[Federal Register Volume 71, Number 196 (Wednesday, October 11, 2006)]
[Notices]
[Pages 59853-59856]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-16684]
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DEPARTMENT OF TRANSPORTATION
Federal Transit Administration
[Docket Number: FTA-2006-25471]
Notice of Proposed Safety and Security Management Circular
AGENCY: Federal Transit Administration (FTA), DOT.
ACTION: Notice of proposed circular and request for comment.
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SUMMARY: The Federal Transit Administration (FTA) proposes to issue a
Circular on Safety and Security Management Guidance for FTA-funded
major capital projects. The proposed circular is for those FTA-funded
projects that involve: (1) The construction of a new fixed guideway or
extension of an existing fixed guideway; (2) the rehabilitation or
modernization of an existing fixed guideway with a total project cost
in excess of $100 million; or (3) projects designated as major capital
projects by the Administrator. The Circular, which is located on the
DMS Web site, identifies the safety and security management activities
to be performed by grantees and the criteria for documenting these
activities in the Safety and Security Management Plan (SSMP). FTA is
also developing a manual of effective practices to accompany the
circular.
DATES: Comments must be received by December 11, 2006. Late filed
comments will be considered to the extent practicable.
ADDRESSES: You may submit comments identified by the Document
Management System (DMS) Docket Number FTA-2006-25471 by any of the
following methods:
Web site: http://dms.dot.gov. Follow the instructions for
submitting comments on the DOT electronic docket site;
Fax: 202-493-2251;
Mail: Docket Management Facility; U.S. Department of
Transportation, 400 Seventh Street, SW., Nassif Building, PL-401,
Washington, DC 20590-0001; or
Hand Delivery: Room PL-401 on the plaza level of the
Nassif Building, 400 Seventh Street, SW., Washington, DC, between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
Instructions: You must include the agency name (Federal Transit
Administration) and the Docket Number (FTA-2006-25471). You should
submit two copies of your comments if you submit them by mail. If you
wish to receive confirmation that FTA received your comments, you must
include a self-addressed, stamped postcard. Note that all comments
received will be posted without change to the Department's DMS Web site
located at http://dms.dot.gov. This means that if your comment includes
any personal identifying information, such information will be made
available to users of DMS.
FOR FURTHER INFORMATION CONTACT: For issues regarding safety and
security in FTA's project development phases, contact Carlos M. Garay,
Office of Engineering, 400 Seventh Street, SW., Washington, DC, 20590,
(202) 366-6471; or [email protected]. For issues regarding specific
safety and security management activities, contact Levern McElveen,
Office of Safety and Security, 400 Seventh Street, SW., Washington, DC,
20590, (202) 366-1651; or [email protected]. For legal issues,
contact Bruce Walker, Office of Chief Counsel, Federal Transit
Administration, 400 Seventh Street, SW., Room 9316, Washington, DC
20590, (202) 366-4011; or [email protected].
SUPPLEMENTARY INFORMATION:
Background
FTA's Full Funding Grant Agreement (FFGA) Circular 5200.1A, Chapter
II, Section 6, Safety and Security Management Plan, issued on December
5, 2002, contains recommended guidance for grantees with FFGA projects.
The guidance identifies specific safety and security management
activities that must be performed and documented by the grantee in a
Safety and Security Management Plan (SSMP) and submitted to FTA for
review and conditional approval with application for FFGA.
Section 3026 of the Safe, Accountable, Flexible, Efficient
Transportation Equity Act: A Legacy for Users (SAFETEA-LU), [Pub. L.
109-59, August 10, 2005] now requires ``safety and security
management'' as an element of the Project Management Plan (PMP) to be
submitted by grantees for major capital projects. FTA is in the process
of developing a proposed rulemaking to fully implement this provision
of SAFETEA-LU. In the interim, this
[[Page 59854]]
proposed circular identifies specific safety and security management
activities to be performed for all major capital projects, as defined
in 49 CFR part 633. The circular also proposes guidance regarding how
these activities may be documented in the SSMP, which would be
submitted as part of the PMP.
I. What is FTA proposing for the SSMP?
For certain major capital projects, commonly referred to as ``New
Starts,'' that involve the construction or extension of rail transit,
commuter rail, or certain bus service in dedicated lanes, FTA is
proposing that the initial version of the SSMP will be submitted with
the grantee's request to enter Preliminary Engineering. As part of the
PMP, the SSMP will be updated regularly, and evaluated for conditional
approval by FTA prior to entry into subsequent project development
phases. For other major capital projects, including modernization of
existing fixed guideway systems and the purchase of bus and bus-related
equipment and facilities, FTA proposes that the SSMP be submitted and
updated whenever the PMP is required.
