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

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2.2 The New Starts Process New Starts projects proposed for funding assistance under 49 U.S.C. § 5309 must emerge from a metropolitan and statewide planning process consistent with 23 CFR Part 450. In addition, to be eligible for New Starts funding, the proposed project must be based on the results of an alternatives analysis (AA). The AA incorporates information about the benefits, costs, and impacts of alternative approaches to a transportation issue in a given corridor and leads to the adoption of a locally preferred alternative (LPA). The alternative approaches evaluated in an AA must include a no-build alternative, a baseline alternative, and an appropriate number of build alternatives. When prompted by the project sponsor, FTA will determine on a case-by-case basis whether a project’s no-build alternative also satisfies the baseline alternative requirement. The LPA must be selected from the evaluated alternative strategies and formally adopted and included in the Metropolitan Planning Organization's (MPO) financially-constrained Long Range Transportation Plan (LRTP). Prior to submittal of a request for a project to enter New Starts preliminary engineering (PE), the Project sponsor must obtain FTA’s approval of the baseline alternative. Consistent with 49 U.S.C. §§ 5309(e)(6) and 5328(a)(2), FTA will approve or disapprove entry of a proposed project into PE within 30 days of receipt of a formal request from the project sponsor. A proposed project can be considered for advancement into PE only if: • AA has been completed; • The proposed project is adopted as the locally preferred alternative by the MPO into its financially constrained LRTP; • Other applicable federal and FTA program requirements have been met such as FTA's evaluation of the project as described in 49 CFR § 611.9-13. 2.3 The NEPA Process for New Starts Projects There are two approaches to conducting the NEPA process for New Starts projects: • In the first approach, the AA provides sufficient environmental information and investment analyses to support the selection of a preferred alternative. The initial NEPA document, Draft Environmental Impact Statement (DEIS) or draft EA, is developed subsequent to and using the analysis from the AA. Therefore the initial NEPA document focuses on the preferred alternative. • With the second approach, a DEIS or draft EA is part of the analysis contained in the AA. The range of alternatives is considered. At the time the project sponsor requests entry to PE, the locally preferred alternative will be selected but the DEIS or EA may or may not be complete. With either approach, the Final Environmental Impact Statement (FEIS) or final EA is usually developed during PE. If a project is not categorically excluded under FTA’s NEPA regulations, the NEPA process is concluded with either a Record of Decision (ROD) or a Finding of No Significant Impact (FONSI). The process must be concluded prior to approval to enter final design. The ROD or FONSI includes the decision, identifies the alternatives considered, including the environmentally OP 32B Environmental Document (NEPA) Review for New Starts Projects Revision 0, June 2008 Page 2 of 6
preferred alternative, and discusses mitigation plans, including any enforcement and monitoring commitments. Within the document, the agency discusses all the factors, including national policy considerations that were contemplated in its decision whether, and if so how, to proceed with the proposed action. The ROD also details all practical means of avoiding or minimizing environmental harm that have been adopted and provides an explanation of why other means were not adopted. 2 2 Council on Environmental Quality, Executive Office of The President, A Citizen’s Guide to The NEPA, Dec. 2007, pg. 8. OP 32B Environmental Document (NEPA) Review for New Starts Projects Revision 0, June 2008 Page 3 of 6
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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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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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