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

US DOT Federal Transit Administration
TPM-20 Office of Engineering
Project Management Oversight
Oversight Procedure 22 – Safety and Security Management Plan Review
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1.0 PURPOSE
This Oversight Procedure describes how the PMO Contractor (PMOC) shall review and evaluate the
Safety and Security Management Plan (SSMP) submitted by the recipient as part of the Project
Management Plan (PMP). The procedure describes how the PMOC shall assess the adequacy of the
recipient’s implementation of the SSMP for the specific phase addressed in the PMP. PMOC evaluations
provide a major input to FTA in determining that the recipient demonstrates the technical capability to
execute the project’s safety and security management requirements and continues to be ready to receive
Federal funds for further project development.
2.0 BACKGROUND
Section 3026 of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users
(SAFETEA–LU), [Pub. L. 109–59, August 10, 2005] amended 49 U.S.C. 5327 to require recipients with
major capital projects covered under 49 CFR part 633 to address “safety and security management” in
PMPs submitted to FTA for approval as a condition of Federal financial assistance. Congress included
this provision to strengthen the role of safety and security in all phases of major capital projects.
To implement this provision, FTA developed Circular 5800.1 “Safety and Security Management
Guidance for Major Capital Projects,” effective August 1, 2007, which extended requirements in FTA’s
Full Funding Grant Agreement (FFGA) Circular 5200.1A, Chapter II, Section 6, Safety and Security
Management Plan to all projects covered under 49 CFR part 633. FTA developed additional requirements
to clarify recipients’ safety and security management activities in each phase of project development for
each type of major capital project.
In Circular 5800.1, FTA identifies:
• Safety and security management activities to be performed by recipients (Chapter II, Paragraph 2),
• Evaluation criteria FTA will use in reviewing SSMPs and assessing implementation (Chapter II,
Paragraph 3),
• The process to be used by the recipient for preparing the SSMP (Chapter III), and
• Required SSMP content (Chapter IV).
Additionally, Appendix A of the Circular provides a checklist of the types of information recipients
should include in SSMPs during various phases of the FTA’s planning and development process.
Circular 5800.1 applies to:
• Recipients with major capital projects, as defined in 49 CFR 633.5, initiated after August 1, 2007.
OP 22 Safety and Security Management Plan Review
Revision 0, June 2008
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