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

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orders may direct the PMOC to reevaluate the use or management of project contingency or contract packaging strategies on a periodic or event driven basis. These OP‐35 procedures are to be developed in concert with and to complement information from several additional operational procedures, especially including OP‐32, OP‐33, OP‐34, and OP‐40. Definitions and data established in those operational procedures are key elements of this OP‐35. 6.1 Project Cost Contingency Review The PMOC shall fully identify, describe, and analyze the adequacy of the grantee’s cost contingencies. These forecasts shall be developed as a synthesis of both a “forward pass” establishment of contingency targets, using historically‐developed parameters; and a “backward pass” establishment of contingencies using project‐specific information. These two approaches shall be used to establish an overall minimum contingency curve, as described below. 6.1.1 Forward Pass Cost Contingency Analysis The PMOC shall develop a “forward pass” set of minimum recommended cost contingency values for each of the following milestones, utilizing the recommended values. If the PMOC believes that the recommendations should be adjusted due to unique project conditions, any such adjustments should be explicitly highlighted and justifications provided. • At Entry into Preliminary Engineering, the working target for total contingency (defined as the aggregate of allocated and unallocated cost contingency, net of allowances and financing) is 30%. • At Entry into Final Design, the working target for total contingency is 20%. • At the award of a FFGA, the working target for total contingency is 15%. • At 90‐100% bid for the Grantee, or 90‐100% subcontracted for the prime contractor in an alternative project delivery method, the working target for total contingency is 10%. • At 50% physically complete for Construction, the working target for total contingency is 5%. 6.1.2 Backward Pass Cost Contingency Analysis The PMOC shall develop a “backward pass” set of recommended cost contingency values that represent the minimum amount of total cost contingency expected to be necessary at Project Milestones (see OP‐40) and as also consistent with forward pass milestones. Total cost contingency includes scope changes or clarifications as well as schedule changes or delays. The PMOC shall develop estimates of minimum total cost contingencies based upon Grantee’s technical capacity, project delivery method management plan, and project strategy (if any). The following considerations shall be made in development of the backward pass contingency values: • At the Revenue Operations Date (ROD), the demand for total cost contingency has been OP 35 Project Contingency and Contract Package Review Revision 0, June 2008 Page 3 of 10
educed to a minimum requirement for scope changes or clarifications and schedule delays or changes. The PMOC shall evaluate the Grantee’s experience and other New Starts projects to identify an amount sufficient to close out punch list work, additional work orders, etc. The working target for this point is 1‐3% total contingency with a relative weighting of 0‐1% for schedule delay costs and the remainder for other costs. • At the point that the project construction procurement is “substantially complete” (90‐100% bid for either prime contracts or 90‐100% subcontracted for Alternative Project Delivery Method), the project is exposed to cost changes in the range of 12%. Schedule delays at this point can average 20% of the construction phase duration, or 4% of project costs, or 16% in aggregate versus 10% as the forward pass working target. • For any delay duration greater than 9 months, the PMOC shall assume 3 months each of demobilization and remobilization with a variable standby period in between. 6.1.3 Cost Contingency Curve The third step is to reconcile the two sets of coincident cost contingency data (forward pass and backward pass) in the range of the project schedule just after award of the FFGA to 50% construction completion, in order to develop contingency minimums for those project milestones. The PMOC shall then develop a cost contingency curve and graphics for reporting and for use as inputs in related products, such as OP-40 and OP-20. 6.2 Project Schedule Contingency Review The PMOC shall fully identify, describe, and analyze the adequacy of the Grantee’s schedule contingencies. The schedule contingency review shall be developed similar in manner to that of the “backward pass” used in the cost contingency review; that is, recommended schedule contingency amounts are developed through consideration of project conditions, accumulating minimum schedule contingencies from the end of the project toward the start of the project. The PMOC shall make recommendations as to what minimum amounts of schedule contingency are recommended for inclusion in the Grantee’s Project Management Plan and supporting schedules. 6.2.1 Schedule Contingency Analysis The PMOC shall “step back” sequentially through various completion milestones for the project and shall estimate the minimum amount of schedule contingency required to complete the project on schedule, in consideration of risks identified through OP‐40 analyses and other potential schedule delays. The schedule contingency recommendations shall be developed using these fundamental assumptions: • At the Revenue Operations Date (ROD), schedule contingency requirements have been reduced to a minimum requirement or possibly eliminated. • At the point of 100% complete with bid (for Design‐Bid‐Build) or 100% subcontracted (for OP 35 Project Contingency and Contract Package Review Revision 0, June 2008 Page 4 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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7.0 REPORT, PRESENTATION, RECONCILI
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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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