, Project Sponsor Management Capacity and Capability Reviews, Safety Security Management Plan Reviews, Real Estate Reviews, Quality Assurance/Quality Control Program Reviews, etc.)

0002B On-site Monitoring and Reporting (Recurring Oversight and Related Reports), CLIN 0003 TECHNICAL REVIEW SERVICES covers oversight reviews and analyses of project scope, schedule, cost, risk and contingency, as well as other scope reviews, vehicle reviews and readiness reviews. These services are normally specified and managed by FTA headquarters staff.

0003A Scope, Cost, Schedule Characterization Reviews (Value Engineering Review; Project Transit Capacity Review; NEPA and Design Document Comparative Review; Project Scope Review; Project Delivery Method Review; Capital Cost Estimate Review;

Project Schedule Review; Americans with Disabilities Act Review; Buy America Review)

0003B Vehicles Reviews (Fleet Management Plan Review; Bus and Rail Vehicle Technical Review)

0003C Risk and Contingency Reviews

0003D Readiness Reviews (Readiness to Enter Engineering; Readiness to Execute/Amend FFGA; Readiness to Procure Construction Work; Readiness for Revenue Operations;

Letter of No Prejudice Review)

0003E Small Starts Reviews

0003F Special Project Reviews

CLIN 0004 OTHER REPORTS, REVIEWS, AND PLANS

0004A Implementation Plans and Transition Plans, PMOC Status Reporting, Lessons Learned Reports, Before and After Study Reviews, and Annual New Starts Reviews

CLIN 0005 OTHER DIRECT COSTS (primarily travel expenses)

6.1.2 Roles and Responsibilities

The project sponsor is fully responsible for development and implementation of the capital transit project. The project sponsor is responsible for planning, design, and bidding the contract documents, supervising, administering, inspecting and accepting construction, and performing testing and start up.

FTA administers grants and loans to State and local public bodies, and in public-private partnerships to private entities, to acquire, construct, and reconstruct transit facilities. As a steward of public funds, FTA provides oversight to ensure that FTA-funded transit projects are implemented responsibly – that scope, schedule and cost are in balance and the project design and construction conform to statutes, regulations, guidance, etc.

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

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

Apart from oversight, FTA and the PMOCs occasionally provide technical assistance to project sponsors. Such assistance may include providing information and instruction in project management and project analysis practices, and sharing technical expertise in transit project design and construction. In the course of performing oversight, the PMOCs must bring to FTA’s attention the occasions when the project sponsor could benefit from technical assistance. FTA will issue direction to the PMOC through the work 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 starting prior to Engineering, and the Full Funding Grant Agreement (FFGA) or prior to the Small Starts Grant Agreement (SSGA), into construction, substantial completion, testing, start-up, and revenue service. As a general rule, recurring oversight (periodic and quarterly) is conducted by TROs; whereas, reviews for scope, schedule, cost, contingency and risk, etc. are usually initiated by TPM. TPM and TRO, along with the FTA Office of Procurement, administer the PMOC contracts, task orders and work orders.

The PMOCs’ primary FTA points of contact are FTA’s Alternate Contracting Officer Representatives (ACOR) and Work Order Managers from TRO or TPM. The primary staff person in the FTA Office of Procurement is the Contracting Officer (CO). The Contracting Officer’s Representative (COR) for the PMO program is part of TPM. The Alternate COR assumes the duties of the COR in his or her absence. ACORs were previously referred to as FTA “Task Order Managers.”

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

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

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

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

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

The PMOCs’ main responsibilities include:

• Investigating project conditions and core documents; visiting project sites; reviewing pertinent documents; performing interviews; all in sufficient detail as to become familiar with the proposed project goals, site conditions, design criteria, operations plans, drawings and specifications, value engineering studies, peer and constructability reviews, schedules, cost estimates, risks, bid packages and contracts, construction progress, methodology for resolving changes and claims, and conducting project closeout;

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

• Identifying problems and uncertainties in a timely manner;

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

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

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

• Providing supporting reports and presentations to the FTA;

• Engaging in other duties and responsibilities as requested by FTA.

