BRIEFING PRESENTATION
Safety and Security Management Plans
(SSMPs) for Major Capital Projects
U.S. DOT
Federal Transit Administration
What is a Safety and Security Management
Plan (SSMP)?
Slide 1
U.S. DOT
Federal Transit Administration
Safety and Security Management Plans
(SSMPs)
•
Required for major capital projects, as defined in 49 CFR Part 633.5,
as a component of the Project Management Plan (PMP)
•
Written by recipients of federal financial assistance to describe how
safety and security will be addressed in their major capital projects
•
Must cover initial project planning through initiation of revenue service
•
Must be developed and submitted to FTA for review and approval
•
FTA approval of SSMP must be received prior the recipient receiving
approval to enter the next project phase
Slide 2
U.S. DOT
Federal Transit Administration
Why are SSMPs necessary?
Slide 3
U.S. DOT
Federal Transit Administration
Purpose of SSMP requirement is to…
•
Establish a consistent baseline for the management of safety and
security activities
•
Specify minimum safety and security management activities to be
performed and documented by the recipient during each project phase
•
Ensure safety and security are adequately addressed in all project
development phases
Slide 4
U.S. DOT
Federal Transit Administration
FTA Safety and Security Management
Guidance Circular 5800.1
Slide 5
U.S. DOT
Federal Transit Administration
FTA Safety and Security Management
Guidance Circular 5800.1
•
Becomes effective August 1, 2007
•
Cancels previous guidance
•
Applies to recipients of major capital projects that are initiated after, or
are in the preliminary engineering or earlier phases of project
development as of August 1, 2007
Slide 6
U.S. DOT
Federal Transit Administration
Circular 5800.1 has been developed to…
•
Provide safety and security management guidance to recipients with
major capital projects covered by 49 CFR Part 633
•
Explain why SSMPs are necessary
•
Identify the specific safety and security activities that must be
performed and documented by the recipient in the SSMP
•
Provide guidance to recipients for achieving compliance with FTA’s
safety and security management requirements
Slide 7
U.S. DOT
Federal Transit Administration
Circular 5800.1 does not apply to…
•
Small Starts and Very Small Starts projects unless FTA’s Administrator
determines that a PMP is necessary
•
Recipients with major capital projects involving the rehabilitation or
modernization of existing fixed guideway with total project costs in
excess of $100 million, and initiated before August 1, 2007
•
Recipients with major capital projects involving construction of new
fixed guideway or extensions of existing fixed guideway that are in final
design or later phases as of August 1, 2007
•
Recipients with major capital projects designated by the Administrator,
and initiated before August 1, 2007
Slide 8
U.S. DOT
Federal Transit Administration
Cancellation of previous SSMP guidance is
through a two phased approach…
•
Recipients in the final design or later phases of project development as
of August 1, 2007 will continue to follow the previous guidance
•
Recipients with projects in preliminary engineering or earlier phases as
of August 1, 2007 will follow Circular 5800.1 guidance
Slide 9
U.S. DOT
Federal Transit Administration
Required Safety and Security Management
Activities
Slide 10
U.S. DOT
Federal Transit Administration
Required Safety and Security Management
Activities
•
Recipients must complete the following to achieve compliance with
FTA’s SSMP requirements:
1.
2.
3.
4.
5.
6.
Prepare a Policy Statement
Identify Safety and Security Interfaces
Establish a Safety and Security Organization
Identify Specific Safety and Security Activities by Project Phase
Ensure Construction Safety and Security
Ensure Coordination with External Agencies
Slide 11
U.S. DOT
Federal Transit Administration
Identification of SSMP Sections that may not
be applicable to the Major Capital Project
•
Recipients should contact their FTA Regional Office with questions
regarding applicability
•
Recipients must provide a clear explanation as to why the SSMP
activity, section, or sub-section is not applicable
•
FTA determines applicability and whether or not it must be address in
the recipient’s SSMP
•
Sections that are not applicable must still be included in the SSMP
immediately followed by the phrase “not applicable”
Slide 12
U.S. DOT
Federal Transit Administration
Preparation of Policy Statement
•
Recipients must develop a signed statement, issued by their executive
management, endorsing the SSMP and stating the project’s
commitment to safety and security
•
Policy statement provides the overall intentions and direction of the
recipient’s organization regarding safety and security for the project
•
Policy statement should be in letter or memorandum format and
signed by the recipient’s chief executive officer
