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

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Design‐Build or CM‐GC), the project should have sufficient schedule contingency available to absorb a schedule delay equivalent to 20% of the duration from Entry into FD through Revenue Operations. 6.2.2 Schedule Contingency Curve 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. 6.3 Contract Packaging Review The PMOC shall fully identify, describe, and analyze the Grantee’s individual contract packages and anticipated or actual pricing/compensation components inclusive of overheads, contingency and “contingency like” components, and any negotiated profit/fee values. The PMOC shall assess and evaluate the degree to which such pricing/compensation components are themselves aligned with the Grantee’s project strategy/risk management plan and their effectiveness in terms of minimizing costs (and cost overruns) and schedule (and schedule slippages). 6.3.1 Contract Packaging Strategy The PMOC shall review Grantee’s Project Management Plan and supporting documents to characterize and provide a report of the sufficiency of Grantee’s design and construction procurement and contract packaging strategies. 6.3.2 Contractual Risk Allocation The PMOC shall review the Grantee’s contract packaging strategy to discover proposed or actual allocation of risk between Grantee and third parties, and shall develop a comprehensive schedule of contractual risk assignments, including: • Risks explicitly assigned through contract scoping language, including instances of work assignments where risk consequences are apportioned among several parties, including Grantee; partial apportionment of risk liabilities should be exposed. • Risks implicitly assigned through industry customs, legal precedent, or statutory authority. • Contractually‐established risk mitigation pools, such as contingency of any type, management reserves, undistributed budget, incentive fees, variable profits, etc.; state where such pools are subject to shared savings provisions. • Contractually‐expressed limitations to liability of known risks, as available to any party. • Significant known risks for which no contractual assignment is apparent, especially those for which the Grantee will suffer liability. • Significant insurance provisions that affect the assignment of liability of risk. OP 35 Project Contingency and Contract Package Review Revision 0, June 2008 Page 5 of 10
6.3.3 Contractual Risk Allocation Assessment The PMOC shall identify, assess, and evaluate proposed contractual allocations of risk, and shall comment on the potential cost‐to‐benefit balance and effectiveness of such assignments. Where actual assignments have been made, the PMOC shall evaluate amounts of liability that remain with Grantee, including potential incapability of the third party to sustain its assigned liability if faced with a loss. It is the intent of this assessment to judge whether any contractual risk allocation provides a fair and reasonable trade off against the actual costs of foreseeable risk events, offers the opportunity to reduce total project cost, and does not represent risks which would be more reasonable for the Grantee to retain or accept. Such review comments shall consider the following: • A risk has been assigned to the party most capable of performing the activities necessary to reduce the risk. • The ability of the Grantee or a third party to effectively perform activities necessary to reduce manageable, assigned risks. • The ability of the Grantee or a third party to withstand the consequences of assigned risk liability. • Safeguards in place, such as bonding or insurance, to protect Grantee in the case of failure of a third party to withstand the consequences of contracted risk liability (that is, where Grantee may become unexpectedly liable for previously transferred risk); alternatively, an assessment of risk liability that would remain with Grantee in the case of third party failure. • Instances where the consequence of significant risk is held by a party unable to control the outcome of the risk event. • Instances of significant risks that appear unconsidered in the contract packaging strategy. • Impacts to project costs, especially where costs are increased due to allocation of risk consequences to a third party. • Recommended adjustments to prior‐developed cost and schedule risk models if affected by contractual risk allocations. • The ability of the Grantee’s organization to effectively evaluate the cost‐to‐benefit balance between retaining or contracting significant risks and their consequences. • Instances where the expected value of the contractually assigned risk liability appears unbalanced to the offsetting change in contractual compensation, especially in negotiated situations. This evaluation should include the following: o The degree to which such allocated risks are foreseeable and quantifiable and the OP 35 Project Contingency and Contract Package Review Revision 0, June 2008 Page 6 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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provisions) to make detailed design
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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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