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

1) Communications

a) Develop and regularly maintain contact throughout a project sponsor’s organization with key personnel in planning, design and construction departments as well as operations, operations planning, procurement, legal, budgeting and real estate; and avoid relying on only one source for information;

b) Develop and regularly maintain contact with FTA ACORs 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 project sponsor;

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

f) Provide informal communication to the project sponsor on the results of PMOCs’ reviews and analysis after approval from 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.

2) Oversight assessments, recommendations, reporting

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

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

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

d) Specifically cost-related

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

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

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

As PMOC products are delivered to the FTA, it is the responsibility of the FTA Work Order Manager to evaluate the deliverables against the criteria set forth in the Acceptable Quality Level (AQL) tables associated with each OP. The FTA Work Order Manager should maintain a copy of the completed assessment of the PMOC’s deliverables for ongoing discussions with the PMOC and for future reference during the formal contractor’s performance evaluation period. Copies of the completed assessments shall be made available to the headquarters’ COR upon request. PMOC performance is formally evaluated on an annual basis; however, expect that the FTA Work Order Manager will provide the PMOC with informal feedback on the firm’s performance no less than once every three months. The evaluation system used is the federal government’s Contractor Performance Assessment Reporting System (CPARS) – a web-based system administered by the Department of the Navy located at http://www.cpars.gov. CPARS transmits the final evaluations to the Past Performance Information Retrieval System (PPIRS), a multi-federal agency repository of past performance assessments.

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

6.1.3 Task Orders

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

The FTA 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 PMOCs as a request for 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.

The not-to-exceed value of most Task Orders will be under $5 million. For these Task Orders, TPM- 20 (Office of Capital Project Management) will develop a short list of three PMOCs based on responses in the request for proposal, conflict of interest matrix, interviews, and experience and capacity to undertake the work. After the PMOCs submit cost proposals and supplementary plans, FTA Regional and Headquarters staff reviews the materials and make a selection. The COR then issues the Task Order to the PMOC.

For Task Orders with a value of over $5 million, the FTA Procurement Office issues to all PMOCs having no conflict of interest, the schedule and scope of work as a request for cost proposal. After the PMOCs submit cost proposals and supplementary plans, the FTA Procurement Office, with the assistance of the Regional and Headquarters staff, reviews the materials and makes a selection. The CO then issues the Task Order to the PMOC.

http://www.cpars.gov/

In the interest of economy and efficiency, follow-up Task Orders will typically be issued to the PMOC holding the initial Task Order for oversight of a particular project sponsor’s projects. However, if the performance of the PMOC is unsatisfactory, or if introducing competition is deemed in the best interest of the government, FTA will follow the processes above for issuing a new Task Order under or over $5 million, as necessary.

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

Activities performed under Task Orders will be authorized through 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 detailed, for example, covering specific reviews (such as project sponsor management capacity and capability, scope, schedule, cost, and risk). When services are performed, the PMOC should bill by Work Order for labor hours and expenses.

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

6.1.4 Work Orders

A Work Order is issued under an existing Task Order. The cost of the Work Order is included in the total authorized Task Order amount. The FTA Work Order Manager, supported by the FTA ACOR, other FTA staff and the PMOC (if requested to participate by FTA) formulates and documents the scope of work in the format shown in Appendix B and develops an IGE in the format shown in Appendix D. The Work Order will describe the work to be performed and it may refer to certain OPs or parts of OPs to guide the performance of the work. It will include a not-to-exceed cost and a defined schedule. The Work Order will also refer to applicable CLINs.

After internal approval of the draft Work Order and IGE by the FTA, the COR requests a cost proposal from the PMOC. Within five (5) business days of receipt, the PMOC should submit its cost proposal using the formats in Appendices D and E, adjusting them as required to fit the scope of work.

The Task and Work Order Managers then review the proposal and submit comments to the COR. If the proposal is accepted, the COR will authorize the PMOC to proceed. If the proposal is not accepted, the COR, ACOR, and Work Order Managers collectively negotiate with the PMOC to achieve a resolution to accept, modify, or reject the proposal.