Slide 13
U.S. DOT
Federal Transit Administration
Sample Policy Statement
Sample Safety and Security Policy Statement
It is the policy of [insert name of grant recipient] that [insert name of project] be designed and
constructed in full compliance with requirements for safety and security established by the Federal
Transit Administration (FTA), [insert name of grant recipient], and other local, State and Federal
agencies. Safety and security are to be priorities in conducting all work on the [insert name of
project] to ensure the safety and security of employees, the public, and emergency responders
during the design, construction, and operation of the project.
[Insert name of grant recipient] is committed to ensure that [insert name of project] fully complies
with the safety and security requirements contained in the design criteria and standards established
for [insert name of project]. The [insert name of project] will not be placed into passenger service
until it can be certified be safe and secure as specified in the [insert name of grant recipient]’s Safety
and Security Certification Program and Plan.
All persons assigned to conduct work on the [insert name of project] are required to comply with the
requirements of this Safety and Security Management Plan as well as the Plans, Procedures, and
Instructions referenced by this Plan. The [insert title of grant recipient manager assigned to safety
and security] has been assigned the authority to ensure that the requirements of this Plan are
implemented properly by all project participants. The [insert name of grant recipient manager
assigned to safety and security] will bring any safety and security issues on the project that are not
being resolved in a timely or acceptable manner to the attention of the [insert name of grant
recipient] Project Director for resolution.
Signed:________________________________
Chief Executive Officer
Date:___________
Agency Name
Slide 14
U.S. DOT
Federal Transit Administration
Identification of Safety and Security
Interfaces
•
Recipients must identify who among the project team leadership has
ultimate decision-making responsibilities for safety and security issues
•
These individuals must be identified by name, title, and department or
affiliation
•
The recipient must also explain how these individuals interface with
other project team functions regarding safety and security issues
Slide 15
U.S. DOT
Federal Transit Administration
Establishing a Safety and Security
Organization
•
Recipients must establish a specific organization to manage safety
and security for the project
•
All recipient staff and contractors assigned to the this organization
must be identified by name, title, and department or affiliation
•
Committees established to support this organization must be identified
along with their participants by name, title and affiliation
•
For all contractors, recipients must identify a recipient staff member or
committee responsible for overseeing the contractor
•
The safety and security management organization must be illustrated
by the recipient in the form of an organizational chart in the SSMP
Slide 16
U.S. DOT
Federal Transit Administration
Identifying Specific Safety and Security
Activities by Project Phase
•
At a minimum, recipients must perform the following:
–
–
–
–
Identify and assess safety hazards and security vulnerabilities, using
formal safety and security analysis techniques
Establish safety and security requirements for the project
Establish a process for verifying that contractors and recipient staff and
committees build, install, inspect, and test all facilities, systems, and
equipment comprising the project
Develop documentation through which the recipient conveys the safety,
security, and emergency rules and procedures it establishes for the project
to employees, contractors, and oversight agencies
Slide 17
U.S. DOT
Federal Transit Administration
Identifying Specific Safety and Security
Activities by Project Phase (continued)
•
At a minimum, recipients must perform the following:
–
–
–
–
–
Establish qualifications and training programs for all personnel who will
operate and maintain the project in revenue service
Ensure that documented verification is available to show how it trained and
qualified its personnel and/or contractors to operate and maintain the
project and to respond to emergencies
Maintain a process to manage open safety and security items, resulting
from design deviations, change orders, non-conformances, and other
sources
Conduct emergency exercises or drills prior to placing the project into
revenue service
Make final safety and security certification prior to the placement of the
project into revenue service
Slide 18
U.S. DOT
Federal Transit Administration
Identifying Specific Safety and Security
Activities by Project Phase – Sample Matrix
MGT
     