The proposed circular also includes a description of each section
to be included in the SSMP and a listing of the evaluation criteria FTA
proposes to use in assessing the grantee's development and
implementation of the SSMP.
The SSMP will document the grantee's approach to developing
management structures and work programs to effectively plan and
implement safety and security related elements of major capital
projects. The SSMP should also explain how the grantee expects to
manage required coordination with external agencies, including the
State Safety Oversight Agency (SSOA)--for rail transit projects
affected by 49 CFR Part 659, Rail Fixed Guideway Systems; State Safety
Oversight; the Federal Railroad Administration (FRA)--for commuter rail
projects and rail transit projects with shared use track, limited
connections to the general railroad system, and common corridors; and
the Transportation Security Administration (TSA)--for projects affected
by Security Directives and other TSA requirements and programs.
The proposed circular references other FTA regulations, including
49 CFR Part 633, Project Management Oversight; 49 CFR Part 611, Major
Capital Investment Projects; and 49 CFR Part 659, Rail Fixed Guideway
Systems; State Safety Oversight. In all cases, when using the proposed
circular, the most current regulation will supersede any references to
rules that have been cancelled or revised. FTA reserves the right to
make page changes to proposed and final circulars regarding updates to
other provisions, without subjecting the entire circular to public
comment. The Circular can be found on the DMS Web site: http://dms.dot.gov. Please refer to docket number FTA-2006-25471.
II. Why Is FTA Developing the Circular?
This proposed circular is the initial step in providing guidance in
meeting the criteria of section 3026 of SAFETEA-LU which amends 49
U.S.C. 5327(a) to require ``safety and security management'' as an
element of the PMP. Historically, grantees for FTA-funded major capital
projects have described project safety and security management
strategies and controls as sub-elements of other required PMP sections.
However, the level to which safety and security were addressed and the
specific approaches to ensure safety and security during each phase of
project development varied greatly among grantees. As such, it became
increasingly difficult for FTA to ensure a consistent approach to
safety and security in each major capital project. Likewise, since the
publication of Circular 5200.1A in December 2002, grantees have
indicated that they do not have sufficient guidance for the consistent
implementation of safety and security management activities, nor do
they have a clear understanding of the criteria FTA used to evaluate
implementation of safety and security activities.
The proposed circular describes specific safety and security
activities to be identified and performed for each major capital
project, and how these activities should be documented in the SSMP. FTA
will then assess the development and implementation of the SSMP as part
of the PMP. By describing these activities, the proposed circular will
provide guidance for strengthening safety and security management in
major capital projects.
III. What Factors Guided FTA's Development of the Circular?
A. Results From Previous Experience With SSMPs for FFGA Projects.
FTA reviewed SSMP submissions made for FFGA projects since December
2002. FTA also evaluated the results of in-depth assessments performed
by project management oversight consultants (PMOCs) regarding SSMP
development and implementation by grantees with FFGA projects.
FTA found that previously developed SSMPs did not clearly explain
the project's organization responsible for managing safety and
security. In many instances, staff and contractors assigned to the
organization were not identified by name, title, and department.
Committees established to support the organization were not clearly
identified by name and acronym, and membership was not always listed by
title and affiliation. For specific authorities delegated to
contractors, grantee staff members or committees were not always
clearly identified as responsible for oversight. Organization charts
were not always provided, and budgets and schedules were not always
developed for safety and security activities.
FTA also determined that by not specifically encouraging the
referencing of other safety and security plans and procedures, grantees
copied large amounts of text from these other plans into their SSMPs.
The resulting documents were much more voluminous than necessary and,
in some instances, were difficult to follow and implement. In some
cases, it was hard to distinguish the specific activities being
performed as part of the SSMP from the grantee's other safety and
security programs.
Finally, FTA found that grantees did not always clearly address how
the project's existing design and construction verification programs
should be used to support safety and security management. For example,
grantees did not always explain how their safety and security functions
were working with their quality control/quality assurance functions to
obtain verification that safety and security requirements established
for their projects were, in fact, addressed in technical specifications
and contract documents and in the as-built facilities, installed
systems, and procured equipment delivered for their projects.
