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/ CIRCULAR
U.S. Department
of Transportation
Federal Transit
Administration
FINAL
FTA C XXXX.XX
July 1, 2007
Subject: / SAFETY AND SECURITY MANAGEMENT GUIDANCE FOR MAJOR CAPITAL PROJECTS
  1. PURPOSE. In this circular, the Federal Transit Administration (FTA)provides safety and security guidance for recipients with major capital projects covered by49 CFR part 633, “Project Management Oversight.” This circularidentifies specific safety and security activities that a recipient must perform and document in a Safety and Security Management Plan (SSMP). In this circular, FTA explains that the SSMP is part ofthe recipient’s Project Management Plan (PMP).As part of the PMP, the SSMP must be updated whenever the PMP is required.
  2. CANCELLATION. This circular cancels Chapter II, Section 6 of FTA’s Full Funding Grant Agreement (FFGA)Guidance Circular 5200.1A, dated December 5, 2002. FTA is cancelling the requirements specified in Chapter II, Section 6 of FFGA Circular 5200.1A using a two-phased approach.
  3. Recipients with projects covered under Chapter II, Section 6 of FFGA Circular 5200.1A in final design or later phases as of the effective date of this Safety and Security Management Guidance for Major Capital Projects Circular will continue to follow the guidance specified in Chapter II, Section 6 of FFGA Circular 5200.1A until their projects are completed.
  4. Recipients with projects covered under Chapter II, Section 6 of FFGA Circular 5200.1A in preliminary engineering or earlier phases as of the effective date of this Safety and Security Management Guidance for Major Capital Projects Circular will follow the guidance specified in this Safety and Security Management Guidance for Major Capital Projects Circular.
  5. REFERENCES.
  6. Federal Transit Laws, Title 49, United States Code, Chapter 53.
  7. Safe, Accountable, Flexible, Efficient, Transportation Equity Act: A Legacy for Users, (SAFETEA–LU) (Pub. L. 109–59, 119 Stat. 1144, August 10, 2005).
  8. FTA regulation, 49 CFR part 633, “Project Management Oversight.”
  9. FTA regulation, 49 CFR part 611, “Major Capital Investment Projects.”
  10. FTA regulation, 49 CFR part 659, “Rail Fixed Guideway Systems; State Safety Oversight.”
  11. APPLICABILITY. This circular’s applicability is defined below.
  12. This circular is applicable to:

(1)Recipients with major capital projects, as defined in 49 CFR 633.5, initiated after the effective date of this circular.

(2)Recipients with major capital projects, as defined in 49 CFR 633.5, involving the construction of a new fixed guideway or extension of an existing fixed guideway, that are in preliminary engineering or earlier phases as of the effective date of this circular.

  1. This circular is not applicableto:

(1)Recipients with major capital projects, as defined in 49 CFR 633.5, involving the rehabilitation or modernization of an existing fixed guideway with a total project cost in excess of $100 million, and initiated before the effective date of this circular. These recipients must continue to follow existing safety and security certification requirements established by their State Oversight Agencies and/or the Federal Railroad Administration.

(2)Recipients with major capital projects, as defined in 49 CFR 633.5, involving the construction of a new fixed guideway or extension of an existing fixed guideway, that are in final design or later phases as of the effective date of this circular. These recipients must continue to follow the guidance in Chapter II, Section 6, Safety and Security Management Plan of FTA’s FFGA Circular 5200.1A.

(3)Recipients with major capital projects, as defined in 49 CFR 633.5, designated by the Administrator, and initiated before the effective date of this circular. These recipients must continue to follow the guidance in Chapter II, Section 6, Safety and Security Management Plan of FTA’s FFGA Circular 5200.1A.

  1. WAIVER. FTA reserves the right to waive any requirements of this circular to the extent permitted by law.
  2. FEDERAL REGISTER NOTICE. In conjunction with publication of this circular, a Federal Register Notice was published on [date] (vol. FR page), addressing comments received during the development of the circular.
  3. AMENDMENTS TO THE CIRCULAR.FTA reserves the right to make changes to this circular in the future and to update references to requirements contained in other revised or new guidance and regulations that undergo notice and comment procedures, without further notice and comment on this circular.
  4. ACCESSIBLE FORMATS. This documentis available in accessible formats upon request. Paper copies of this circular, as well as information regarding these accessible formats, may be obtained by calling FTA’s Administrative Services Help Desk, at 202–366–4865.
  5. EFFECTIVE DATE. This circular is effective as of ______, 2007.

