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

• Verify that the recipient has documented its approach to performing the required safety and
security management activities in an SSMP, which is included as a separate chapter or plan
referenced within the PMP.
• Verify that the recipient’s SSMP includes the applicable sections specified in Chapter IV of
Circular 5800.1 and meets all identified requirements.
• Verify that the recipient has the technical capacity to implement its SSMP, including adequate
personnel, organization, budget and schedule.
• Determine whether the approach documented by the recipient’s SSMP is being implemented, as
appropriate, for the project’s current stage: preliminary engineering (PE), final design (FD),
application for FFGA, construction, and training and start-up.
To conduct this review, the PMOC must apply the criteria specified in Chapter II, Paragraph 3 of Circular
5800.1. As explained in Chapter II, Paragraph 3, the criteria will be applied over the lifecycle of the
recipient’s development process. For example, FTA does not expect a recipient preparing an SSMP with
the request to enter PE to have developed comprehensive programs for each criterion. Appendix A of
Circular 5800.1 lists activities FTA typically expects to see documented in each phase for different types
of major capital projects.
3.2 Major Capital Projects Affected By Circular 5200.1A, Chapter II, Section 6, Safety and
Security Management Plan
For recipients with major capital projects affected by Circular 5200.1A, Chapter II, Section 6, Safety and
Security Management Plan, the PMOC’s SSMP Review must:
• Verify that the recipient has documented its approach to performing the required safety and
security management activities in an SSMP, which is included as a separate chapter or plan
referenced within the PMP.
o Required activities are identified in Chapter II, Section 6 of FTA’s FFGA Circular
5200.1A, and in the DRAFT Guidance for the Development of Safety and Security
Management Plans (January 2002).
• Verify that the recipient has the technical capacity to implement its SSMP, including adequate
personnel, organization, budget and schedule.
• Determine whether the approach documented by the recipient’s SSMP is being implemented, as
appropriate, for the project’s current phase.
4.0 REFERENCES
FTA Circular 5800.1, Safety and Security Management Guidance for Major Capital Projects,
issued August 1, 2007. In addition, all statutes, regulations, policies, and guidance documents referenced
in FTA Circular 5800.1, (section 3, References, items a. - e., p 1) apply.
5.0 PROJECT SPONSOR (RECIPIENT) SUBMITTALS
The SSMP Review is largely a document review and, therefore, calls for a large number of documents to
be submitted to the PMOC by the recipient. Because the documents are such a key portion of the review,
and because different recipients may, depending on the project or the regulations they are required to
OP 22 Safety and Security Management Plan Review
Revision 0, June 2008
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