U.S. Department of Transportation Federal Transit Administration	Administrator	400 Seventh St., S.W. Washington, D.C. 20590
	June 22, 2005
Subject: FTA’s 49 CFR Part 659 Reference Guide Dear Member of the State Safety Oversight Community: On Friday, April 29, 2005, the Federal Transit Administration (FTA) published the revised rule, 49 CFR Part 659: Rail Fixed Guideway Systems; State Safety Oversight in the Federal Register. The revised rule can be accessed at: · http://www.gpoaccess.gov/fr/index.html (Government Printing Office); or · http://transit-safety.volpe.dot.gov (FTA’s safety and security website). This reference guide has been developed to support the efforts of states, oversight agencies and rail transit agencies to implement these new requirements. The reference guide is a checklist tool organized by rule section and required activities. The left column contains a summary of the requirements of the revised rule and offers recommendations for states, oversight agencies, and rail transit agencies. The right column contains each requirement as it is written in the rule and is accompanied by a checkbox. Revised initial submissions from state oversight agencies are due to FTA’s Office of Safety and Security by May 1, 2006. Each state safety oversight community member is encouraged to use the checklist as a means by which to identify program areas that must be developed or revised to meet Part 659 requirements. In the next few months, FTA will provide additional guidance to support program development and implementation activities. If representatives from any state, oversight agency, or rail transit agency have questions regarding the implementation of the revised rule that are not answered in this guide, please do not hesitate to contact my office at (202) 366-1651 or to send me an email at Jerry.Fisher@fta.dot.gov. I look forward to working with you to implement this program and to further enhance rail transit safety and security. Sincerely, Jerry A. Fisher, Program Manager Federal Transit Administration Office of Safety and Security

49 CFR Part 659 -- Rail Fixed Guideway Systems; State Safety Oversight

Reference Guide

Federal Transit Administration
Office of Safety and Security
400 Seventh Street, SW
Washington, DC 20590

June 22, 2005

Contents

The 49 CFR Part 659 Reference Guide has been prepared to support implementation of FTA’s revised state safety oversight rule, published in the Federal Register on April 29, 2005. While this guide is targeted for states and oversight agencies, it can also support activities to be undertaken by rail transit agencies.

The guide begins by presenting a flow chart that identifies the revised rule’s process for program development and implementation. Then, each section of the revised rule is discussed, including requirements and recommendations from FTA.

For each rule section, this guide offers a checklist format. The left column of each page contains a summary of the requirements of the revised rule. The right column contains each requirement as it is written in the rule and is accompanied by a checkbox.

Existing oversight agencies and rail transit agencies are encouraged to use the checklist to determine if their current programs meet new requirements and to pinpoint areas that require revision. States and rail transit agencies newly entering the program are encouraged to use this checklist to develop their submissions for FTA.

49 CFR Part 659 Reference Guide
Table of Contents

Flow Chart – Part 659 Development and Implementation Requirements
§ 659.5 Definitions
§ 659.9 Designation of oversight agency
§ 659.39 (a) and (b) Initial submission
§ 659.11 Confidentiality of investigation reports
§ 659.13 Overview
§ 659.15 System safety program standard
§ 659.17 System safety program plan: general requirements
§ 659.19 System safety program plan: contents
§ 659.21 System security plan: general requirements
§ 659.23 System security plan: contents
§ 659.25 Annual review of system safety program plan and system security plan
§ 659.27 Internal safety and security reviews
§ 659.29 Oversight agency safety and security reviews
§ 659.31 Hazard management process
§ 659.33 Accident notification
§ 659.35 Investigations
§ 659.37 Corrective action plans
§ 659.39 (c), (d) and (e) Annual reports and periodic submissions
§ 659.41 Conflict of interest
§ 659.43 Certification of compliance

Flow Chart

This flow chart provides a visual illustration of 49 CFR Part 659 requirements.

The Program Development section identifies those activities that must be performed by the state, oversight agency, and rail fixed guideway system to develop programs compliant with the revised rule. Key activities include: the designation of the oversight agency (for New Starts systems only); the preparation of the revised oversight agency program standard and procedures; the revision of the rail fixed guideway system safety and security program plans; and the conveyance of formal approval from the oversight agency for these plans. These activities must be complete by May 1, 2006.

