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

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 rate each Item as:
• Compliant (C),
• Marginal (M), or
• Noncompliant (N).
An N rating means the FTA’s intent was not adequately addressed and revision is required before the
SSMP can be recommended for acceptance. An M rating means the FTA’s intent was addressed but that
the content is inconsistent with other SSMP sections or other plans, or that the deficiency is not so serious
that it prevents acceptance of the SSMP at the current phase but should be corrected in later phases of the
project. A C rating means that FTA’s intent was addressed in the SSMP or referenced documents.
For each Item rated M or N, the PMOC should describe the noncompliance or deficiency and, if possible,
make recommendations or suggestions to bring it to full compliance.
Appendix A of Circular 5800.1 provides additional guidance regarding the types of activities FTA
expects of recipients during various project phases.
6.1.3 SSMP Adherence Review
To assess the recipient’s implementation of the SSMP for specific project phases, the PMOC must
conduct an SSMP Adherence Review. This Review can be divided into five activities:
• Planning the review – based on activities, documentation, committees, and responsibilities identified
in the SSMP, prepare a list of documents and materials to review, individuals to interview, and sites
to visit; materials not in possession of the PMOC should be requested and a delivery schedule and a
schedule for the interviews and site visits should be developed
• Reviewing plans, policies, and procedures – to determine whether they are consistent with the
SSMP and with the FTA’s intent for management of safety and security programs
• Reviewing documentation, including memoranda, reports, records, and minutes of safety- and
security-related committees – to verify that the program has been implemented and plans and
procedures are being followed
• Interviewing recipient and consultant staff (senior and middle managers and consultant personnel
identified in the SSMP and others with safety and security responsibilities in the agency and
throughout the project) – to verify that personnel charged with carrying out the safety and security
programs are aware of the SSMP and their responsibilities and are capable of meeting them
• Inspecting selected sites – to view evidence that safety and security programs are being
implemented throughout the project area
6.1.3.1 Planning the Review
OP 22 Safety and Security Management Plan Review
Revision 0, June 2008
Page 6 of 11