Notice of Proposed Safety and Security Management Circular, 59853-59856 [E6-16684]

Agencies

• Federal Transit Administration
• DEPARTMENT OF TRANSPORTATION

[Federal Register Volume 71, Number 196 (Wednesday, October 11, 2006)]
[Notices]
[Pages 59853-59856]
From the Federal Register Online via the Government Printing 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: https://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 https://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 Carlos.Garay@dot.gov. 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 Levern.McElveen@dot.gov. 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 Bruce.Walker@dot.gov.

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: https://
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]
BILLING CODE 4910-57-P