The Program Implementation section identifies those activities that will be performed by the oversight agency and the rail fixed guideway system to implement the revised rule. Key activities include: the revised internal safety and security review process; the new hazard management program; a revised process for accident notification and investigation; and a revised corrective action plan process.

§ 659.5 Definitions.

Addressing new definitions is the first step in the process required to modify existing oversight agency and rail transit agency programs to reflect the revised rule. States and rail transit agencies newly entering the program must also adopt the revised rule’s definitions.

For state oversight agencies, definitions that need to be changed may be included in enabling legislation, administrative code, policies and procedures, and the program standard. For rail transit agencies, these definitions may be included in system safety program plans, system security program plans, and policies and procedures for conducting internal safety and security reviews, accident and hazardous conditions investigations, and preparing corrective action plans.

New definitions of particular significance include:

· “rail fixed guideway system,” which adds to the rule’s previous definition of this term to address those systems built entirely with local and state funds, but that will receive formula funding for operations based on their submission of fixed guideway route miles to FTA;
· “rail transit agency,” which is the term used to describe the entity operating the rail fixed guideway system; and
· “passenger operations,” which specifies when the state agency must have a compliant program in place to provide oversight authority for the rail transit agency.

Using the definitions provided in the revised rule will also promote greater consistency in reporting to FTA’s National Transit Database (NTD) and in managing requests and investigations involving the National Transportation Safety Board (NTSB).

Contractor means an entity that performs tasks required on behalf of the oversight or rail transit agency. The rail transit agency may not be a contractor for the oversight agency.		p
Corrective action plan means a plan developed by the rail transit agency that describes the actions the rail transit agency will take to minimize, control, correct, or eliminate hazards, and the schedule for implementing those actions.		p
FRA means the Federal Railroad Administration, an agency within the U.S. Department of Transportation.		p
FTA means the Federal Transit Administration, an agency within the U.S. Department of Transportation.		p
Hazard means any real or potential condition (as defined in the rail transit agency’s hazard management process) that can cause injury, illness, or death; damage to or loss of a system, equipment or property; or damage to the environment.		p
Individual means a passenger; employee; contractor; other rail transit facility worker; pedestrian; trespasser; or any person on rail transit-controlled property.		p
Investigation means the process used to determine the causal and contributing factors of an accident or hazard, so that actions can be identified to prevent recurrence.
New Starts Project means any rail fixed guideway system funded under FTA’s 49 U.S.C. 5309 discretionary construction program.		p
Oversight Agency means the entity, other than the rail transit agency, designated by the state or several states to implement this part.		p
Passenger means a person who is on board, boarding, or alighting from a rail transit vehicle for the purpose of travel.		p
Passenger Operations means the period of time when any aspect of rail transit agency operations are initiated with the intent to carry passengers.		p
Program Standard means a written document developed and adopted by the oversight agency, that describes the policies, objectives, responsibilities, and procedures used to provide rail transit agency safety and security oversight.		p
Rail Fixed Guideway System means any light, heavy, or rapid rail system, monorail, inclined plane, funicular, trolley, or automated guideway that: Is not regulated by the Federal Railroad Administration; and 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 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).		p
Rail Transit Agency means an entity that operates a rail fixed guideway system.		p

§ 659.5 Definitions (cont.).

When revising definitions, the oversight agency and rail transit agency should also consider the new accident notification threshold provided in § 659.33. This threshold replaces the definition of “accident” in the previous rule. Most oversight agencies include the definition of accident in their enabling legislation and program standards. Rail transit agencies also typically include this definition in their system safety program plans and accident notification and investigation procedures.

This new threshold requires oversight agency notification within two hours of a specified list of incidents involving a rail transit vehicle or taking place on rail-transit controlled property. The accident notification threshold includes other terms that the state and rail transit agency may wish to define in their programs, such as injury, fatality, property damage, evacuation due to life safety reasons, derailment, and non-revenue vehicle. In all cases, as used in the revised rule, these terms are consistent with definitions provided in the National Transit Database. Additional discussion of § 659.33 is provided on Pages 38 and 39 of this guide.