Invoices should be in the format described in Section G.10 and G.11 of the contract, and shall include the worksheets provided in Appendix E. Invoices should be submitted to the Task and Work Order Managers. The COR should be emailed a PDF copy of each invoice submitted. The cost of each Work Order must be tracked separately in invoices with a breakdown by SubCLIN. See Appendix F for an OP-CLIN list. Work Order Implementation Plans may be called for by FTA for Work Orders that cover large or complex scopes of work, or for oversight activities for which there is no associated SubCLIN.

If a PMOC fails to meet the desired outcomes of a given Work Order, the PMOC may be required to rework the deliverable. If a rework is required by FTA, the PMOC will perform such additional work at cost without fee.

7.0 REPORTING, PRESENTATIONS, RECONCILIATION

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

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

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

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

7.1 Format for Reports

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

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

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

3) Table of Contents

4) Body of Report – By topic

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

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

5) Appendix

a) Acronyms used

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

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

OP 01 Administrative Conditions and Requirements

Page A-1

Oversight Procedure 01 – Administrative Conditions and Requirements

APPENDIX CONTENTS

Appendix A References

Appendix B Work Order Sample

Appendix C Work Order Cost Proposal Summary Page Sample

Appendix D Work Order Cost Breakdown Sample

Appendix E Invoice Format Sample

Appendix F OP-CLIN List

Appendix G Report Cover Page Sample

Page A-2

APPENDIX A

References

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

Legislative

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

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

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

Regulations

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

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

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

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

• C.F.R. Part 771

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

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

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

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

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

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

Guidance

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

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

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

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

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

• Best Practices Procurement Manual, FTA, 2001 o http://www.fta.dot.gov/documents/BPPM_fulltext.pdf http://www.fta.dot.gov/documents/17-Master.

http://www.fta.dot.gov/ http://www.fta.dot.gov/images/gftfp.pdf http://www.fta.dot.gov/planning/newstarts/planning_environment_218.html http://www.fta.dot.gov/planning/newstarts/planning_environment_213.html http://www.fta.dot.gov/documents/FTA_Report_No._0015.pdf http://www.fta.dot.gov/documents/BPPM_fulltext.pdf

Page B-1

APPENDIX B

Work Order Sample

Federal Transit Administration

WORK ORDER No. ___

Date:

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

PMOC: Firm name

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

Contract No.: DTFT__________ Task Order No.: _____________, Project No. __________ Work Order: Managed by (FTA Region) or (FTA Headquarters) – select one FTA ACOR: name, phone, email FTA Work Order Manager: name, phone, email

BACKGROUND: Provide history and references, etc. to set context for the work.

SCOPE: Insert a description of the scope of work;

Refer to specific FTA Oversight Procedures, CLIN Nos.

SCHEDULE: Indicate work order duration, period of performance, milestones, due dates

COST: $________ Labor

$________ Expenses $________ Total Not-to-Exceed

This is being issued under COR authority.

Services performed or products delivered under this work order are billable by work order and CLIN. Under no circumstances is the PMOC authorized to incur costs in excess of the amount above without prior authorization from the COR.

Page C-1

APPENDIX C

Work Order Cost Proposal Summary Page Sample

COST PROPOSAL TO FTA

Date:

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

PMOC: Firm name

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

Contract No.: DTFT________ Task Order No.: _____________, Project No. __________, Work Order No. ________ Task Order: Managed by (FTA Region) or (FTA Headquarters) FTA ACOR: name, phone, email FTA Work Order Manager: name, phone, email

BACKGROUND: Important history, references, etc. to set context for the work.

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

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

COST: $________ Labor

$________ Expenses $________ Total Not-to-Exceed (The PMOC agrees to notify the FTA Work Order Manager as soon as the PMOC becomes aware of the possibility of an overrun of the not-to-exceed amount.)

Provide cost proposal breakdown using format in Appendix D.

APPENDIX D

Work Order Cost Breakdown Sample

Page D-1

COST BREAKDOWN Revised 09/29/09 NOTE: This format can be used for Work Order cost proposals, invoices, and independent government estimates.