Develop Safety and Security Management Plan
MGT
Establish Safety and Security Committees
MGT
Create Safety and Security Responsibilities Matrix
MGT




Develop Safety and Security Certification Program Plan
Develop and Implement Hazard and Vulnerability
Resolution and Tracking System
Prepare Preliminary Hazard and Vulnerability List
MGT/ENG
Identify Safety and Security Certifiable Elements
ENG/MGT
Establish Safety and Security Certifiable Items List
MGT/ENG
MGT/ENG
ENG
Establish Safety and Security Configuration Management
ENG
Create Safety and Security Certification Project Folders
Perform Preliminary Hazard Analysis and Threat and
Vulnerability Analysis
Prepare Safety and Security Design Criteria
Perform Safety and Security Review of Preliminary
Operations and Maintenance Procedures
Perform Safety and Security Design Reviews & Additional
Hazard and Vulnerability Analysis
MGT
ENG
ENG
MGT
ENG/MGT

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OPS
     
IN
TST
DEM
MGT
Establish Designated Function (DF) for Safety and Security
throughout the Project
CON
Develop Safety and Security Policy Statement
TASK
FD
Task
Type
PE
*Sample Safety and Security Activities Matrix



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   
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
    
*Partial Matrix Shown
Slide 19
U.S. DOT
Federal Transit Administration
Ensuring Construction Safety and Security
•
Recipients must establish requirements for construction safety and
security
–
–
This must include requirements for contractors at construction sites
Requirements must meet OSHA standards
•
Recipients must ensure that contractor oversight is provided
•
Safety and security analyses that contractors must perform for the
construction site must be identified
•
If appropriate for the project, incentives must also be identified
Slide 20
U.S. DOT
Federal Transit Administration
Ensuring Coordination with External
Agencies
•
Recipient’s must identify required activities and develop schedules to
ensure compliance with requirements specified by local, State and
Federal agencies
•
This includes:
–
–
–
–
–
–
•
State Safety Oversight Agencies
Federal Railroad Administration
Department of Homeland Security
Transportation Security Administration
Office of Grants and Training
Other DHS agencies as appropriate
Recipients must document coordination with metropolitan planning
organizations (MPOs)
Slide 21
U.S. DOT
Federal Transit Administration
Required SSMP Contents
Slide 22
U.S. DOT
Federal Transit Administration
Required SSMP Contents
•
Recipient’s must develop and implement an SSMP that contains the
following 11 sections:
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
Management Commitment and Philosophy
Integration of Safety and Security into Project Development Process
Assignment of Safety and Security Responsibilities
Safety and Security Analysis
Development of Safety and Security Design Criteria
Process for Ensuring Qualified Operations and Maintenance Personnel
Safety and Security Verification Process (Including Final Safety Security
Certification)
Construction Safety and Security
Requirements for 49 CFR Part 659, Rail Fixed Guideway Systems, State
Safety Oversight
FRA Coordination
DHS Coordination
Slide 23
U.S. DOT
Federal Transit Administration
Section 1: Management Commitment and
Philosophy
•
Must explain how the recipient’s leadership is committed to safety and
security throughout the project
•
Section 1 must include:
–
–
–
–
Safety and Security Policy Statement
Purpose of SSMP
Applicability and Scope
SSMP Goal
Slide 24
U.S. DOT
Federal Transit Administration
Section 2: Integration of Safety and Security
Into Project Development Process
•
Safety and Security Activities: Must identify the safety and security
tasks the recipient must perform through all project phases. Must
include:
–
•
Both text description and matrix listing of activities and corresponding
project phase
Procedures and Resources: Must identify the procedures and
resources that will support performance of safety and security tasks.
Must include:
–
–
–
–
Project budget and schedule
Procedures for managing safety and security contractors
Procedures for coordinating safety and security activities with other
recipient staff and contractors
Procedures for managing Sensitive Security Information (SSI)
Slide 25
U.S. DOT
Federal Transit Administration
Section 2: Integration of Safety and Security
Into Project Development Process (continued)
•
Interface with Management: Must identify the process and lines of
communication through which recipient’s will communicate safety and
security issues to project leadership
•