______

James S. Simpson

Administrator

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SAFETY AND SECURITY MANAGEMENT PLAN CIRCULAR

TABLE OF CONTENTS

CHAPTERPAGE

I. INTRODUCTION AND BACKGROUND...... I–1

1.About FTA ...... I–1

2. Authorizing Legislation ...... I–1

3. Need for Safety and Security Management ...... I–1

4. How to Contact FTA ...... I–1

5. Definitions ...... I–2

II. AUTHORITY, ACTIVITIES, FTA EVALUATION CRITERIA, AND PROTECTION OF SENSITIVE SECURITY INFORMATION II–1

1. Authority ...... II–1

2. Safety and Security Management Activities ...... II–1

3. FTA Evaluation Criteria ...... II–3

4. Sensitive Security Information Management ...... II–3

III. PROCESS FOR PREPARING THE SSMP...... III–1

1. Overview ...... III–1

2.Identification of Sections that Are Not Applicable ...... III–1

3. Development Process—New Starts Projects ...... III–1

4. Development Process—Fixed Guideway

Modernization Projects ...... III–1

5. Development Process—Other Capital Projects ...... III–1

6. Referencing ...... III–1

IV. REQUIRED SSMP CONTENTS...... IV–1

1. Section 1: Management Commitment and Philosophy...... IV–1

2. Section 2: Integration of Safety and Security into Project

Development Process ...... IV–1

3. Section 3: Assignment of Safety and Security Responsibilities ..IV–2

4. Section 4: Safety and Security Analysis ...... IV–2

5. Section 5: Development of Safety and Security

Design Criteria ...... IV–3

6. Section 6: Process for Ensuring Qualified Operations and

Maintenance Personnel ...... IV–3

7. Section 7: Safety and Security Verification

Process (Including

Final Safety and Security Certification)...... IV–4

8. Section 8: Construction Safety and Security ...... IV–5

9. Section 9: Requirements for 49 CFR part 659, Rail Fixed

GuidewaySystems; State Safety Oversight...... IV–5

CHAPTERPAGE

10. Section 10: FRA Coordination ...... IV–5

11. Section 11: DHS Coordination ...... IV–6

APPENDIX

A.SSMP CHECKLIST...... A–1

INDEX

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Chapter I

Introduction and Background

  1. ABOUT FTA.The Federal Transit Administration (FTA)is one of ten modal administrations within the Department of Transportation (DOT). FTA is headed by an Administrator, who is appointed by the President of the United States. FTA functions through a Washington, DC, headquarters office, ten regional offices, and metropolitan offices that assist transit agencies in all 50 States, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Guam, Northern Mariana Islands, and American Samoa.

The Federal government, through FTA, provides financial assistance to develop new transit systems and improve, maintain, and operate existing systems. FTA oversees thousands of grants to hundreds of State and local transit grant recipients, primarily through its ten regional offices. These recipients are responsible for managing their programs in accordance with Federal requirements, and FTA is responsible for ensuring that recipients follow Federal mandates along with statutory and administrative requirements.

  1. AUTHORIZING LEGISLATION. The Safe, Accountable, Flexible, Efficient, Transportation Equity Act: A Legacy for Users (SAFETEA–LU) (Pub. L. 109–059), signed into law on August 10, 2005 and codified in 49 U.S.C. Chapter 53, provides $286.4 billion in guaranteed funding for Federal surface transportation programs over six years through FY 2009, including $52.6 billion for Federal transit programs—a 46 percent increase over transit funding guaranteed in the previous authorization Transportation Equity Act for the 21st Century (TEA–21).
  2. NEED FOR SAFETY AND SECURITY MANAGEMENT. Historically, recipients of FTA funding with projects covered under 49 CFR part 633 described their safety and security management strategies and controls as sub-elements of other required Project Management Plan (PMP) sections. Some recipients performed specific safety and security activities, such as safety and security certification or pre-revenue operational readiness assessments, while other recipients did not. There was no consistent approach to safety and security in projects covered under 49 CFR part 633. With this circular, FTA addresses these shortcomings and strengthens the role of safety and security oversight and management in all phases of project development.
  1. How to Contact FTA.FTA’s regional and metropolitan offices are responsible for implementation of grants and the provision of financial assistance to recipients, other than specific programs that are the responsibility of headquarters. Inquiries should be directed to either the regional or metropolitan office responsible for the geographic area in which you are located.

