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

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(2) The effectiveness of the process to identify and communicate safety hazards and security vulnerabilities during each project phase. (3) The recipient’s technical capacity to support and maintain the levels of duties and responsibilities identified for safety and security activities in the SSMP. (4) The safety and security budget and schedule, including the recipient’s determination regarding the resources it requires for the safety and security activities in the SSMP. (5) The extent to which the recipient incorporates safety and security requirements into the project’s technical specifications and contract documents. (6) The extent to which the recipient incorporates the SSMP activities and requirements into the technical direction provided to consultants, contractors and recipient personnel. (7) The effectiveness of the approach to managing the safety and security activities of contractors. (8) The extent to which the recipient takes documented action to address safety and security concerns in a timely and appropriate manner. (9) The effectiveness of the approach for verifying that contractors, recipient staff, and committees built, installed, inspected, and tested all facilities, systems, and equipment in accordance with the recipient’s adopted safety and security requirements, as reflected in the project’s technical specifications, drawings, and contracts. (10) The effectiveness of the recipient’s process for verifying that contractors, recipient staff, and committees ensure the readiness of operations and maintenance personnel for revenue service. (11) The effectiveness of the recipient’s process for providing safety and security certification, issuing the Final Verification Report, and managing any identified restrictions or work-arounds to full safety and security certification. (12) The effectiveness of the recipient’s process for ensuring compliance with requirements specified by State oversight agencies, Federal Railroad Administration (FRA), and Department of Homeland Security (DHS) agencies, including Transportation Security Administration (TSA) and Office of Grants and Training (OGT). 6.1.3.3 Review of Project Documents The PMOC should assess whether the safety and security programs described in the plans, policies, and procedures are being implemented. As explained in Section 6.1.3.2 above, documents will differ depending on the recipient and the project; the review may include reports of committees with safety or security oversight responsibilities, especially to determine membership, meeting schedules, document control policies, and mechanisms for tracking open issues and bringing unresolved issues to the recipient’s senior managers. (See Appendix B for typical documents) 6.1.3.4 Interviews OP 22 Safety and Security Management Plan Review Revision 0, June 2008 Page 8 of 11
Interviews are crucial for determining that those assigned responsibilities in the SSMP are aware of and understand their roles. 2 The PMOC must identify individuals to be interviewed and work with the recipient to prepare an interview schedule. The SSMP will identify those with safety or security responsibilities (by title and responsibilities) and recipient and project organization charts may identify additional interview candidates. Appendix C lists examples of suitable titles. The PMOC should include consultant or contractor personnel who are assigned full-time (seconded) to the project. The interview process may take several days, depending on the number and availability of interviewees. It should begin with a meeting (an hour or less) with those who will be interviewed, the recipient’s executive staff, and a representative of the FTA region. This establishes the authority for the interviews, provides for introductions, and allows the PMOC to explain the purpose and importance of the review. Interviews should not exceed 30 minutes. They should be scheduled at 45 minute intervals to allow time for the PMOC to gather information and allow interviewees to ask questions. Questions should be prepared that are specific to each individual’s role; Appendix D provides a sample interview questionnaire. The questionnaires should be used for recording answers and making notes. It is not recommended that interviews be tape-recorded because this may inhibit interviewees from speaking openly. If the PMOC does intend to record the interviews, each interviewee should be asked at the start of session whether he or she would prefer to speak without being recorded. 6.1.3.5 Site Inspections Site inspections should include the proposed right-of-way, locations of proposed terminals, existing terminals, and major stations that will be part of the new system, parking lots, and rail or bus vehicle storage, repair, and maintenance facilities. A senior project staff member or project safety officer should lead the visits. Unless scheduling is difficult, all PMOC team members should participate in the inspections. In addition to initial inspections, periodic inspections should be performed, especially during construction, to verify that safety and security procedures are being followed. Construction phase observations should include determination that contractors are wearing required personal protection equipment (PPE), that site security is in place, that precautions have been taken to protect the surrounding public and properties, and similar constructionspecific safety and security concerns. During inspections, the PMOC should examine project elements that were identified in PHAs or TVAs and should determine whether appropriate mitigations are in place or planned. The PMOC should also be prepared to identify other potential hazards and vulnerabilities. Observations should be recorded, and, if appropriate, photographs taken. 6.2 Major Capital Projects Affected By Circular 5200.1A, Chapter II, Section 6, Safety and Security Management Plan 2 The interviews aid both the recipient and the PMOC. The recipient’s senior staff gains a better understanding of the importance of the SSMP in safety and security planning and management and the PMOC comes away assured that the SSMP reflects the roles of those overseeing the project. OP 22 Safety and Security Management Plan Review Revision 0, June 2008 Page 9 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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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
Page 21 and 22: 5) Introduction to PMOC scope of wo
Page 23 and 24: 7.3 Project Status Reporting - Cont
Page 25 and 26: Cost $2,500,000 $2,000,000 $1,500,0
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Page 98 and 99: Note: SSMP Element Compliant with D
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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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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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