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

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For recipients with projects affected by Circular 5200.1A, Chapter II, Section 6, Safety and Security Management Plan, the SSMP Review will be part of the evaluation of an updated PMP submitted to FTA with application for FFGA or during a later project phase. These reviews will be conducted for projects that have been grandfathered from the requirements of Circular 5800.1 and must continue to follow the SSMP requirements specified in Chapter II, Section 6 of FTA’s FFGA Circular 5200.1A although applicable criteria identified in Section 6.1.3.2 should be considered as the SSMP is updated at various stages of the project. 6.2.1 SSMP Review Following Chapter II, Section 6 of Circular 5200.1A and the DRAFT Guidance for the Development of Safety and Security Management Plans (January 2002), the PMOC must conduct an SSMP review. Ideally, the format of the SSMP should follow the sections and sub-sections specified in FTA’s DRAFT Guidance and should not include material not specified (such as project description, agency history, etc.). In evaluating the initial SSMP, the PMOC should use the checklist included in Appendix E of this guidance. The items are identified by section, beginning with Item 1a, Safety and Security Policy Statement, and ending with Item 9, FRA Waivers. For each, the PMOC should assess how well the SSMP meets the requirements. The checklist also requires the PMOC to identify and review any documents referenced in the SSMP to describe the recipient’s approach to performing specific safety and security management activities. Based on the degree of satisfaction with the requirements, the PMOC should follow the rating system explained in Section 6.1.2 above for rating major capital projects affected by Circular 5800.1. Although the criteria being rated are somewhat different for the two categories of projects, the rating system is identical. 6.2.2 SSMP Adherence Review The PMOC shall conduct an SSMP Adherence Review following the guidance provided in Section 6.1.3 above. The PMOC should apply applicable criteria identified in Section 6.1.3.2 as the SSMP is updated at various stages of the project while continuing to consider activities described in Chapter II, Section 6, of Circular 522.A (see Appendix E). 7.0 REPORT, PRESENTATION, RECONCILIATION 7.1 Draft Spot Report and Resolution of Findings The PMOC should have accumulated findings with respect to the project’s safety and security programs; their descriptions in the SSMP and supporting plans, policies, and procedures, and the evidence of their implementation. OP 22 Safety and Security Management Plan Review Revision 0, June 2008 Page 10 of 11
These findings should be prepared as a draft Spot Report 3 and distributed to the Region and, if appropriate, the TOM. Appendix F provides guidance on specific areas to include in the Spot Report and provides a sample report outline. After receiving permission from the Region, a copy of the draft should be provided to the recipient. The Report should: • State findings in descending order of importance (most important first) and recommend modifications or additional work by the recipient along with a time frame for implementation • Contain a section assessing SSMP compliance to FTA Circular 5200.1A • Contain a section assessing documentation and performance adherence to SSMP requirements • Contain a section providing recommendations to improve SSMP compliance or adherence • Include an Executive Summary • Include, as appendices − a brief project description − a list of project acronyms − a list materials that support the PMOC’s findings and recommendations Subject to the TOM’s approval, the draft Report should be reviewed with the recipient’s Project Manager and safety and security officers and a plan developed to promptly correct any deficiencies in the safety and security programs and their descriptions in the SSMP and supporting materials. Inadequate policies and procedures should be strengthened. Poorly communicated program elements should be clarified and re-distributed. Ineffective procedures should be replaced. The PMOC should work together with the recipient and Region to correct all deficiencies. 7.2 Final Spot Report The PMOC should prepare a final Spot Report reflecting the resolution of all open issues and correction of all deficiencies. This report should be distributed to the Region and TOM. The FTA Region at its discretion will transmit the Final Report to the recipient. 3 Guidance on the report format is provided in OP01. OP 22 Safety and Security Management Plan Review Revision 0, June 2008 Page 11 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
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5) Introduction to PMOC scope of wo
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Page 25 and 26: Cost $2,500,000 $2,000,000 $1,500,0
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Page 35 and 36: o PMOC’s opinion of situations an
Page 37 and 38: The report formatting requirements
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Page 41: APPENDIX A Sample - Lessons Learned
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Page 68 and 69: follow, have different names for si
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Page 102 and 103: APPENDIX F: DISCUSSION OF CONTENTS
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Page 118 and 119: 3 PMOC review of Grantee’s Operat
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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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