Organizational Chart must be provided with supporting text to:
–
–
–
Identify, by name, title, and department or affiliation, individuals who have
ultimate decision-making responsibility for safety and security
Explain how these individuals interface with project team functions
Identify relationships between project leadership and construction
contractors and subcontractors
Slide 26
U.S. DOT
Federal Transit Administration
Section 3: Assignment of Safety and Security
Responsibilities
•
Responsibility and Authority: Must establish a specific organization to
perform safety and security tasks
–
–
–
All staff and contractors assigned must be identified by name, title, and
department/affiliation
All committees and committee members must be identified by name, title,
and affiliation
Organizational chart must be provided
•
Committee Structure: Describes the organization and responsibilities
of committees used by the recipient during the project
•
Safety and Security Responsibility Matrix: Presents responsibilities
and reporting relationships established for staff, committees, and
contractors performing safety and security activities
–
For all contractors, the recipient must identify a recipient staff
member or committee responsible for overseeing the contractor
Slide 27
U.S. DOT
Federal Transit Administration
Safety and Security
Contractor (SSC)
Construction Safety (CS)
Project Manager (PM)
Design Manager (DM)
Construction Manager
(CM)
Quality Manager (QM)
Test Manager (TM)
Operations Manager (OM)
Program Management and Control
Establish Safety and Security Policy Statement
Set safety and security policies, goals and objectives
Develop safety and security task list
Establish safety organization (DF, committees, contractor support, etc.)
Establish security organization (DF, committees, contractor support, etc.)
Assign roles and responsibilities for safety activities
Assign roles and responsibilities for security activities
Develop Safety and Security Management Plan
Develop Safety and Security Milestone Schedule
Develop and disseminate Safety and Security Certification Program Plan
Develop and disseminate procedures to direct safety activities
Develop and disseminate procedures to direct security activities
Provide assistance on safety and security issues
Provide centralized procurement of safety and security contractors and consultants
Perform program reviews and audits for safety and security activities
Establish system for hazard and vulnerability tracking and resolution
Require hazard/vulnerability analysis to assess impacts of deviations from design criteria/design
standards and project technical baseline specifications
Chief of Security (COS)
*Project Safety and Security Tasks
Legend:
P – Primarily or lead
S – Secondary function or assistance
A – Approval authority
C – Comment only
Safety Officer (SO)
Section 3: Assignment of Safety and Security
Responsibilities – Sample Matrix
P
P
P
P
S
P
S
P
P
P
P
P
P
P
P
P
S
P
P
S
P
S
P
P
P
P
S
S
P
P
P
P
S
S
S
S
S
S
S
S
S
S
S
S
S
C
C
S
C
C
C
C
C
C
C
C
C
C
C
C
C
C
C
C
A
A
A
A
A
A
A
A
A
A
A
A
A
A
C
A
C
C
C
C
C
C
C
C
C
C
C
C
C
C
S
S
C
C
C
C
C
C
C
C
C
C
C
C
C
C
S
S
C
C
C
C
C
C
C
C
C
C
C
C
C
C
P
S
C
C
C
C
C
C
C
C
C
C
C
C
C
C
S
S
C
C
C
C
C
C
C
C
C
C
C
C
C
C
C
C
P
P
S
C
A
S
S
S
S
C
*Partial Matrix Shown
Slide 28
U.S. DOT
Federal Transit Administration
Section 4: Safety and Security Analysis
•
Approach to Safety and Security Analysis: Must describe recipients
process for identifying, documenting, analyzing, controlling,
eliminating, and tracking safety hazards and security vulnerabilities
–
•
Must also identify the level of hazards and vulnerabilities acceptable to
project management
Requirements for Safety and Security Analysis: Must specify distinct
types of analysis the recipient will perform during the project
–
–
–
Must identify who will perform analyses and when
Must describe how results of analyses will be communicated to and
incorporated into project
Must include a process for assuring resolution of identified hazards and
vulnerabilities establish a specific organization to perform safety and
security tasks
Slide 29
U.S. DOT
Federal Transit Administration
Section 4: Safety and Security Analysis
(continued)
•
•
•
Safety and security analysis systematically identifies, evaluates, and
resolves hazards and vulnerabilities during each project phase
Recipients’ approach to hazard and vulnerability identification,
analysis, and resolution is the basis of their risk management system
Risk management, when applied to safety and security, means
–
•
“a structured system for measuring uncertainty in safety and security loss
