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

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with the construction contractor. The effect of such alternative project delivery methods should be considered in consultation with the FTA work order manager. The extent and effectiveness of third party risk transfers and sharing is a component of the OP‐35 product. SCC Category Cost Range Establishment SCC Cost Elements within an SCC Category are assumed to be positively correlated and therefore the total SCC Category Cost Range for a given SCC category is the sum of the ranges of the individual SCC Category Elements. These calculations are modeled in the FTA Cost Risk Assessment Worksheet. 6.2.2.3 Project Cost Risk Assessment Project risk is an aggregated amount of the risk associated with all of the SCC Category Cost Ranges. It is assumed to be normally distributed and partially correlated at 33% of the difference between the fully correlated and fully independent cases. Example worksheets with the appropriate calculations are available from the WOM. As directed by the COTR/WOM, the Project level risk model shall be successively modeled and iteratively advanced at each future Project Milestone. The PMOC shall also produce a separate chart that lists the SCC/BCEs with their assessment data ranked by their variability in terms of the standard deviations and percentage effect on the overall budget. The PMOC will then perform additional assessments and present, in a narrative format, its analysis on those project elements with the largest variability in cost in order to identify the cost, schedule and technical risk drivers. The work order manager or COTR may direct the PMOC to perform additional analysis of covariance/correlation in the form of logic diagrams, matrices, etc. In addition, development of a second risk transfer curve that represents the PMOC’s estimate of risk transferred to third party project participants, using information developed in the OP‐35 may be required, as directed by the work order manager. 6.3 Project Schedule Risk The PMOC shall use its professional judgment to identify, assess, and evaluate the uncertainties in the Grantee’s project schedule, 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 schedule and Project Management Plan. 6.3.1 Schedule Risk Event Identification The PMOC shall identify and document the uncertainties in the project schedule using information provided by the Grantee. Such assessment shall generally be conducted in a manner similar to that outlined for Cost Risk Identification (see 6.2.1, above). Special attention should be focused on the interrelationship between identified Cost Risk Events and Schedule Risk Events. OP 40 Risk Assessment and Mitigation Review Revision 0, June 2008 Page 7 of 16
Risk Events identified shall be reported in a format similar to the prior‐established Cost Risk Register, using similar numbering and categorization schemas. Where appropriate, this listing will contain cross‐references to the Cost Risk Register. 6.3.2 Schedule Risk Assessment The PMOC shall assess the likelihood of project completion within the timeframes estimated on Grantee’s schedule. This assessment shall include: evaluation of activity durations, including statistical information such as range, mean, minimum and maximums, and whether such durations are appropriate for the project phase; identification of critical and near‐critical paths and the relationship between those paths and identified risk events; identification of hidden and exposed time contingencies and their role in schedule risk mitigation; and identification of logic relationships designed to provide risk mitigation. The FTA may direct other similar analyses. Based upon its findings, the PMOC shall assess the sufficiency of the Grantee’s sequencing and schedule to cause project completion within targeted completion dates, including any interim milestones. Based upon the assessment, the Contractor shall provide recommendations for adjustment to the Grantee’s schedule and Project Management Plan to reduce risk of not meeting the project’s schedule goals. 6.4 Performance and Safety Risk Subject to the issuance of individual Work Orders, the PMOC shall identify, assess and evaluate the uncertainties in the Grantee’s project that are not directly related to project cost or schedule such as technical performance of systems, vehicles, etc. in terms of system reliability (mean time between failure, etc.) or safety in terms of reportable accidents, etc. The PMOC shall develop its approach for risk assessments of this Section and shall review the approach and receive WOM approval prior to executing this work. In general, such risk assessments shall conform to the principles outlined for cost and schedule assessments, detailed within this Oversight Procedure; however, these risk products shall be tailored to the specific requirements of the project, considering stage of project development and project scope. Upon completion of these risk assessments, the PMOC shall provide recommendations for adjustment to the Grantee’s Project Management Plan. 6.5 Contract Packaging Risk As part of an individual work order, the FTA may direct the PMOC to develop specialized risk management products for cost and/or schedule, on a non‐recurring basis. Examples of such products are PMO reviews of Grantee project deliverables produced in conformance with approved project management plans or sub plans. Using data inputs regarding contingency and scope, the PMOC shall analyze the Grantee’s proposed contract language for its effectiveness in meeting the proposed allocation of risk developed as part of the Grantee’s Project Delivery Method. 6.6 Risk Mitigation 6.6.1 Risk Mitigation Recommendations The PMOC shall develop risk mitigation recommendations for changes to the Grantee’s Project OP 40 Risk Assessment and Mitigation Review Revision 0, June 2008 Page 8 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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to then be backfilled or would othe
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• Major or critical work details;
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It is important to select a project
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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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