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

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US DOT Federal Transit Administration TPM-20 Office of Engineering Project Management Oversight Oversight Procedure OP-35 Project Contingency and Contract Packaging Review _____________________________________________________________________________________ 1.0 PURPOSE To support FTA programmatic decisions as to the adequacy of Project Contingencies and third party contractual risk allocations and the soundness of Grantee management decisions regarding the development of risk allocations and usage of contingencies. To obtain the Project Management Oversight Contractor’s (PMOC) products that identify, characterize and analyze project contingency availability, status and forecasts for critical project scope milestones relative to that expected under forecasted conditions and sound engineering practices. The OP‐35 products support FTA’s programmatic goals for ensuring that Grantee management processes include a thorough understanding and implementation of risk informed, fundamentally sound project strategies. 2.0 BACKGROUND The role of theOP‐35 product is to identify, characterize and precisely describe critical elements of responses to project risk, including establishment of project cost and schedule contingencies, and contractual risk allocations. These products complement other risk information products, especially including those in OP‐40. These procedures are to be applied in consideration of project cost and schedule as well as other technical parameters such as service reliability. OP‐35 deliverables are intended to be fully sufficient to evaluate the adequacy, effectiveness, and efficiency of the Grantee’s management of contingency and contract packaging at any point during project implementation. 2.1.1 Cost and Schedule Contingency FTA has developed a significant amount of program experience to offer guidance to PMOCs and Grantees as to establishing various forms of contingency. In addition, studies such as TCRP’s 2005 report on “Managing Capital Costs of Major Federally Funded Public Transportation Projects” have evaluated cost and schedule variances on transit projects. These TCRP parameters were used to develop the requirements for the OP‐35 products. 2.1.2 Contractual Risk Allocation The Grantee’s choice of project delivery method and contracting strategy is integral to the Grantee’s Project Management Plan. This plan should demonstrate the Grantee’s technical approach and trade‐off analyses to obtaining the optimum allocation of risk that will achieve the preferred balance of project goals, including lowest overall project cost. FTA’s Project and Construction Management Guidelines note that risk should be considered in OP 35 Project Contingency and Contract Package Review Revision 0, June 2008 Page 1 of 10
selection of project delivery method, such that the likelihood of success is optimized. A companion operational procedure, OP‐40, additionally contains provisions designed to discover, analyze, and suggest approaches toward project delivery methods and contracting strategies that will ultimately assist in the delivering the most successful project. The fundamental principles involved in the OP‐35 contractual risk review is that risks should be allocated among the parties in proportion to their ability to manage the risks and absorb the consequences; that any transfer of risk to a third party is done so on an equitable basis of compensation given for risk accepted; and that risk remaining with the Grantee is fully recognized and an effective risk response plan has been developed. The Grantee’s project delivery methods and contracting plans, including its proposed terms and Conditions, should offer a holistic approach to ensuring that all forms of third party compensation, especially non‐competitive, negotiated compensation, is aligned with the principles above and actively supports successful implementation of the project. 3.0 OBJECTIVES FTA’s programmatic objective in the delivery of OP‐35 products is to obtain the PMOC’s recommendations as to the minimum contingency balances required to ensure completion of the Federally assisted project, as well as obtain characterizations and recommendations of contractually‐allocated risks. These products deliver inputs critical to the development of OP‐40 project strategy products that in turn support FTA’s achievement of its enterprise objectives. 4.0 REFERENCES The statutes, regulations, policies, guidance documents and circulars in OP 01 Administrative Conditions and Requirements apply. 5.0 PROJECT SPONSOR SUBMITTALS The PMOC shall obtain appropriate documentation to adequately investigate the project and complete the work described herein; such documentation may include the Project Cost Estimate, FFGA Baseline Cost Estimate (BCE) line items, project schedules, management plans, contracting plans, and other documentation as required. 6.0 SCOPE OF WORK Subject to the issuance of individual work orders, FTA may require the PMOC to perform the following subtasks as part of the products or services delivered under this guidance. Such work orders may reconfigure parts of the subtask deliverables, add sub deliverables, or otherwise accommodate development of project strategies inclusive of contingency management baselines, periodic reviews or “refreshments”, specialized quantitative capacity modeling or assessments, surveillance reporting and trends analyses. The requirement for contingency in the Grantee project may change as project implementation proceeds and information becomes available. Therefore, throughout the project lifetime, such work OP 35 Project Contingency and Contract Package Review Revision 0, June 2008 Page 2 of 10
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CLIN# OP# FTA Oversight Procedures
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5.0 GRANTEE SUBMITTALS NA 6.0 SCOPE
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6.1.2 Task Orders FTA headquarters
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and communications systems; fare co
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7.1 Format Avoid repetition in the
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APPENDIX B Sample Task Order ______
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APPENDIX D Sample Proposal Format _
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U.S. DOT Federal Transit Administra
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Management controls are the organiz
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5. Act in a manner consistent with
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5) Introduction to PMOC scope of wo