In another example, grantees did not always explain how the
project's activation team was coordinating with the safety and security
function to make sure that staffing plans, established qualifications
and certifications, training programs, and demonstration activities
were sufficient to ensure the readiness of operations and maintenance
personnel to support revenue service. In several instances, FTA had
difficulty determining how the grantee's safety and security functions
were using the project's document control system to ensure the tracking
and resolution of ``open items'' and ``work-arounds'' that could
potentially impact safety and security.
[[Page 59855]]
B. New Industry Guidance
FTA also considered new guidance developed for industry since the
publication of Circular 5200.1A in December 2002. Specifically, FTA has
published a number of documents with recommendations to grantees for
addressing safety and security in major capital projects, including:
Handbook for Transit Safety and Security Certification (2002); Project
Construction and Management Guidelines Update (2003); Public
Transportation System Security and Emergency Preparedness Planning
Guide (2003); FTA's Top 20 Security Action Items Web site (2003); and
Transit Security Design Considerations (2005).
In partnership with the Transit Cooperative Research Program (TCRP)
of the Transportation Research Board (TRB), FTA has also funded
research that identifies and recommends activities to be performed by
grantees to address safety and security in the engineering, design,
construction, and operation of transit projects. For example, FTA is
currently funding: Project J-10G, Making Transportation Tunnels Safe
and Secure; Project A-30, Improving Safety Where Light Rail,
Pedestrians, and Vehicles Intersect; Project D-10, Audible Signals for
Pedestrian Safety in Light Rail Transit Environments; and Project D-11,
Design, Operation, and Safety of At-Grade Crossings of Exclusive
Busways. These projects build on previous FTA-funded research for TCRP
Report 17: Integration of Light Rail Transit into City Streets (1996);
TCRP Report 69: Light Rail Service: Pedestrian and Vehicular Safety
(2000); TCRP Research Results Digest 51, Second Train Coming Warning
Sign: Demonstration Projects (2002); and TCRP Report 86, Volume 4:
Public Transportation Security: Intrusion Detection for Public
Transportation Facilities Handbook (2003).
Also, since the publication of the 5200.1A Circular, the American
Public Transportation Association (APTA) has completed its Rail Transit
Standards Program, issuing over 90 standards to support the design,
operation and maintenance of rail transit projects. The Federal Highway
Administration (FHWA) updated Part 10 of the Manual on Uniform Traffic
Control Devices (MUTCD) in 2003, which relates to the design of rail
transit grade crossings. Operation Lifesaver, in partnership with FTA
and FRA, has developed program materials for use by rail transit
grantees regarding public marketing, education, and communications
efforts for rail grade crossings.
C. Federal Security Requirements
Finally, as a result of the events of September 11, 2001, many
grantees are now performing extensive vulnerability analyses as part of
their major capital projects, following guidance issued by FTA, TSA, or
the Department of Homeland Security (DHS) Office of Grants and Training
(G&T). Grantees are also designing and specifying the use of security
equipment, such as closed circuit television surveillance systems,
passenger call boxes, enhanced lighting, access control systems, and
intrusion detection systems, following guidance established by
consensus-based standards organizations.
Additionally, in 2004, DOT and TSA issued a joint rule-making
``Protection of Sensitive Security Information,'' published at 49 CFR
Part 15 and 49 CFR Part 1520, respectively. DOT published ``Interim
Policies and Procedures for 49 CFR Part 15, Protection of Sensitive
Security Information'' on June 7, 2005 (a copy is available with this
docket). The DOT policy and procedures apply to all DOT employees and
to all DOT contractors, grantees, consultants, licensees, and regulated
entities that have access to or receive Sensitive Security Information
(SSI). Procedures have been established by grantees for managing SSI
materials and to guide the sharing of SSI with FTA and other external
agencies. FTA also has established procedures for working with grantees
regarding the handling of these materials by Regional Offices,
Headquarters staff, and PMOCs. Specifically, FTA personnel and PMOCs
must comply with the grantee's SSI procedures as established in
accordance with 49 CFR Part 15. Depending on the materials being
reviewed and the procedures established by grantees, activities may
include performing on-site reviews of SSI materials at the grantee's
location, not removing SSI materials from specific locations, and
ensuring that a grantee escort is available to observe FTA/PMOC review
of SSI materials.
IV. What Specific Safety and Security Management Activities Are
Required?
To address concerns identified from previous experience with
developing and implementing SSMPs, and to reflect changes in available
guidance and industry practices, the proposed circular identifies
specific safety and security management activities to be performed by
grantees for major capital projects. These activities include
preparation of a policy statement, signed by the grantee's executive
leadership, endorsing the safety and security activities, as documented
in the SSMP. The proposed activities also include the development of a
well-defined organization, supported by a budget and schedule, for
identifying, resolving, and managing safety and security activities
during all development phases of the major capital project.