Contractor: XYZ Co.

Date: 10/7/2009 Task Order: 1 Work Order: 1 WO Description: Sample Project

G&A Applies to PMOC labor only; does not apply to PMOC overhead or fee, subcontractor costs, or expenses. 5.00%

Overhead PRIME OVERHEAD RATE 130.00% Fee Applies to PMOC labor, PMOC overhead, and G & A only. 8.00%

SUB CLIN Number and Name PERSONNEL

H O

U R

S

H O

U R

LY

A

TE

LA

B

O

G

PR

IM

E O

VE

R

H E

D

O

VE

R H

E A

D

G

Fe e on

O

H

G

T

TA

L w ith

F ee

Small Business Sub-contracting

Participation G-15

1A Special Tasks

Name, Firm, Title per contract 20.0 $85.00 $1,700 $85 $2,210 $3,995 $320

Name, Firm, Title per contract 40.0 $75.00 $3,000 $150 $3,900 $7,050 $564 Name, Firm, Title per contract 10.0 $30.00 $300 $15 $390 $705 $56 Prime Totals 70.0 $5,000 $11,750 $940 $12,690 Sub 1 - Name, Title 30.0 Sub 1 - Name, Title 20.0 Sub 2 - Name, Title 40.0 Subcontractor Totals 90.0 $11,433

Total for this Product $24,123

2B On-Site Monitoring and

Reporting

Name, Firm, Title per contract 20.0 $85.00 $1,700 $85 $2,210 $3,995 $320

Name, Firm, Title per contract 40.0 $75.00 $3,000 $150 $3,900 $7,050 $564 Name, Firm, Title per contract 10.0 $30.00 $300 $15 $390 $705 $56 Prime Totals 70.0 $5,000 $11,750 $940 $12,690 Sub 1 - Name, Title 40.0 Sub 2 - Name, Title 30.0 Sub 2 - Name, Title 20.0 Subcontractor Totals 90.0 $13,504

Total for this Product $26,194

5A Travel

Expense city 1 -city 2

Staff 2 Trips at $1,000 $2,000 Subcontractor 2 Trips at $1,000 $2,000 city 3 -city 2

Staff 2 Trips at $2,000 $4,000 Subcontractor 2 Trips at $2,000 $4,000

Total Travel Expenses $12,000 5A

Other Direct Exp

Staff printing, phone charges $500 Subcontractor printing, phone charges $200

Total Other Direct Expenses $700 % SB Participation

Total Proposed $95,818 Note: Additional SubCLINs included in the Total Proposed Amount are not shown here as this sheet is for demonstration purposes.

Page E-1

APPENDIX E

Invoice Format Sample

Task Order

Number

Work Order

Number

Hours Billed this Invoice

1 625

2 100

3 175

INVOICE OVERVIEW

Contractor: XYZ Co.

Taxpayer I.D. Number: 2339408

Address: 2304 Maple St. San Francisco, CA 900…

Invoice Contact: J. Smith, 415-999-9999, jsmith@xyz.net

Bank info for deposit: Citibank account……324999999

FTA CO: J.W. Brown

PMO CONTRACT No.: DTFT60-04-D-0000X

Invoice period of performance: March 1 – March 31, 2008

FTA COR: A. B. Kim

Invoice Date:

Invoice No. 12

04/05/14

Task Order Description Project Number Task Order Expiration Date

Initial / Date Invoice

Approved FTA Task Order Manager

Perris Valley (Regional) DC-03-XXXX 2/13/2013 M. Jones

Perris Valley - Readiness Reviews M. Davis $5,000

Work Order Description Initial / Date

Invoice Approved

Perris Valley - On-site Monitoring / Reporting M. Davis $94,264

NOTE: Invoice Overview Format Applies to both Headquarter's and Regional Task Orders

FTA Work Order Manager

Billed this Invoice

Total Billed This Period $149,264

Perris Valley - Special Tasks C. Lewis $50,000

Page E-2

Contractor

Invoice No.:

Invoice Date: 04/05/14

Task Order Number

Task Order Description

Task Order Hours Not-to-Exceed

Authorized

Task Order Funded to Date

Task Order Hours to Date

Work Order Authorized to

Date

Work Order Hours

Authorized to Date

Work Order Dollars Billed to Date

Work Order Hours Billed to

Date

Hours Balance Available

Perris Valley (Regional) 56400 $650,000 43000 $420,000 2100 $359,264 1475 40900

SB SB SB

Billed Previously

Billed this Period

Billed to Date

1 Perris Valley - On-site Monitoring / Reporting 1000 $80,000 275 $94,264 625 $174,264 900 $25,736 100 87% 90% $16,000 $4,900 $20,900

2 Perris Valley - Readiness Reviews 800 $120,000 200 $5,000 100 $125,000 300 $35,000 500 78% 38% $30,000 $500 $30,500

3 Perris Valley - Special Tasks 300 $10,000 100 $50,000 175 $60,000 275 $0 25 100% 92% $2,000 $10,000 $12,000

2100 $210,000 575 $149,264 900 $359,264 1475 $60,736 625 86% 70% $48,000 $15,400 $63,400

Dollars Billed This Period

Total $420,000

$200,000

$160,000

$60,000

Funds Billed

To Date

Hours Billed Previously

Not-to-Exceed Hours Authorized

Work Order Number

Work Order Description

23%

Total Dollars Billed to Date

Not-to-Exceed Dollars Authorized

Fund Balance

Remaining

Hours Billed This Period

Total Hours Billed to Date

Fund Balance

Remaining

Hours Billed To Date (%)

Dollars Billed Previously

INVOICE BREAKDOWN

XYZ Co.

Billed to Date$1,000,000 $230,000

Task Order Dollars Not-to- Exceed Authorized Funded Balance Available Small Business Sub-Contracting

Participation

Page E-3

Note: Additional SubCLINs included in the Total Billed Amount are not shown here as this sheet is for demonstration purposes.

Page E-4

Page E-5

Page F-1

APPENDIX F

OP-CLIN List

Page G-1

APPENDIX G

Report Cover Page Sample

CAPITAL COST ESTIMATE REVIEW

Great City Light Rail Subway Project Great City Transportation Authority

Region or City, State

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

PMOC Contract Number: DTFT__-__-_-_____ Task Order Number: ____________, Project Number: ________, Work Order No.______ 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

FOR FTA INTERNAL USE ONLY OP 02 PMOC Implementation, Transition Plans, and PMOC Status Reporting

U.S. DOT Federal Transit Administration

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) with regard to two types of administrative tasks:

Implementation / Transition Plans and PMOC Status Reports.

2.0 BACKGROUND

2.1 PMOC Implementation and Transition Plans

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

2.2 PMOC Status Reports

FTA requires PMOCs to manage the activities and related costs and hours spent in the course of 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 is able to monitor its entire oversight program.

3.0 OBJECTIVES

3.1 Implementation and Transition Plans

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

3.2 PMOC Status Reports

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

4.0 REFERENCES

• OP 01 – Administrative Conditions and Requirements

• OP 25 – Recurring Oversight and Related Reports

5.0 PROJECT SPONSOR’S SUBMITTALS – N/A

6.0 SCOPE OF WORK

6.1 PMOC Implementation Plan / Transition Plan

6.1.1 Implementation Plan

After FTA awards a Task Order, the PMOC responds to the assigned scope of work and schedule and develops an Implementation Plan. This plan, the PMOC’s recommended course of oversight action, is submitted for FTA review, comment and approval. An Implementation Plan may be required for a Work Order as well if the work is to be performed over many months, the work is particularly complex, or if FTA is concerned about the PMOC’s technical approach, staffing, schedule, etc.

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

It should also demonstrate the PMOC’s readiness to perform such oversight activities in a manner that meets FTA’s requirements. The Implementation Plan shall be provided upon request of the Contracting Officer’s Representative (COR) or Alternate Contracting Officer’s Representative (ACOR), previously referred to as the “FTA Task Order Manager”. It should include an integrated schedule for the work (services and deliverables) and a plan to report progress against that integrated schedule. After approval by FTA, unless otherwise directed by the ACOR, PMOC services, products and outcomes should be performed in conformance with the Implementation Plan.