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7.3 Project Status Reporting - Cont
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Cost $2,500,000 $2,000,000 $1,500,0
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• Legislators, legislative staff
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4.2 FTA Circulars • C5010.1C, Gra
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v) develop and implement a force ac
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4.0 REFERENCES The following are th
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o PMOC’s opinion of situations an
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The report formatting requirements
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APPENDIX A Sample - Lessons Learned
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• Recipients with major capital p
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follow, have different names for si
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documents referenced in the SSMP to
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(2) The effectiveness of the proces
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For recipients with projects affect
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APPENDIX A: SSMP REVIEW CHECKLIST -
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App. No. Checklist Item Plan Requir
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APPENDIX B: LIST OF SUGGESTED DOCUM
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DOCUMENT (Title and acronym; R sign
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DOCUMENT (Title and acronym; R sign
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APPENDIX D: SAMPLE INTERVIEW QUESTI
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APPENDIX E: SSMP REVIEW CHECKLIST -
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Note: SSMP Element Compliant with D
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SSMP Element Compliant with DRAFT G
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APPENDIX F: DISCUSSION OF CONTENTS
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candidates for the committee so tha
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US DOT Federal Transit Administrati
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the time. During preliminary engine
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• Plans - who prepares, who can m
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U.S. Department of Transportation F
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• Serve as a resource by lending
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c. Peak Vehicle Requirement include
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3 PMOC review of Grantee’s Operat
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Requirement PMOC Review Comments 5C
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waiver is requested are not produce
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(5) To provide PMOCs with recommend
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4.1.2 Pre-Award Purchaser’s Requi
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5.0 PMOC REVIEW OF PROJECT SPONSOR
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• If no, examine contract files,
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6.3.2 Corrective Action: The Grante
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8.0 APPENDICES 8.1 Sample Review Ce
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comply? 5.3.1.5 Are the vehicle bod
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US DOT Federal Transit Administrati
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including: the applicability of Fed
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• Each document addresses the int
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APPENDIX A: CHECKLIST OP Section Is
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orders: 5.6.2.1 Is PDR consistent w
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design-to-budget approach that main
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15) Step the project forward using
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2.2 The New Starts Process New Star
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3.0 OBJECTIVES During the initial e
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Page 158 and 159: provisions) to make detailed design
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Page 162 and 163: APPENDIX A Scope Review Checklist E
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Page 170 and 171: It is important to select a project
Page 172 and 173: 6.2 Preliminary Document Review Upo
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Page 176 and 177: o Level 4: Subdivide Level 3 as fol
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Page 180 and 181: APPENDIX B Cost Estimate Review Che
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Page 186 and 187: This sample of 118 cost items was s
Page 188 and 189: consistently accurate. In addition,
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Page 196 and 197: APPENDICES PROJECT COST ESTIMATE ([
Page 198 and 199: EXHIBIT D-1: PROJECT COST ESTIMATE
Page 200 and 201: 3.0 OBJECTIVES FTA’s objective is
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Page 218 and 219: Construction Risk is subdivided int
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Page 240 and 241: APPENDIX B OP 41 ADA Review - Level
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(3) Appropriateness of the proposed
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7) Project Schedule The PMOC should
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2) The Grantee’s program for adva
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2. Identify all apparent discrepanc
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• The PMOC shall assess whether t
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to FD phase of the project, should
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Table 1, continued: Expected Attrib
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• Real Estate Acquisition Managem
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performed Quality assurance records
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plan that ensures the necessary qua
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5.3 Systems/Facilities Integration
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6.2 Successful completion and recor
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