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

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APPENDIX E: SSMP REVIEW CHECKLIST – CHAPTER II, SECTION 6, CIRCULAR 5200.1A SSMP Element Compliant with DRAFT Guideline s 1 Management Commitment and Philosophy 1.1 Safety and Security Policy Statement Requirement: Provides a signed statement -- issued by the grantee’s executive leadership -- endorsing the SSMP and explaining the project’s commitment to safety and security. Note: 1.2 Purpose of SSMP Requirement: Describes the grantee’s intention to use the SSMP to support the integration of safety and security into the project development process and ensure their consideration throughout this process. Note: 1.3 Scope of SSMP Requirement: Describes the applicability of the SSMP to all project development activities through preliminary engineering, final design, construction, integrated testing, demonstration, and operations. Note: 1.4 SSMP Goal Requirement: Identifies the grantee’s intention to use the SSMP to ensure that the final project implemented into revenue service is safe and secure for passengers, employees, public safety personnel, and the general public. Note: 1.5 SSMP Objectives Requirement: Describes how the grantee will use the SSMP to meet its goal through implementation of an integrated management system. Note: 2 Integration of Safety and Security into the Project Development Process 2.1 Safety and Security Activities Matrix Requirement: Identify all safety and security activities that must be performed for the project during preliminary engineering, final design, construction, integrated testing, demonstration and operations. OP 22 Safety and Security Management Plan Review Revision 0, June 2008 Page E-1
Note: SSMP Element Compliant with DRAFT Guideline s 2.2 <strong>Procedures</strong> and Resources Requirement: Identify procedures and resources that will support performance of safety and security activities throughout the project development process. Note: 2.3 Interface with Management Requirement: Identify the process through which the results of safety and security activities will be coordinated with both the grantee’s executive leadership and the Project Management Plan (PMP) for review and decision-making. Note: 3 Assignment of Safety and Security Responsibilities 3.1 Responsibility and Authority Requirement: Identify where authority resides for implementing the SSMP. Note: 3.2 Approach to Safety and Security Responsibilities Requirement: Describe the organizational and management mechanisms used by the project to ensure the performance of safety and security activities throughout all project development life cycle phases. Note: 3.3 Safety and Security Responsibilities Matrix Requirement: Identify specific responsibilities for the performance of safety and security activities. Note: 4 Safety and Security Analysis 4.1 Objectives for Safety and Security Analysis Requirement: Establish the objectives for the use of safety and security analysis techniques in the project. OP 22 Safety and Security Management Plan Review Revision 0, June 2008 Page E-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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The report formatting requirements
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APPENDIX A Sample - Lessons Learned
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Page 76 and 77: APPENDIX A: SSMP REVIEW CHECKLIST -
Page 78 and 79: App. No. Checklist Item Plan Requir
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Page 90 and 91: DOCUMENT (Title and acronym; R sign
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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
Page 106 and 107: US DOT Federal Transit Administrati
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 122 and 123: waiver is requested are not produce
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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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Page 140 and 141: including: the applicability of Fed
Page 142 and 143: • Each document addresses the int
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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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US DOT Federal Transit Administrati
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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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US DOT Federal Transit Administrati
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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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