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

The elements of the plans are described in Section 7 and Appendix B. Examples of charts and graphs are shown in Appendix B.

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 interest to replace or supplement a PMOC. Transition reports and plans may be required for Work 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 ACOR or Work Order Manager 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; for example, arranging for the incoming PMOC to be introduced to FTA, the outgoing PMOC, and the project sponsor’s staff and consultant team; giving the incoming PMOC a project tour and familiarizing the PMOC with project documents and FTA administrative matters such as invoicing and performance evaluations; arranging for the outgoing PMOC to orient the incoming PMOC to the project, its characteristics, major project issues, baseline project information, and FTA’s expectations.

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

The incoming PMOC shall perform services as follows:

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

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

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

a) The latest baseline documents (Project Development, Engineering, or FFGA) and all amendments, application materials, letters of no prejudice, etc.

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

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

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

e) Other documents recommended by FTA and outgoing PMOC

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

c) Maintain traceability until otherwise directed by the ACOR 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.

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

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

6.1.3 Schedule for Implementation and Transition Plans

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

Calendar Days after Request by FTA

1) Implementation Plans and Transition Plans (incoming PMOC)

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 of Implementation Plan* Jan. 30 of each year

2) Transition Reports by Outgoing PMOC

a) Production of requested project information/documentation 15

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

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

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

e) Final participation in meetings, conference calls 60

*When requested by the ACOR, annual resubmittals will be required for any plan that has been in effect for more than 90 days.

6.2 PMOC Status Reports

The PMOC shall submit PMOC Status Reports which set forth monthly and cumulative: (1) direct labor hours by categories as set forth in the task order, including subcontract hours; and (2) elements of cost by direct loaded dollars, subcontracts, and other direct costs, etc. that have been incurred and/or committed. The PMOC Status Reports shall be provided by the 15th of each month. Proprietary rate information should not be discussed in the status reports. The costs that have been committed, but are unpaid to date, will be noted in the status reports. Where the burn rate and cumulative amounts on the monthly reports differ from those anticipated at task order award the Contractor 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 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

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

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

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

The PMOC Status Reports typically incorporate task order level information; however, on occasion FTA may require a PMOC Status Report containing contract or work order level information.

PMOC Status Reports are for FTA staff use only. This only includes the Contracting Officer, COR, ACOR, Work Order Manager, and Headquarters Project Engineer.

7.0 REPORTS, PRESENTATION, RECONCILIATION

The PMOC shall provide reports to FTA as required by Work Order, following this OP for content and OP 01, Administrative Conditions and Requirements, for the report format and OP 25, Recurring Oversight and Related Reports, for the submittal timeframes. When necessary, the 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 - Body of Report

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

2) Table of proposed work program elements including tasks, schedule, staffing, labor hours for staff and subcontractors, hourly rates, expenses, and total cost. The total cost should be consistent with the Task Order (or Work Order) and reflect the requirements of the OPs.

Using Microsoft Project, incorporate this information into a schedule of project phases, years, months, milestones, etc.

3) Description of Approaches and Procedures

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

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

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

iii) Description of approach to provide proactive oversight, technical assistance, professional opinions

iv) Indicate frequency of communicating with FTA and project sponsor, how this work will be coordinated and reported, both formally and informally. An example of a statement follows: “The PMOC’s written communication documents will be submitted to FTA’s assigned Work Order Manager who will distribute the documents within FTA as appropriate, collect FTA comments, request the PMOC to make modifications to the documents, and authorize distribution of the documents to the project sponsor. Informal verbal communication will occur directly between the PMOC and the project sponsor staff, at various levels; however, the FTA Work Order Manager will be made aware of the general nature of and any material specifics developed during these communications.”

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

i) Identify the contract type and terms for all the tasks in the task order and identify relevant compensation sublimits or fixed price work;

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

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

iv) Describe how invoices are generated and on what periodic basis (e.g., monthly);

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

vi) Describe how Subcontractor invoices are recorded (e.