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

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• Recipients with major capital projects, as defined in 49 CFR 633.5, involving construction of a new fixed guideway or extension of an existing fixed guideway, that are in preliminary engineering or earlier phases as of August 1, 2007. As explained in Circular 5800.1, after August 1, 2007, previous SSMP requirements specified in Chapter II, Section 6 of Circular 5200.1A remain in effect for: • Recipients with major capital projects, as defined in 49 CFR 633.5, involving construction of a new fixed guideway or extension of an existing fixed guideway that are in final design or later phases as of August 1, 2007. • Recipients with other major capital projects, as defined in 49 CFR 633.5, designated by the Administrator, initiated before August 1, 2007, and applying for/receiving FFGAs. This grandfathering provision is adopted for recipients with projects underway as of August 1, 2007 that are significantly invested in SSMPs prepared based on Chapter II, Section 6 of Circular 5200.1A and the DRAFT Guidance for Developing Safety and Security Management Plans (January 2002). Once these projects are in revenue service, the SSMP requirements in Chapter II, Section 6 of Circular 5200.1A will be phased out. Until then, FTA will evaluate conformance using Chapter II, Section 6 of Circular 5200.1A and 2002 DRAFT Guidance. There are currently no SSMP requirements for: • Recipients receiving capital investment grants under 49 U.S.C. 5309(e), referred to as “Small Starts” and “Very Small Starts”, unless FTA’s Administrator determines that a PMP is necessary. • Recipients with major capital projects, as defined in 49 CFR 633.5, involving rehabilitation or modernization of an existing fixed guideway with a project cost in excess of $100 million, and initiated before August 1, 2007. 3.0 OBJECTIVES The SSMP Review is conducted by the PMOC to determine if the recipient is adequately performing required safety and security management activities for its capital project, and it provides major input to FTA regarding the review and approval of the SSMP. As part of the PMP, the SSMP must be approved by FTA for the recipient to remain eligible to receive Federal funds for further project development. 3.1 Major Capital Projects Affected by Circular 5800.1 For recipients with major capital projects affected by Circular 5800.1, the PMOC’s SSMP Review must: • Determine which safety and security activities the recipient must perform, as specified in Chapter II, Paragraph 2 of Circular 5800.1 and following the process outlined in Chapter III of Circular 5800.1. OP 22 Safety and Security Management Plan Review Revision 0, June 2008 Page 2 of 11
• Verify that the recipient has documented its approach to performing the required safety and security management activities in an SSMP, which is included as a separate chapter or plan referenced within the PMP. • Verify that the recipient’s SSMP includes the applicable sections specified in Chapter IV of Circular 5800.1 and meets all identified requirements. • Verify that the recipient has the technical capacity to implement its SSMP, including adequate personnel, organization, budget and schedule. • Determine whether the approach documented by the recipient’s SSMP is being implemented, as appropriate, for the project’s current stage: preliminary engineering (PE), final design (FD), application for FFGA, construction, and training and start-up. To conduct this review, the PMOC must apply the criteria specified in Chapter II, Paragraph 3 of Circular 5800.1. As explained in Chapter II, Paragraph 3, the criteria will be applied over the lifecycle of the recipient’s development process. For example, FTA does not expect a recipient preparing an SSMP with the request to enter PE to have developed comprehensive programs for each criterion. Appendix A of Circular 5800.1 lists activities FTA typically expects to see documented in each phase for different types of major capital projects. 3.2 Major Capital Projects Affected By Circular 5200.1A, Chapter II, Section 6, Safety and Security Management Plan For recipients with major capital projects affected by Circular 5200.1A, Chapter II, Section 6, Safety and Security Management Plan, the PMOC’s SSMP Review must: • Verify that the recipient has documented its approach to performing the required safety and security management activities in an SSMP, which is included as a separate chapter or plan referenced within the PMP. o Required activities are identified in Chapter II, Section 6 of FTA’s FFGA Circular 5200.1A, and in the DRAFT Guidance for the Development of Safety and Security Management Plans (January 2002). • Verify that the recipient has the technical capacity to implement its SSMP, including adequate personnel, organization, budget and schedule. • Determine whether the approach documented by the recipient’s SSMP is being implemented, as appropriate, for the project’s current phase. 4.0 REFERENCES FTA Circular 5800.1, Safety and Security Management Guidance for Major Capital Projects, issued August 1, 2007. In addition, all statutes, regulations, policies, and guidance documents referenced in FTA Circular 5800.1, (section 3, References, items a. - e., p 1) apply. 5.0 PROJECT SPONSOR (RECIPIENT) SUBMITTALS The SSMP Review is largely a document review and, therefore, calls for a large number of documents to be submitted to the PMOC by the recipient. Because the documents are such a key portion of the review, and because different recipients may, depending on the project or the regulations they are required to OP 22 Safety and Security Management Plan Review Revision 0, June 2008 Page 3 of 11
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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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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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U.S. DOT Federal Transit Administra
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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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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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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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