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

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APPENDIX F: DISCUSSION OF CONTENTS OF AN SSMP REVIEW SPOT REPORT 1.0 Executive Summary The Executive Summary should begin with a summary introduction to the project, a discussion of the project’s objectives and benefits, and an indication of its current status. It should then provide a conclusion as to the compliance of the project’s SSMP to the appropriate FTA requirements and the adequacy of safety and security programs, as documented in the SSMP and supporting materials, and as implemented based on reviews of operating documents, interviews, and site inspections. The balance of the Executive Summary should summarize the major findings of the review that support the conclusion and any recommendations for improvement. 2.0 Introduction This section should contain three subsections: a brief introduction to the project (it can be identical to that included in the Executive Summary or somewhat more detailed); a description of the objectives of the SSMP review, and a description of the remaining sections of the report. 3.0 Information Reviewed This section should describe the documents reviewed, the individuals interviewed, and the sites visited in the course of performing this review. This section can best be prepared as discussions that refer to tables in an appendix to the Spot Report, with commentary as required. 4.0 SSMP Compliance Assessment This section should open with a general assessment of the quality and compliance level of the SSMP to the applicable FTA requirements and then continue with an in-order specific assessment of how well each of the specific FTA requirements are complied with, including clear description of areas of deficiency and suggestions or recommendations for resolving deficiencies. Either at the start or end of each Item assessment, the letter C, M, or N should be shown in bold type to indicate that the Item is either compliant, marginally compliant, or noncompliant with FTA requirements. 5.0 SSMP Adherence Assessment This section should present the results and conclusions from the review of support documentation, interviews, and site visits and indicate whether or not the SSMP requirements and safety and security programs are adequate for the current stage of the project, as planned, documented, and implemented. Findings that support the conclusion and any recommendations for improving or OP 22 Safety and Security Management Plan Review Revision 0, June 2008 Page F-1
esolving program deficiencies should be presented in descending order of importance. Detailed support for the findings, if required, should be placed in an appendix to the Spot Report. Examples of the discussion of some findings and resultant recommendations are: 1) The recipient does not have a functioning Safety and Security Working Group. The SSMP identifies a Safety and Security Working Group (SSWG) that will be established prior to start of PE to assure that safety and security requirements, including police and fire regulations are incorporated into all phases of the design. The project is requesting entrance into PE and the PMOC has found no evidence that a SSWG exists. The Director of Safety, who would normally be either chair or co-chair of a SSWG was unable to state when a SSWG would become functional. The PMOC recommends that the recipient create a SSWG, as identified in the SSMP, and set a regular schedule for meetings. The SSWG should include participation from city, transit agency, and county agencies that the right of way traverses. Entry into PE should not be granted until the SSWG is formed and functional. 2) The recipient has not addressed egress and overcrowding on platforms during periods of heavy system use. Overcrowding and lack of adequate egress is hazardous and introduces security vulnerabilities; neither the PHA nor TVA has addressed this issue at the stations serving the college and the high school and the design criteria are silent on maximum platform loads. These issues must be resolved with the local academic institutions, which generate increased ridership during those months that classes are in session. The PMOC recommends assessments of maximum passenger loads on these platforms, and the rate of flow through egress points, through formal hazard analyses and TVAs. Issues and Analysis In the course of the review, the PMOC may encounter safety and security issues that can affect or be affected by the project but do not constitute Findings, as discussed, above. These should be presented as the last subsection in Section 5.0. An example of the kind of issues that might be included is: The PMOC identified three schedule changes that relate to project safety and security: 1) The tunnel TVA originally planned for September 2006 is now forecast to be completed in January 2007. This will delay review of the TVA by the city, delay issuance of tunnel bid package, and reduce schedule float by at least two months 2) Changes in personnel in local police/fire departments have delayed formation of the Safety and Security Working Group originally planned for April 2006. It is currently planned that the new police and fire commissioners, named in December 2006, will select their OP 22 Safety and Security Management Plan Review Revision 0, June 2008 Page F-2
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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
Page 66 and 67: • Recipients with major capital p
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Page 70 and 71: documents referenced in the SSMP to
Page 72 and 73: (2) The effectiveness of the proces
Page 74 and 75: For recipients with projects affect
Page 76 and 77: APPENDIX A: SSMP REVIEW CHECKLIST -
Page 78 and 79: App. No. Checklist Item Plan Requir
Page 88 and 89: APPENDIX B: LIST OF SUGGESTED DOCUM
Page 90 and 91: DOCUMENT (Title and acronym; R sign
Page 92 and 93: DOCUMENT (Title and acronym; R sign
Page 94 and 95: APPENDIX D: SAMPLE INTERVIEW QUESTI
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Page 98 and 99: Note: SSMP Element Compliant with D
Page 100 and 101: SSMP Element Compliant with DRAFT G
Page 104 and 105: candidates for the committee so tha
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Page 108 and 109: the time. During preliminary engine
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Page 114 and 115: • Serve as a resource by lending
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Page 118 and 119: 3 PMOC review of Grantee’s Operat
Page 120 and 121: Requirement PMOC Review Comments 5C
Page 122 and 123: waiver is requested are not produce
Page 124 and 125: (5) To provide PMOCs with recommend
Page 126 and 127: 4.1.2 Pre-Award Purchaser’s Requi
Page 128 and 129: 5.0 PMOC REVIEW OF PROJECT SPONSOR
Page 130 and 131: • If no, examine contract files,
Page 132 and 133: 6.3.2 Corrective Action: The Grante
Page 134 and 135: 8.0 APPENDICES 8.1 Sample Review Ce
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Page 140 and 141: including: the applicability of Fed
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Page 144 and 145: APPENDIX A: CHECKLIST OP Section Is
Page 146 and 147: orders: 5.6.2.1 Is PDR consistent w
Page 148 and 149: design-to-budget approach that main
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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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6.2 Preliminary Document Review Upo
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o Level 4: Subdivide Level 3 as fol
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• Is integrated with and makes ad
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APPENDIX B Cost Estimate Review Che
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o Confirm that cost estimates are b
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12) Appendices a) Grantee Project I
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This sample of 118 cost items was s
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consistently accurate. In addition,
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SCC-10.02 Earth Excavation Although
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The scope review identifies risk in
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• Producer Price Index (PPI) - Th
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APPENDICES PROJECT COST ESTIMATE ([
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EXHIBIT D-1: PROJECT COST ESTIMATE
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3.0 OBJECTIVES FTA’s objective is
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E) Lead times and durations for equ
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activity durations. Critical path f
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US DOT Federal Transit Administrati
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orders may direct the PMOC to reeva
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Design‐Build or CM‐GC), the pro
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degree of understanding among the p
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management labor and profit/fee. Su
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US DOT Federal Transit Administrati
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Construction Risk is subdivided int
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Category or sub‐category cost ele
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with the construction contractor. T
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Management Plan; these recommendati
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etween risk reduction and risk acce
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75% construction 85% 90% constructi
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milestones, the value of expected m
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4.2 Guidance coordination of platfo
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communicate with the vehicle manufa
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APPENDIX A FTA Request for Informat
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APPENDIX B OP 41 ADA Review - Level
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4.1 Legislative • The Safe, Accou
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4) Cost estimate in year-of-expendi
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• Project Schedule (Master Schedu
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d) Assessed safety and security iss
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• Interim Guidance on Design-Buil
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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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