Further, these proposed activities include specific requirements
regarding the conduct of safety and security analysis, the development
of safety and security design criteria, the establishment of programs
to ensure the training and qualification of operations and maintenance
personnel prior to the initiation of revenue service, and the
establishment of verification programs to ensure that safety and
security design criteria are included in the technical specifications
and contract documents for the project and delivered in the final
project placed into revenue service.
Finally, the proposed activities ensure the issuance of final
safety and security certification for the project, including its
operational readiness, and the performance of appropriate coordination
throughout the project to address requirements specified by local,
State and Federal agencies, including applicable requirements from
SSOAs, FRA, and TSA.
V. How Are Safety and Security Activities Documented in the SSMP?
To support consistent development of SSMPs by grantees for major
capital projects, Chapter IV of the proposed circular identifies 11
sections required for the SSMP. Each section provides a detailed
description of what should be included in the SSMP. The proposed
circular, when published in final form will reference a manual being
developed by FTA to promote effective practices for safety and security
management. This manual will provide examples that may be used by
grantees in preparing SSMPs.
VI. Request for Comments
FTA is establishing a docket to receive public comment on the
proposed circular. FTA will publish the final circular, which may be
revised based on public comment, in a later Federal Register notice.
In reviewing the proposed circular, FTA is requesting comments on
the following:
1. Required Safety and Security Management Activities
The proposed circular identifies specific safety and security
management activities to be performed by grantees
[[Page 59856]]
for major capital projects. These activities are noted in Chapter II,
Section 2, of the proposed SSMP Circular. FTA is interested to learn of
opinions regarding these proposed activities and their relevance to
ensuring the safety and security of major capital projects.
Specifically, FTA would like to know if all of the required
activities are necessary; if there are activities which should be
added; and if grantees currently have programs underway addressing
these requirements. Also, for ``New Starts'' projects requesting entry
into Preliminary Engineering (PE), FTA is interested to learn what
specific safety and security management activities grantees will
perform during PE.
2. Listing of FTA Evaluation Criteria
The proposed circular identifies the criteria to be used by FTA in
assessing and evaluating the grantee's performance of required safety
and security management activities. These activities are noted in
Chapter II, Section 3, of the proposed SSMP Circular. FTA would like to
learn if commenters believe that these criteria are appropriate; if
there are other criteria that should be considered by FTA, and if
grantees believe that they have the project management organization and
information management systems in place to meet these criteria.
3. Sensitive Security Information
The proposed circular references the DOT regulation on Sensitive
Security Information (see 49 CFR Part 15). FTA has developed procedures
to coordinate with grantees regarding their implementation of programs
and procedures to identify and protect sensitive security information.
FTA is interested in receiving comments regarding how well these
procedures have worked in practice, and if there are any suggestions
for improvements that should be addressed in the proposed circular.
4. Process for Developing and Updating SSMPs
FTA is seeking comments on the proposed approach to developing and
updating SSMPs as part of the PMP. These criteria are found in Chapter
III of the proposed circular. Specifically, do grantees require
additional guidance regarding the appropriate contents of the SSMP for
different project development phases? Do grantees prefer to include the
SSMP as a separate chapter of the PMP or referenced as a separate plan
within the PMP? Do grantees with ``New Starts'' projects believe the
proposed circular provides enough information regarding FTA's
requirements for the SSMP at entry to Preliminary Engineering, entry to
Final Design, application for FFGA, and at other times when
circumstances require?
5. Required SSMP Contents
Chapter IV of the proposed circular lists eleven sections to be
included in the SSMP developed by the grantee. FTA requests comments
regarding these eleven sections. Are the requirements reasonable?
Should additional sections or sub-sections be added? Should specific
sections or sub-sections be removed? Are the descriptions for any
section or sub-section unclear or confusing? Do grantees need
additional guidance?
6. Other Comments
FTA also requests comments concerning the costs and benefits
associated with meeting guidance in the proposed circular. Grantees are
encouraged to comment on the number of hours and/or financial cost
associated with implementing the proposed circular's guidance as well
as the extent to which following the guidance will assist the grantee
in achieving its organizational objectives for safety and security
management in major capital projects.
Issued in Washington, DC, this 3rd of October 2006.
James S. Simpson,
Administrator, Federal Transit Administration.
[FR Doc. E6-16684 Filed 10-10-06; 8:45 am]
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