In revising definitions, oversight agencies and rail transit agencies should also consider § 659.31. This new section describes the hazard management process which replaces the “unacceptable hazardous condition” definition from the previous rule. Oversight agency investigation of “unacceptable hazardous conditions” is no longer required. Instead, as part of the system safety program plan, the oversight agency must require a continuous process for hazard identification, evaluation and resolution at the rail transit agency. The oversight agency should be integrated into this process in an on-going manner, such as through the receipt of monthly reports or participation in quarterly meetings. Definitions and thresholds may need to be developed to support this program. Additional discussion of
§ 659.31 is provided on Pages 24, 36 and 37 of this guide.

Rail Transit-Controlled Property means property that is used by the rail transit agency and may be owned, leased, or maintained by the rail transit agency.		p
Rail Transit Vehicle means the rail transit agency’s rolling stock, including but not limited to passenger and maintenance vehicles.		p
Safety means freedom from harm resulting from unintentional acts or circumstances.		p
Security means freedom from harm resulting from intentional acts or circumstances.		p
State means a State of the United States, the District of Columbia, Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, and the Virgin Islands.		p
System Safety Program Plan means a document developed and adopted by the rail transit agency, describing its safety policies, objectives, responsibilities, and procedures.		p
System Security Plan means a document developed and adopted by the rail transit agency describing its security policies, objectives, responsibilities, and procedures.		p

§ 659.33 Accident notification threshold. The oversight agency must require the rail transit agency to notify the oversight agency within two (2) hours of any incident involving a rail transit vehicle or taking place on rail transit-controlled property where one or more of the following occurs:		p
1. A fatality at the scene; or where an individual is confirmed dead within thirty (30) days of a rail transit-related incident;	¡
2. Injuries requiring immediate medical attention away from the scene for two or more individuals;	¡
3. Property damage to rail transit vehicles, non-rail transit vehicles, other rail transit property or facilities and non-transit property that equals or exceeds $25,000;	¡
4. An evacuation due to life safety reasons;	¡
5. A collision at a grade crossing;	¡
6. A main-line derailment;	¡
7. A collision with an individual on a rail right of way; or	¡
8. A collision between a rail transit vehicle and a second rail transit vehicle, or a rail transit non-revenue vehicle.	¡

§ 659.9 Designation of oversight agency.

State with Rail Transit Agency Operating in its Jurisdiction

This section directs any state with a rail transit agency entering passenger operations after May 31, 2005 to designate an oversight agency. The rail transit agency may not perform this oversight role. The revised rule also prohibits the state from selecting an agency for which a conflict of interest exists that would prevent the oversight agency from carrying out its activities in an unbiased manner. States that have already designated an oversight agency prior to May 31, 2005 are not required to re-designate an agency.
As specified in this new section, designation of the state oversight agency must occur:
· At the same time FTA executes a grant agreement for a New Starts project with a rail transit agency within the state’s jurisdiction; or
· Before a rail transit agency applies for funding under FTA’s formula program for urbanized areas (49 U.S.C. 5336).
The first instance applies to those New Starts projects receiving federal funding for design, construction, testing and start-up. The second instance refers to those projects designed and built without New Starts capital funds, but that will be receiving formula funds to support passenger operations.

(a) Each state with an existing or anticipated rail fixed guideway system regulated by Part 659 shall designate an oversight agency. The state’s designation or re-designation of its oversight agency and submission of required information are subject to review and approval by FTA.

(b) States which have designated oversight agencies for purposes of the Rule before May 31, 2005 are not required to re-designate to FTA.

1. Coincide with the execution of any grant agreement for a New Starts project between FTA and a rail transit agency within the state’s jurisdiction; or

2. Occur before the application by a rail transit agency for funding under FTA’s formula program for urbanized areas (49 U.S.C. 5336).

§ 659.9 Designation of oversight agency.

State with Rail Transit Agency Operating in its Jurisdiction (cont.)

Within 60 days after the state designates a new oversight agency it must make a designation submission to FTA. This submission provides FTA with enough information to determine if the proposed oversight agency has the technical capacity to implement Part 659 requirements and to evaluate any potential conflicts of interest.
Designation submissions should be made to the Federal Transit Administration, Office of Safety Security, 400 Seventh Street, SW, Washington, D.C. 20590.
When preparing the designation submission, the state should consider the following:
· Legal authorities vested in the proposed agency to support implementation of the oversight program;
· Any financial or organizational relationship between the proposed agency and the rail transit agency that may result in a conflict of interest;
· Previous experience and background of personnel who may be charged with developing and carrying out the oversight program;
· Resources required to support oversight program development, including funding available from the New Starts project; and
· Reasonable time-frame for the development of the oversight agency’s program and initial submission to FTA.

