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

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APPENDIX B: LIST OF SUGGESTED DOCUMENTS A well-prepared SSMP will utilize, by reference, numerous other documents, including some that apply across the recipient’s organization, and some that are intended just for the project. In addition, as the PMOC progresses to review the implementation of the SSMP, certain supporting materials must be examined. This second category includes organizational information about project staff on both the recipient and consultant sides; material that documents contractor responsibilities, such as contract terms and specifications; and meeting minutes, forms, and reports that confirm that prescribed safety and security procedures are being followed. Different recipients may document their safety and security programs with plans, policies, and procedures that have different names. They may combine documents that other agencies separate and they may have no need for some documents. Indeed, during certain phases, as indicated in the Table below, some documents may not be appropriate. The Table contains a list of documents that may have to be included in this SSMP review. The Table shows the project phases when each document is likely to apply, and whether or not the document is likely to be Sensitive Security Information (SSI). The first documents in the list are marked with a [R] to signify that they are usually recipient’s agency-wide documents. The balance of the list has documents marked [P], indicating that they are usually project documents. This list can help the PMOC prepare the document request to the recipient. Once the PMOC has customized the list to suit the specific uses of the recipient and project, it should be included in a Progress Report submitted to the TOM. OP 22 Safety and Security Management Plan Review Revision 0, June 2008 Page B-1
DOCUMENT (Title and acronym; R signifies Recipient, P Project) [R] System Safety Program Plan (SSPP) [R] System Security Plan (SSP) [R] Emergency Management Plan (EMP) [R] Security and Emergency Preparedness Plan (SEPP) [R] Standard Operating <strong>Procedures</strong> (SOPs) and Emergency Operating <strong>Procedures</strong> (EOPs) [R] Quality Assurance Plan (QAP) [R] Design Criteria Manual (DCM) SSI Preliminary Engineering Final Design FFGA Application Construction Testing and Start-Up Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y Y NOTES This will likely not exist until late construction or testing and start-up phase if it is recipient’s initial project. This will likely not exist until late construction or testing and start-up phase if it is recipient’s initial project. Distribution will be password protected, as will be all other SSI documents. This may not exist until late construction or testing and start-up phase if it is recipient’s initial project. Document may also be called Emergency Preparedness Plan or other similar title. Many recipients are combining the SSP and EMP into an SEPP. PMOC must be aware of the nomenclature within the recipient’s agency to assure that proper documents are reviewed. Some recipients have separate EOPs and some include them in the SOPs. PMOC should review to assure conformance with SSMP to determine responsibilities for emergencies, particularly in agencies where there is no fully commissioned police force. Usually, completeness of SOPs and EOPs will increase as project moves through its phases. PMOC should review to assess QA personnel role in oversight and audit of safety and security requirements across the project phases. Recipient document applied to all projects. If recipient has no DCM, documents that include safety and security design recommendations and requirements, OP 22 Safety and Security Management Plan Review Revision 0, June 2008 Page B-2
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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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Page 39 and 40: U.S. DOT Federal Transit Administra
Page 41: APPENDIX A Sample - Lessons Learned
Page 66 and 67: • Recipients with major capital p
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Page 74 and 75: For recipients with projects affect
Page 76 and 77: APPENDIX A: SSMP REVIEW CHECKLIST -
Page 78 and 79: App. No. Checklist Item Plan Requir
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Page 94 and 95: APPENDIX D: SAMPLE INTERVIEW QUESTI
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Page 98 and 99: Note: SSMP Element Compliant with D
Page 100 and 101: SSMP Element Compliant with DRAFT G
Page 102 and 103: APPENDIX F: DISCUSSION OF CONTENTS
Page 104 and 105: candidates for the committee so tha
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Page 108 and 109: the time. During preliminary engine
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Page 114 and 115: • Serve as a resource by lending
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Page 118 and 119: 3 PMOC review of Grantee’s Operat
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Page 126 and 127: 4.1.2 Pre-Award Purchaser’s Requi
Page 128 and 129: 5.0 PMOC REVIEW OF PROJECT SPONSOR
Page 130 and 131: • If no, examine contract files,
Page 132 and 133: 6.3.2 Corrective Action: The Grante
Page 134 and 135: 8.0 APPENDICES 8.1 Sample Review Ce
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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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