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 40 – Risk Assessment and Mitigation Review _____________________________________________________________________________________ 1.0 PURPOSE This Oversight Procedure supports FTA programmatic decisions made under uncertainty in a project delivery environment where transit projects are complex and inherently risky. To obtain FTA Project Management Oversight Contractor (PMOC) produced products that reflect a disciplined process, structured deliverables, individual competency, team functionality and rigor of practice; based upon comprehensive systems analysis with analytical support; repeated periodically as the project advances and new data or information becomes available. 2.0 BACKGROUND The role of the OP‐40 product is to establish a programmatic management baseline for evaluating the reliability of the grantee project cost estimate and schedule and attendant components, given the various elements of uncertainty associated with the effectiveness and efficiency of the grantee’s project implementation, the project scope, and the surrounding project conditions. 3.0 OBJECTIVES These products and services support FTA in making programmatic decisions under uncertainty, for projects using traditional or alternative project delivery methods. 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, and other documentation as required. 6.0 SCOPE OF WORK 6.1 PMOC Oversight Plan The PMOC shall develop, submit or resubmit for review, comment and approval a plan for providing surveillance of the Grantee’s performance in risk management, that defines how such services or products will be accomplished in a manner and quality that meets FTA’s requirements. This OP 40 Risk Assessment and Mitigation Review Revision 0, June 2008 Page 1 of 16
surveillance plan should present an overview of the issues, technical approach, and PMOC’s recommendations or course of action and shall identify sampling approaches and inspection methods as well as timelines for reporting deficiencies in Grantee performance, taking corrective actions and varying the level of surveillance depending on the Grantee’s conformance to the performance standards. The purpose of the PMOC’s surveillance plan is to provide the government with an effective tool to manage PMOC performance and to ensure that the Grantee project implementation achieves risk management objectives and targets. 6.2 Cost Risk The PMOC shall use its professional judgment to identify, assess and evaluate the uncertainties in the Grantee’s cost estimates, in terms of the project’s social, political, legal, financial and physical environment. Such evaluation shall be based on the PMOC’s review of the Grantee’s structure, and the project’s scope, schedule, cost estimates, and delivery process, including prior reviews conducted under other Operational Procedures. Further, the PMOC will document and report its recommendations for responding to identified items of likely risk, including recommendations of adjustment to the Grantee’s Project Management Plan. The process of evaluation of cost risk generally includes at a minimum, identification of potential risk events (6.2.1), and may include, as directed by the FTA work order manager, such additional items as cost and/or schedule risk assessment modeling, risk management oversight, or other specialized services as described below or as required to respond to specific project conditions. 6.2.1 Cost Risk Event Identification 6.2.1.1 Risk Events Risk events are individually identified contingent, or unplanned, events that may occur and which may create a plan variance and may be cause for special management scrutiny or action. Such events, or a combination of such events, do not represent all risk present on a project, and the identification or disposal of risk events may only become possible as the project proceeds through its various phases. Therefore, risk event identification may require periodic updates as a project progresses. 6.2.1.2 Risk Categories Risk shall be characterized as belonging to any of the following categories, which are listed in chronological order. Generally, risk is categorized as associated with the category during which the risk may be earliest and best mitigated; these categories are listed below. Requirements Risk is associated with all project development activities from earliest concept through Alternatives Analysis. Design Risk is associated with all design‐related activities occurring after Alternatives Analysis. Substantially complete design risk is indicated when no material design‐related non‐conformances are detected through OP‐32 reviews; OP‐33 reviews indicate that 95% of all construction direct costs are shown on both design deliverables and cost estimate; and OP‐34 reviews indicate that no project level critical path element or procurement activity exceeds 45 calendar days in duration. Market Risk is related to procurement of construction services, materials, and equipment. OP 40 Risk Assessment and Mitigation Review Revision 0, June 2008 Page 2 of 16
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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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6) Identify any unknown or uncertai
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APPENDIX A Scope Review Checklist E
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o Development of strategies for min
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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
Page 182 and 183: o Confirm that cost estimates are b
Page 184 and 185: 12) Appendices a) Grantee Project I
Page 186 and 187: This sample of 118 cost items was s
Page 188 and 189: consistently accurate. In addition,
Page 190 and 191: SCC-10.02 Earth Excavation Although
Page 192 and 193: The scope review identifies risk in
Page 194 and 195: • Producer Price Index (PPI) - Th
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
Page 202 and 203: E) Lead times and durations for equ
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Page 208 and 209: orders may direct the PMOC to reeva
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Page 212 and 213: degree of understanding among the p
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Page 234 and 235: 4.2 Guidance coordination of platfo
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Page 238 and 239: APPENDIX A FTA Request for Informat
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Page 242 and 243: 4.1 Legislative • The Safe, Accou
Page 244 and 245: 4) Cost estimate in year-of-expendi
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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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