(d) Within (60) days of designation of the oversight agency, the state must submit to FTA the following:		p
1. The name of the oversight agency designated to implement requirements in the Rule;	¡
2. Documentation of the oversight agency’s authority to provide state oversight;	¡
3. Contact information for the representative identified by the designated oversight agency with responsibility for oversight activities;	¡
4. A description of the organizational and financial relationship between the designated oversight agency and the rail transit agency; and	¡
5. A schedule for the designated agency’s development of its State Safety Oversight Program, including the projected date of its initial submission (see § 659.39(a)).	¡

§ 659.9 Designation of oversight agency (cont.).

Rail Transit Agency Operating in Multiple States

When a rail transit agency will operate in more than one state, each affected state must designate an agency of the state, other than the rail transit agency, as the oversight agency. To fulfill this requirement, the affected states:
· May agree to designate one agency of one state, or an agency representative of all states, to implement the requirements in this part; and
· In the event multiple states share oversight responsibility for a rail fixed guideway system, the states must ensure that the rail fixed guideway system is subject to a single program standard, adopted by all affected states.
Within 60 days after the affected states designate an oversight agency, a designation submission must be made to FTA. This submission provides FTA with enough information to determine if the proposed oversight agency has the technical capacity to implement Part 659 requirements and to evaluate any potential conflicts of interest.
The designation submission should address the issues identified in the discussion on the preceding page for State with Rail Transit Agency Operating in its Jurisdiction.
Designation submissions should be made to the Federal Transit Administration, Office of Safety Security, 400 Seventh Street, SW, Washington, D.C. 20590

(e) Multiple states. In cases of a rail fixed guideway system that will operate in more than one state, each affected state must designate an agency of the state, other than the rail transit agency, as the oversight agency to implement the requirements in this part. To fulfill this requirement, the affected states:	p
1. May agree to designate one agency of one state, or an agency representative of all states, to implement the requirements in this part; and	p
2. In the event multiple states share oversight responsibility for a rail fixed guideway system, the states must ensure that the rail fixed guideway system is subject to a single program standard, adopted by all affected states.	p

§ 659.9 Designation of oversight agency (cont.).

Re-designation

If for any reason, a single state, or two or more affected states with jurisdiction for a rail transit agency operating within their jurisdictions, must re-designate the oversight agency, then the revised rule requires that a designation submission be made to FTA within 30 days of re-designation.
The designation submission used in the event of re-designation contains the same information as must be provided in other instances of designation:
(1) The name of the oversight agency designated to implement requirements in the Rule;
(2) Documentation of the oversight agency’s authority to provide state oversight;
(3) Contact information for the representative identified by the designated oversight agency with responsibility for oversight activities;
(4) A description of the organizational and financial relationship between the designated oversight agency and the rail transit agency; and
(5) A schedule for the designated agency’s development of its State Safety Oversight Program, including the projected date of its initial submission.
In addition, in the event of re-designation, an initial submission, discussed in the next section of this guide, must be made to FTA within 30 days of its designation.
The 30-day time-frame required for the initial submission is designed to ensure that the rail transit agency affected by the re-designation is not operating without an oversight agency.

(f) Change of designation. Should a state change its designated oversight agency, it shall submit the information required under paragraph (d) of this section to FTA within (30) days of its change. In addition, the new oversight agency must submit a new initial submission, consistent with § 659.39(b), within (30) days of its designation.

§ 659.39 (a) and (b) Initial submission.

Existing Oversight Agencies

The initial submission documents the authorities, policies and procedures used by the oversight agency to implement the program. Since the revised Part 659 affects all state safety oversight programs, FTA is requiring that each oversight agency, including those established prior to publication of the revised rule, make an initial submission by May 1, 2006.