and evaluating corresponding impacts on project cost, schedule and
performance to support sound decisions.”
In general:
–
–
–
Greater probability of occurrence = Greater Risk and greater need for
resolution
Greater severity of consequences = Greater Risk and greater need for
resolution
Probability + Severity = Risk Assessment
Slide 30
U.S. DOT
Federal Transit Administration
Section 4: Safety and Security Analysis
(continued)
•
Safety and security analysis is used during the design process to help
identify design requirements and criteria
Project Definition
and General
Requirements
Preliminary Project
Description and
Component
Identification
DESIGN
Identification of
Safety and
Security Codes,
Standards,
Requirements
Preliminary
Hazard and
Vulnerability List
and Supporting
Analysis
SAFETY AND
SECURITY
DESIGN
CRITERIA
Final Project
Specifications and
Drawings
Design
Approval
Preliminary
Specifications and
Drawings
Safety and
Security Certifiable
Elements and
Items
System Safety and
Security Analysis
Design Reviews
Slide 31
U.S. DOT
Federal Transit Administration
Section 4: Safety and Security Analysis
(continued)
•
•
MIL-STD-882 is the most frequently used approach for hazard analysis
in transit
Degrees of Hazard Severity are defined as follows:
–
–
–
–
Category I, Catastrophic – could result in death, permanent total
disability, loss exceeding $1 million, or irreversible environmental damage
Category II, Critical – could result in permanent total disability, injuries or
occupational illnesses resulting in hospitalization of 2 or more persons, loss
exceeding $200,000, but less than $1 million, or reversible environmental
damage
Category III, Marginal - could result in injury or occupational illness
resulting in one or more lost workdays, loss exceeding $10,000, but less
than $200,000, or mitigatible environmental damage without violation of
law or regulation where restoration activities can be accomplished
Category IV, Negligible - could result in injury or illness not resulting in a
lost work day, loss exceeding $2,000, but less than $10,000, or minimal
environmental damage not violating law or regulation
Slide 32
U.S. DOT
Federal Transit Administration
Section 4: Safety and Security Analysis
(continued)
•
Degrees of Hazard Probability are defined as follows:
–
–
–
–
–
A, Frequent - Likely to occur often in the life of an item, with a probability
of occurrence greater than 10-1 in that life. Continuously experienced in
fleet.
B, Probable - Likely to occur several times in the life of an item, with a
probability of occurrence less than 10-1 by greater than 10-2 in that life. Will
occur frequently in fleet.
C, Occasional - Likely to occur some time in the life of an item, with a
probability of occurrence less than 10-2 but greater than 10-3 in that life. Will
occur several times in the life of the fleet.
D, Remote - Unlikely but possible to occur in the life of an item, with a
probability of occurrence less than 10-3 but greater than 10-6 in that life.
Unlikely, but can reasonably be expected to occur in the fleet.
E, Unlikely - So unlikely to occur in the lifetime of an item, it can be
assumed occurrence will not be experienced, with a probability of
occurrence less than 10-6 in that life. Unlikely to occur in the fleet, but
possible
Slide 33
U.S. DOT
Federal Transit Administration
Section 4: Safety and Security Analysis
(continued)
•
Hazard risk classification combines the hazard severity and probability
characteristics into a single hazard risk index
Probability of
Occurrence
Catastrophic
Severity of Occurrence
Critical
Marginal
Negligible
A Frequent
1
3
7
13
B Probable
2
5
9
16
C Occasional
4
6
11
18
D Remote
8
10
14
19
E Unlikely
12
15
17
20
Slide 34
U.S. DOT
Federal Transit Administration
Section 4: Safety and Security Analysis
(continued)
•
Hazard risk classification combines the hazard severity and probability
characteristics into a single hazard risk index
Hazard Risk
Assessment
Value
1-5
Priority
Hazard Risk
Category
1
High
Hazard Risk
Acceptance/Approval
Level
Project Chief Executive
6-9
2
Serious
Safety Organization
10-17
3
Medium
18-20
4
Low
Project Engineering and
Safety Organization
Project Engineering
Slide 35
U.S. DOT
Federal Transit Administration
Section 4: Safety and Security Analysis
(continued)
FTA’s threat and vulnerability analysis approach may also be
employed
•
Very Easy
Relatively Easy
Difficult
Very Difficult
Too Difficult
Vulnerability
A
B
C
D
E
Impact
I
II
III
IV
Loss of life
Serious injuries, major service impact, >$250k damage
Minor injuries, minor service impact, <$250k damage
No injuries, no service impact
Audit Approach ...
Criticality Matrix
Threat
Asset
Assets