For further information, visit the FTA website: or contact FTA headquarters at the following address and phone number:

Federal Transit Administration

Office of Communications and Congressional Affairs

1200 New Jersey Avenue SE

Washington, DC 20590

Phone: 202–366–4043

Fax: 202–366–3472

  1. DEFINITIONS. All definitions in 49 U.S.C. 5302(a) apply to this circular, as well as the following definitions:
  2. Alternatives Analysismeans the first developmental phase in the multi-modal transportation planning and analysis process required for NewStarts Projects to receive Federal funds. During this phase, local and regional officials develop and adopt a locally preferred alternative, which the metropolitan planning organization (MPO)then incorporates into its financially constrained long-range plan. This phase concludes with the request to enter preliminary engineering.
  3. Constructionmeans the project phase that begins with the development, fabrication, or building of an engineered design and concludes with the delivery of the completed project. This phase includes the inspection, review, and testing of the delivered project and concludes with the determination that the delivered project meets the engineering specification.
  4. Contractor—Recipientmeans an entity that performs tasks specified for the major capital projectbythe recipient. Contractors for recipients are typically private sector enterprises engaged to provide services or products within agreed limits specified by a procuring activity undertaken by the recipients.
  5. Contractor—State Oversight Agencymeansan entity that performs tasks required by 49 CFR part 659 on behalf of the State oversight agencyor rail transit agency. The rail transit agency may not be a contractor for the State oversight agency.
  6. DHSmeans the Department of Homeland Security.
  7. FFGA (Full Funding Grant Agreement)means a written agreement between FTA and a recipient that establishes a financial ceiling with respect to the Government’s participation in a project; sets forth the scope of a project; and sets forth the mutual understanding, terms, and conditions relating to the construction and management of a project.
  8. Final Design means the third developmental phase required for New Starts Projectsto receive Federal funds. During this phase, the project sponsor takes the formalized concept and engineering development and finalizes them in the plans, specifications, and bid documents required for awarding the individual construction and equipment fabrication and installation contracts. This phase concludes with the application for FFGA.
  9. Final Verification Report means the report developed to document the results of safety and security certification for the project. This report is also called the Safety and Security Certification Verification Report (SSCVR).
  10. Fire/Life Safety Committeemeans the committee that serves as a liaison between the recipient and the fire jurisdictions and emergency response agencies (police, EMS, etc.) throughout the project development phases.
  11. Fixed Guideway System means any transit service that uses exclusive or controlled rights-of-way or rails, entirely or in part. This includes rapid rail, light rail, commuter rail, automated guideway transit, people movers, and exclusive facilities for buses and other high occupancy vehicles.
  12. FRAmeans the Federal Railroad Administration, an agency within the U.S. Department of Transportation.
  13. FTA means the Federal Transit Administration, an agency within the U.S. Department of Transportation.
  14. OGTmeans the Office of Grants and Training, an agency within the Department of Homeland Security.
  15. Hazardmeans any real or potential condition that can cause injury, illness, or death; damage to or loss of a system, equipment, or property; or damage to the environment. For rail transit agencies, the term “hazard” must be defined in the rail transit agency’s hazard management process.
  16. Hazard Analysismeans formal analysis performed to identify and classify hazards for the purpose of their elimination or control. Examples include preliminary hazard analysis (PHA), systems hazard analysis (SHA), and a variety of reliability analyses, including Failure Modes Effects and Criticality Analysis (FMECA).
  17. Hazard Resolutionmeans the analysis and subsequent action taken to reduce, to the lowest level practical, the consequences associated with an identified hazard.
  18. Integrated Testingmeans activities typically performed as part of construction to identify, plan, and conduct tests to evaluate integration of the delivered and accepted project into planned revenue operations. This phase concludes with verified documentation of compatibility between system elements.
  19. Major capital project means, as defined in 49 CFR 633.5, a project that: (1) involves the construction of a new fixed guideway or extension of an existing fixed guideway; (2) involves the rehabilitation or modernization of an existing fixed guideway with a total project cost in excess of $100 million; or (3) the Administrator determines is a major capital project because the project management oversight program will benefit specifically the agency or the recipient. Typically, this means a project that: (i) generally is expected to have a total project cost in excess of $100 million or more to construct; (ii) is not exclusively for the routine acquisition, maintenance, or rehabilitation of vehicles or other rolling stock;(iii) involves new technology; (iv) is of a unique nature for the recipient; or (v) involves a recipient whose past experience indicates to the agency the appropriateness of the extension of this program.
  20. Passengermeans a person who is on board, boarding, or alighting from a rail transit vehicle for the purpose of travel.
  21. Pre-revenue Operationsmeans activities typically performed at the conclusion of construction to verify the functional capability and readiness of the system as a whole. It concludes with verified documentation of readiness for revenue operations.
  22. Program Standardmeans a written document developed and adopted by the State oversight agency, that describes the policies, objectives, responsibilities, and procedures used to provide rail transit agency safety and security oversight.
  23. PMOC (Project Management Oversight Contractor)means the consultants used by FTA to monitor a major capital project's progress to determine whether a project is on time, within budget, in conformance with design criteria, constructed to approved plans and specifications, and is efficiently and effectively implemented.
  24. PMP (Project Management Plan) meansa written document prepared by a recipient that explicitly defines all tasks necessary to implement a major capital project.
  25. Preliminary Engineeringmeans the second developmental phase required for New Starts Projectsto receive Federal funds. During this phase, project sponsors investigate the merits of all potential configurations and designs in greater detail. The results of this phase provide the basis for subsequent funding and implementation decisions. This phase concludes with the request to enter final design.
  26. Rail Fixed Guideway Systemmeans, asdefined in 49 CFR 659.5, any light, heavy, or rapid rail system, monorail, inclined plane, funicular, trolley, or automated guideway that:

(1)Is not regulated by the Federal Railroad Administration (FRA); and

(2)Is included in FTA’s calculation of fixed guideway route miles or receives funding under FTA’s formula program for urbanized areas (49 U.S.C. 5336); or

(3)Has submitted documentation to FTA indicating its intent to be included in FTA’s calculation of fixed guideway route miles to receive funding under FTA’s formula program for urbanized areas (49 U.S.C. 5336).

  1. Rail Transit Agencymeans, as defined in 49 CFR 659.5, an entity that operates a rail fixed guideway system.
  2. Recipientmeans an eligible recipient of FTA funds for major capital projects that has been identified as the party responsible for preparing the Project Management Plan (PMP). For purposes of this circular, the term “recipient” applies to applicants as well as recipients of FTA funds for capital projects, so long as they are responsible for preparing the PMP.
  3. Revenue Servicemeans the time when transit vehicles are available to the general public and there is an expectation of carrying passengers. These passengers either directly pay fares or are subsidized by public policy or contractual arrangement.
  4. Safetymeans freedom from harm resulting from unintentional acts or circumstances.
  5. Safety and Security Change Review Boardmeans the committee that reviews, evaluates, and manages the changes proposed to the project’s documents for safety and security impacts. This body also makes recommendations for the disposition of proposed changes.
  6. Safety and Security Design Criteriameans criteria intended to provide guidance to the design team to support the definition of systems, sub-systems, and components, the development of performance requirements, and the final specification of the engineered system.
  7. Safety and Security Operations Review Committeemeans the committee responsible for overseeing commissioning activities, including systems integration testing, start-up, activation, final safety and security certification, and operations and maintenance demonstration.
  8. Safety and Security Requirementsmeans a listing of safety and security codes, regulations, rules, design procedures, standards, recommended practices, handbooks, and manuals prepared to provide guidance to designers in the development of safety and security design criteria and project specifications and bid documents.
  9. Safety and Security Review Committeemeans the committee that oversees the accomplishment of the safety and security objectives for each project development phase; this committee may receive the final safety and security certification and Final Verification Report.
  10. SSCP (Safety and Security Certification Plan) means the document that describes the process used to verify that safety and security related requirements are incorporated into a project, thereby demonstrating that it is operationally ready for revenue service and safe and secure for passengers, employees, emergency responders, and the general public.
  11. Securitymeans freedom from harm resulting from intentional acts or circumstances.
  12. SSO (State Oversight Agency)means the entity, other than the rail transit agency, designated by aState or several States to implement 49 CFR part 659.
  13. Statemeans a State of the United States, the District of Columbia, Puerto Rico, the Northern Mariana Islands, Guam, American Samoa and the Virgin Islands.
  14. System Safety Program Planmeansa document developed by the rail transit agency, describing its safety policies, objectives, responsibilities, and procedures.
  15. System Security Planmeans a document developed by the rail transit agency describing its security policies, objectives, responsibilities, and procedures.
  16. TSAmeans the Transportation Security Administration, an agency within the Department of Homeland Security.
  17. Vulnerabilitymeans the characteristics of passengers, employees, vehicles, and/or facilities that increase the probability of a security event.
  18. Vulnerability Analysismeans a systematic analysis performed to identify vulnerabilities and make recommendations for their elimination or mitigation during revenue and non-revenue operation.

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