By March 1, 2006, FTA will provide additional instructions regarding the submission of these materials. At the current time, FTA plans to offer an electronic submission option, enabling oversight agencies to email or upload their initial submissions directly to FTA.
Oversight agencies that require additional authority to implement the revised rule, and may need additional time in preparing these materials, should contact FTA’s Office of Safety and Security at their earliest convenience.
FTA will receive the initial submissions, and will provide the state oversight agencies with formal approval letters and completed checklists documenting FTA’s review and approval process. If areas of non-compliance are identified, requests will be made to the oversight agency for revisions. Additional information may also be requested from the oversight agency to support evaluation of the initial submission.

(a) Initial submission. Each designated oversight agency with a rail fixed guideway system that is in passenger operations as of April 29, 2005 or will begin passenger operations by May 1, 2006, must make its initial submission to FTA by May 1, 2006.

§ 659.39 (a) and (b) Initial submission.

Existing Oversight Agencies (cont.)

In preparing the initial submission, FTA expects that existing oversight agencies will modify their program materials to include the following:

· Revised program definitions, compliant with § 659.5;
· Revised program standard, addressing the nine areas specified in § 659.15;
· Revised procedures for requiring, revising and approving rail transit agency system safety program plans and system security program plans, compliant with § 659.17, § 659.19, § 659.21, § 659.23 and § 659.25;*
· New hazard management process, jointly developed with the rail transit agency, compliant with § 659.31;*
· Revised procedures for accident notification, investigation and reporting, compliant with § 659.33 and § 659.35;*
· Revised procedures for managing corrective action plans, compliant with § 659.37;*
· Revised process for overseeing the rail transit agency’s internal safety and security review process, compliant with § 659.27;*
· Revised program for conducting oversight agency three-year safety reviews, compliant with § 659.39;*
· Revised procedures for reporting to FTA, compliant with § 659.39 requirements.*

*May be included in the program standard or as separate procedures for the program.

In addition, the initial submission should include a certification prepared by the oversight agency for each rail transit agency within its jurisdiction. This certification should state that the rail transit agency’s system safety program plan and system security program plan have been developed, reviewed and approved as compliant with the 49 CFR Part 659 requirements.

(b) An initial submission must include the following:

1. Oversight agency program standard and referenced procedures; and

2. Certification that the system safety program plan and the system security program plan have been developed, reviewed, and approved.

§ 659.39 (a) and (b) Initial submission (cont.).

Newly Designated Agencies

In states with rail fixed guideway systems initiating passenger operations after May 1, 2006, the designated oversight agency must make its initial submission within the time frame specified by the state in its designation submission, but not later than 60 days prior to the initiation of passenger operations.

States with New Starts projects are encouraged to make their initial submissions as early as possible. The New Starts project can fund all of the costs associated with developing and staffing the state’s oversight program until the New Starts project enters passenger operations. Earlier submission also ensures that the oversight agency is involved with the project during construction, testing and start-up, and has an opportunity to become familiar with project personnel and operations prior to assuming oversight authority.

Initial submissions should be made to FTA’s Office of Safety Security, 400 Seventh Street, SW, Washington, D.C. 20590. FTA will convey options for electronic submissions with the approval package for the new agency’s designation submission.

(a) Initial submission. In states with rail fixed guideway systems initiating passenger operations after May 1, 2006, the designated oversight agency must make its initial submission within the time frame specified by the state in its designation submission, but not later than at least sixty (60) days prior to initiation of passenger operations. Any time a state changes its designated oversight agency to carry out the requirements identified the Rule, the new oversight agency must make a new initial submission to FTA within thirty (30) days of the designation.

§ 659.39 (a) and (b) Initial submission (cont.).

Newly Designated Agencies (cont.)

In preparing the initial submission, FTA expects that new oversight agencies will develop program materials to include the following:

· Program definitions, compliant with § 659.5;
· Program standard, addressing the nine areas specified in § 659.15;
· Procedures for requiring, revising and approving rail transit agency system safety program plans and system security program plans, compliant with § 659.17, § 659.19, § 659.21, § 659.23 and § 659.25;*
· Hazard management process, jointly developed with the rail transit agency, compliant with § 659.31;*
· Procedures for accident notification, investigation and reporting, compliant with § 659.33 and § 659.35;*
· Procedures for managing corrective action plans, compliant with § 659.37;*
· Process for overseeing the rail transit agency’s internal safety and security review process, compliant with § 659.27;*
· Program for conducting oversight agency three-year safety reviews, compliant with § 659.39;* and
· Procedures for reporting to FTA, compliant with § 659.39 requirements.*

*May be included in the program standard or as separate procedures for the program.