Terminals
Multi-modal Stations
Maintenance Facilities
Vessels
Slips, Docks, and
Bridges
Threats





Scenario
A
B
C
D
E
I
II
III IV
H
H
H
S
S
H
H
S
L
L
S
S
L
L
L
S
L
L
L
L
•
•
•
H = High
S = Serious
L = Low
Bombs
Chemical Agents
Biological Agents
Guns/Knives
Hijacking
Slide 36
U.S. DOT
Federal Transit Administration
Section 4: Safety and Security Analysis
(continued)
•
Similar vulnerability classifications can be made using a modified
approach
RISK
LEVEL
Critical
ASSETS/IMPACTS

Loss of Life
THREAT



High



Serious injuries
Major service impact
>$250K damage



Medium



Minor injuries
Minor service impact
<$250K damage



Low


No injuries
No service impact


VULNERABILITY
Definite threat exists
Both the capability and intent
exist
Similar assets are targeted on a
frequent or reoccurring basis

Credible threat exists
Plausible capability and intent
exists
Related incidents exist on similar
assets in the past

Potential threat exists
Adversary’s desire to gain
capability and intent exists
Capability could exist through a
third party

Little or no credible evidence of
capability or intent exists
No history of actual or planned
threats





Few effective countermeasures
exist
Known adversaries would exploit
the asset
Some countermeasures exist, but
multiple weaknesses still exist
Many adversaries could exploit the
asset
Effective countermeasures exist,
but at least one weakness still
exists
Some known adversaries could
exploit the asset
Multiple levels of effective
countermeasures exist
Few or no known adversaries
would be capable of exploiting
asset
Slide 37
U.S. DOT
Federal Transit Administration
Section 4: Safety and Security Analysis
(continued)
•
Hazard and vulnerability resolution is performed through the following
methods, listed in order of precedence:
–
–
–
–
Design for Minimum Risk
Incorporate Safety Devices
Provide Warning Devices
Develop Special Procedures and Training
Slide 38
U.S. DOT
Federal Transit Administration
Section 4: Safety and Security Analysis
(continued)
Preliminary
Final Design
Construction
Operations
Engineering
PHVL
Safety & Security Analysis-
PHA and TVA
Concepts
Inputs to
Specifications
Revise PHA/TVA
Safety & Security AnalysisSystems and Subsystems
SSHA, FMEA, FMECA, FTA, TRA & SSSA
Inputs to Design,
Procedures, Test,
Training, Manufacturing
& Assembly
SHA, Updated FEMA, FMECA, FTA, TRA &
SSSA
Safety & Security Analysis-
O&SHA, HHA
Personnel, Procedures
And Equipment
Inputs to Design,
Changes, Training &
Procedures
Slide 39
U.S. DOT
Federal Transit Administration
Section 4: Safety and Security Analysis
(continued)
Hazard and Vulnerability Analysis Process
HAZARD OR VULNERABILITY IS IDENTIFIED
HAZARDS OR VULNERABILITY CAN BE IDENTIFIED BY ANY PROJECT MEMBER, INCLUDING
CONTRACTORS AND SUBCONTRACTORS
HAZARD OR VULNERABILITY REPORTED
HAZARDS AND VULNERABILITIES ARE REPORTED TO PROJECT SAFETY ORGANIZATION AND DOCUMENTED
HAZARD AND VULNERABLITY ASSESSMENT MADE
DETERMINE HAZARD AND VULNERABILITY CAUSES; ANALYZE SEVERITY AND PROBABILITY FACTORS; DETERMINE
CORRECTIVE ACTIONS; COMMUNICATE TO PROJECT PERSONNEL
RESOLVE HAZARDS
ASSUME RISK OR IMPLEMENT CORRECTIVE ACTION TO ELIMINATE OR CONTROL HAZARD OR
VULNERABILITY; DOCUMENT ACTIONS TAKEN
FOLLOW-UP
MONITOR CORRECTIVE ACTIONS FOR EFFECTIVENESS
Slide 40
U.S. DOT
Federal Transit Administration
Section 5: Development of Safety and Security
Design Criteria
•
Approach to Development of Safety and Security Requirements and
Design Criteria: Must describe recipients approach to creating suitable
safety and security requirements and design criteria. Recipient must:
–
–
–
–
Describe resources that will be used to develop requirements
Describe how requirements will be used to develop design criteria
Describe how requirements and criteria will be used to identify safety and
security certifiable elements
Explain approach for ensuring requirements and criteria are included in
final specifications and contract documents
•
Design Reviews: Recipient must explain how safety and security will
be addressed during design reviews
•
Deviations and Changes: Must identify process for ensuring all
proposed changes are appropriately reviewed and approved prior to
adoption
Slide 41
U.S. DOT
Federal Transit Administration
Section 6: Process for Ensuring Qualified
Operations and Maintenance Personnel
•
Operations and Maintenance Personnel Requirements: Must identify
quantity and job classifications of personnel needed to operate and
maintain the completed project
–
–
•
Must specify qualifications and core competencies
Must place special emphasis on front-line personnel
Plans, Rules and Procedures: Must identify, by name, specific safety,
security, and emergency plans, rules, procedures, and manuals that
will be developed by the recipient for the project
–
Must include a schedule for development
Slide 42
U.S. DOT
Federal Transit Administration
Section 6: Process for Ensuring Qualified
Operations and Maintenance Personnel
(continued)
•
