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

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d) Assessed safety and security issues and has a written sign-off by the State Safety Oversight Board e) A System Safety Program Plan (SSPP) or Safety and Security Management Plan (SSMP) in place f) Determined the funding sources and local share contribution. g) Demonstrated financial capacity to operate and maintain the project once built. This assessment is normally made by others. h) Analyzed remaining uncertainties and proposed mitigations. i) Provided for third party interfaces such as for real estate acquisitions and relocations (conforming to the Uniform Relocation and Real Property Acquisition Act), utilities, freight railroads, Amtrak, etc. 6.2 Construction During construction at intervals requested by FTA: 1) Evaluate the progress and quality of construction and testing against the scope, schedule and cost estimate. 2) Note construction issues that could affect within-budget and on-schedule project completion. The PMOC shall assist FTA and the Grantee in developing and implementing project recovery plans in the event performance is significantly below targets. 6.3 Other FTA may direct the PMOC to perform certain of these tasks at other milestones during project implementation. For instance, on larger Small Starts projects, FTA evaluates the features and Small Starts qualifications of the grantee’s locally preferred alternative (LPA). This occurs prior to entry into Project Development. When requested, the PMOC will assist FTA in technical aspects of the review, such as the relationship of the LPA scope to conceptual designs, preliminary cost estimates, project risks, and other issues. 7.0 REPORT, PRESENTATION, RECONCILIATION The PMOC shall provide FTA with a written report of its findings, analysis, recommendations, professional opinions, and a description of the review activities undertaken. For areas of significant uncertainty, recommend additional investigation, planning or design work by the Grantee or other parties, with a schedule for the accomplishment of the work. After FTA approval, the PMOC should share the report with the Grantee. In the event that differences of opinion exist between the PMOC and the Grantee regarding the PMOC’s findings, the FTA may direct the PMOC to reconcile with the Grantee and provide FTA with a report addendum covering the agreed modifications by the Grantee and PMOC. The report formatting requirements of OP-1 apply. When necessary, PMOC shall perform data analysis and develop data models that meet FTA requirements using Microsoft Office products such as Excel and Word and use FTA-templates when provided. The PMOC may add other software as required but documentation and report data shall be made available to FTA. OP 45 Small Starts Review Revision 0, June 2008 Page 5 of 5
APPENDIX A Memo regarding Cost Estimating Methods The Grantee should develop a memo regarding its cost estimating approach as part of the alternatives analysis work and should update it with each subsequent estimating effort. The cost estimating methods memo should explain the structure of the cost estimate, assumptions, other projects as precedents, and reference points. The memo should describe the approach to cost information development -- parametric, use of aggregated unit costs per lineal foot of cross-section, use of segments to estimate similar construction conditions within a complex alignment, etc. If multiple parties are estimating parts of the project, this memo helps to ensure consistency of approach. The memo should note considerations important to the estimate such as characteristics of the physical context, site constraints, design parameters, institutional constraints, contracting and procurement plans, project schedule, etc. The memo should include a plan to track throughout the project life both the cost estimate in original format (and construction contractor’s cost breakdown) and FTA’s Standard Cost Category (SCC) format. The SCC worksheets are provided on FTA’s website for the reporting of capital costs. OP 45 Small Starts Review Revision 0, June 2008 Page A-1
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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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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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