Safety & Security Oversight-Scope

(Center Identification Number: 79060-2-C)

Principal Investigator

Dr. P. S. Sriraj
Director, Metropolitan Transportation Support Initiative (METSI)
Research Assistant Professor
Urban Transportation Center
College of Urban Planning and Public Affairs
412 S. Peoria Street, Suite 340
Chicago, IL 60607

Project Scope

Phase I

  • Conduct a ‘best-practices’ survey of national SSO policies and programs, and identify those models appropriate for IDOT consideration for its reconstituted SSOA program.
  • Collect data and pertinent input from FTA, IPTA, APTA, transit trade associations, transportation “think-tanks”, and “transportation centers of excellence” to determine rail transit best policies and practices for safety, security, risk management, staffing and training administration that may exist within state agencies managing their SSO.
  • Based on survey data, research, and anecdotal records, develop recommendations for IDOT to incorporate such best policies and practices, inclusive of Safety Management Systems (SMS) principals in its newly structured SSOA program function.

Phase II

  • Prepare and recommend specific policies, procedures, operations, and actions, inclusive of safety and security training program requirements required by IDOT’s SSOA officer to ensure compliance with FTA’s MAP-21 Safety and Security Oversight final rule-making.

Phase III

  • Provide comment recommendations for FTA proposed rule rule-making to ensure that such proposed rules arc fully implementable at IDOT
  • Provide technical assistance to ensure IDOT compliance with FTA rules and submittal deadlines.
  • Draft joint oversight entity agreement(s) where applicable to accommodate multi-state transit systems, where required.
  • Identify and recommend implementable technology solutions for transit system safety (including state of good repair, corrective action plan monitoring and enforcement); FTA comprehensive training requirements, certification compliance; capital program project review; risk management assessment and remediation measures.
  • Provide technology support, as required to track personnel training requirements, labor management collaborations, and SMS implementation process.


A comprehensive report of rail and bus safety and security national policies and practices for transit rail and bus safety and security operations, risk management, and corrective actions procedures, and a reference guide.

A report recommending safety and security policies and procedures; organizational structure, staffing levels, training requirements, and job classifications required for IDOT employees and/or contractors.

Provide technical assistance, as requested to complete the FTA “Self Assessment and Gap Analysis”, IDOT’s preliminary DOT grant application for section 5307 SSOA funds.

A comprehensive report with policy and procedural recommendations for SSOA adminstration and operations.

A reference guide on how to incorporate SMS with a briefing on technical grant application assistance for IDOT.

Final Report submittal.

Project Schedule

July 2013


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