Training Program: Must identify training elements provided to
employees, by job classification, to ensure capabilities to provide safe
and secure service and to respond to emergencies
–
–
•
Emergency Preparedness: Must identify exercises, drills, tabletops, or
other activities used to ensure project readiness
–
•
Must provide development and training schedule including completion
dates for employee qualifications and certifications
Must document and retain personnel training records, qualifications, and
certifications
Must explain how exercise results will be assessed, documented, and
incorporated into project (i.e., after action reports or equivalent document)
Public Awareness: Must identify public outreach and education
programs
Slide 43
U.S. DOT
Federal Transit Administration
Section 7: Safety and Security Verification
Process
•
Design Criteria Verification Process: Must describe process used to
verify specifications, drawings, and contract documents conform to
safety and security requirements and design criteria
–
Must explain approach to ensuring required inspections and tests are
incorporated into project test plans
•
Construction Specification Conformance Process: Must describe
process used to verify project elements conform to safety and security
components of specifications, drawings, and contract documents
•
Testing/Inspection Verification: Must describe process used to verify
as-built or delivered configuration contains/meets safety and security
requirements of specifications, drawings, and contract documents
–
Includes contractual testing, system integration testing, and pre-revenue
testing
Slide 44
U.S. DOT
Federal Transit Administration
Section 7: Safety and Security Verification
Process (continued)
•
Hazard and Vulnerability Resolution Verification Process: Must
describe process used to verify hazards and vulnerabilities have been
appropriately identified, analyzed, and resolved to acceptable levels
•
Operational Readiness Verification: Must describe process used to
verify plans, procedures, rules, manuals, and training/qualification
programs conforming to safety and security requirements
–
•
Must explain process for ensuring qualification and readiness of operations
and maintenance personnel
Safety and Security Certification Requirements: Must describe process
used to deliver final certification that project is safety and secure for
revenue operation
–
Includes individual certificates of compliance for safety and security
certifiable elements
Slide 45
U.S. DOT
Federal Transit Administration
Section 7: Safety and Security Verification
Process (continued)
•
Final Safety and Security
Certification is the
responsibility of the recipient
•
Includes a signed statement
by the Project’s Chief
Executive that the project has
met established safety and
security requirements and is
ready for revenue operations
•
Failure to administer safety
and security certification
program can delay the start or
revenue operation
Slide 46
U.S. DOT
Federal Transit Administration
Section 8: Construction Safety and Security
•
Construction Safety and Security Program Elements: Must describe
recipient’s program for construction safety and security
–
–
•
Construction Phase Hazard and Vulnerability Analysis: Must describe
recipient’s requirements for safety and security analysis at construction
sites
–
•
Including contractor requirements for plans and reports that must be
submitted by the contractor to the recipient
Must describe activities recipient will perform to track and manage
contractor construction safety and security programs and plans
Including approach to identifying and mitigating hazards and threats unique
to the construction site
Safety and Security Incentives: Must describe incentives (if any) the
recipient may provide for construction safety and security program
Slide 47
U.S. DOT
Federal Transit Administration
Section 9: Requirements for 49 CFR Part 659,
Rail Fixed Guideway Systems: State Safety
Oversight
•
Only required for recipients with major capital projects
undertaken for rail transit agencies as defined by 49 CFR Part
659.5
•
These recipients must describe activities performed to coordinate with
its State Safety Oversight Agency
•
Must identify State Oversight Agency requirements and activities to be
performed to address these requirements
–
Must provide a schedule for the activities the recipient will perform to
ensure compliance with these requirements
Slide 48
U.S. DOT
Federal Transit Administration
Section 10: FRA Coordination
•
Only required for recipients that propose to share track with one
or more FRA regulated railroads or that will operate on the
general railroad system
•
Activities that will be performed to comply with FRA regulations must
be identified with a schedule for there completion
•
Recipients with commuter or passenger railroads, regulated by FRA,
must also describe their process for developing or updating an SSPP
and submitting it to FRA for review and approval
–
•
The SSPP must conform to APTA “Guidelines for the Development of
Commuter Rail System Safety Program Plans”
These recipients must also submit for FRA review and approval, plans
for the completion of a collision/derailment hazard analysis that
conforms to the hazard management process in the approved SSPP
or the “Draft FRA Guide to Collision/ Derailment Hazard Analysis.”
Slide 49
U.S. DOT
Federal Transit Administration
Section 11: DHS Coordination
•
Must address how the project will meet DHS requirements including
security directives issued by TSA and OGT
•
Recipients must identify activities to be performed with a schedule for
completion
•
Concerns regarding potential conflicts between DHS/TSA/OGT and
FTA/PMOCs must be documented
Slide 50
U.S. DOT
Federal Transit Administration
Referencing Other Documentation
Slide 51
U.S. DOT
Federal Transit Administration
Referencing Other Documentation
•
If references to existing programs, plans or other documentation are
used by a recipient in the SSMP, the reference must include:
–
–
–
–
Document name
Chapter or Title
Appropriate page numbers
A brief statement regarding how the referenced document addresses the
applicable SSMP requirement
•
All referenced material must be made available to FTA and the PMOC
for review
•
Materials appropriate for referencing include:
–
–
–
Other sections of the PMP
Other Plans (e.g., SSPP, System Security Plan, Safety and Security
Certification Plan, Construction Safety Plans, Emergency Plans, etc.)
Contract Specifications and Project Documents
Slide 52
U.S. DOT
Federal Transit Administration
Sensitive Security Information (SSI)
Management
Slide 53
U.S. DOT
Federal Transit Administration
Sensitive Security Information (SSI)
Management
•
In accordance with 49 CFR Part 15, each recipient is required to
control the release of SSI
•
DOT policies and procedures for the control of SSI apply to all DOT
employees, contractors, recipients, consultants, licensees, and
regulated entities that have access to or receive SSI
•
All recipients must document or reference their procedures for
managing SSI materials in the SSMP
•
FTA and its PMOCs will follow the recipients SSI management policies
when reviewing SSI materials
•
Any SSI submitted to the FTA or its PMOCs by the recipient will be
exempted from being available under the Freedom of Information Act
(FOIA)
Slide 54
U.S. DOT
Federal Transit Administration
FTA Evaluation of Recipient SSMP
Development and Implementation
Slide 55
U.S. DOT
Federal Transit Administration
FTA Evaluation of Recipient SSMP
Development and Implementation
•
SSMP development and implementation is an on-going process that
will be reviewed by the FTA through its PMOCs
•
SSMP review procedures have been developed and will be provided to
recipients prior to the review
•
Recipients are strongly encouraged to use Appendix A of Circular
5800.1 to prepare for review
•
Review results will be documented in a report that will be provided to
the recipient
•
PMOCs will work with recipients to close outstanding issues
Slide 56
U.S. DOT
Federal Transit Administration
FTA Evaluation of Recipient SSMP
Development and Implementation (continued)
•
Evaluation is based on 12, equally weighted criteria:
1.
2.
3.
4.
5.
6.
7.
8.
Recipients assignment of safety and security responsibilities
Effectiveness of recipient’s process for identifying, communicating, and
resolving safety hazards and security vulnerabilities
Recipient’s technical capacity to support and maintain identified duties and
responsibilities
Recipient’s safety and security budget and schedule
Extent to which safety and security requirements are incorporated into
technical specifications and contract documents
Extent to which SSMP activities and requirements are incorporated into
technical direction given to contractors and recipient personnel
Effectiveness of recipient’s management of contractor safety and security
activities
Extent to which recipients take documented action to address safety and
security concerns
Slide 57
U.S. DOT
Federal Transit Administration
FTA Evaluation of Recipient SSMP
Development and Implementation (continued)
•
Evaluation is based on 12, equally weighted criteria:
9.
10.
11.
12.
Effectiveness of recipient’s verification that contractors, staff and
committees built, installed, inspected and tested facilities, systems, and
equipment according to safety and security requirements
Effectiveness of recipient’s process for verifying contractors, recipient
staff, and committees ensure the readiness of operations and
maintenance personnel for revenue service
Effectiveness of recipient’s process for providing safety and security
certification, issuing Final Verification Report, and managing identified
work-arounds or restrictions to full safety and security certification
Effectiveness of recipient’s process for ensuring compliance with
requirements specified by other agencies (e.g., State Oversight Agency,
FRA, DHS, TSA, OGT, etc.)
Slide 58