In addition, the initial submission should include a certification prepared by the oversight agency for each rail transit agency within its jurisdiction. This certification should state that the rail transit agency’s System Safety Program Plan and Security Plan have been developed, reviewed and approved as compliant with the new 49 CFR Part 659.

(b) An initial submission must include the following:

1. Oversight agency program standard and referenced procedures; and

2. Certification that the system safety program plan and the system security program plan have been developed, reviewed, and approved.

§ 659.11 Confidentiality of investigation reports and security plans.

Previously § 659.23, this section allows states to prohibit an investigation report prepared or adopted by the oversight agency from being used in a civil action. In addition, this part does not require public availability of the rail transit agency’s security plan and any referenced procedures.

If at all possible within the constraints of state “sunshine laws” and other freedom of information provisions, states are encouraged to protect the release of accident investigation reports and rail transit agency system security program plans.

In the event that a state is unable to protect the rail transit agency’s security plan and procedures from public release, FTA recommends that the oversight agency should not take possession of these documents. Instead, the oversight agency should perform all reviews of these documents on-site at the rail transit agency or through some other means where copies received by the oversight agency are destroyed or returned to the rail transit agency after a brief review period.

Other procedures should be developed to address security sensitive information in working documents and reports prepared by the oversight agency to address the rail transit agency’s implementation of its security program, whether through the internal security review process or the state’s three-year security review. For example, a memorandum of understanding could be developed between the state and rail transit agency stating that documents prepared by the state will be delivered to the rail transit agency chief executive, who will assume ownership of them on behalf of the transit agency. State copies will be destroyed.

To address this situation, § 659.23(e) of the revised rule requires that the rail transit agency documents in the system security program plan its process for making its system security plan and accompanying procedures available to the oversight agency for review and approval.

(a) A state may withhold an investigation report that may have been prepared or adopted by the oversight agency from being admitted as evidence or used in a civil action for damages resulting from a matter mentioned in the report.	p
(b) The Rule does not require public availability of the rail transit agency’s security plan and any referenced procedures.	p

§ 659.13 Overview.

This section clarifies that the state oversight agency must have sufficient authority to establish the safety and security requirements for each affected rail transit agency. The state oversight agency must also have sufficient authority to oversee the implementation of the safety and security requirements by the affected rail transit agencies.

The state oversight agency is responsible for establishing standards for rail safety and security practices and procedures to be used by rail transit agencies within its purview	p
In addition, the state oversight agency must oversee the execution of these practices and procedures to ensure compliance with the provisions of this part.	p

§ 659.15 System safety program standard.

In section § 659.31, the previous rule referenced the American Public Transportation Association (APTA) Manual to establish the requirements for a system safety program standard. The new rule has removed that reference. In its place, FTA has identified nine (9) elements that must be included in an oversight agency’s program standard.

The program standard must address both safety and security requirements and must be submitted to FTA with the oversight agency’s initial submission. Procedures may be developed to support implementation of the program standard. These procedures must be: (1) referenced in the program standard and submitted to FTA as part of the initial submission; or (2) included directly in the program standard submitted to FTA with the initial submission.

Over time, as the program standard is updated, revised versions of the program standard and referenced procedures should be submitted to FTA in the oversight agency’s annual submission.

Oversight agencies with existing program standards should review them for compliance with the nine (9) areas specified in the revised rule. To support this review process, states may want to:

· Prepare a cross-walk matrix, documenting where the new requirement is located in their existing program standard and what items are outstanding; and
· Revise the program standard based on the list of outstanding items.

FTA encourages oversight agencies to revise their program standards to follow the order presented in § 659.15. However, in reviewing program standards, FTA will accept documents that do not follow the exact order of elements presented in § 659.15, as long as the submission is accompanied by a matrix indicating where each of required nine elements is addressed in the program standard.

(a) General requirement. Each state oversight agency shall develop and distribute a program standard. The program standard is a compilation of processes and procedures that governs the conduct of the oversight program at the state oversight agency level, and provides guidance to the regulated rail transit properties concerning processes and procedures they must have in place to be in compliance with the state safety oversight program. The program standard and any referenced program procedures must be submitted to FTA as part of the initial submission. Subsequent revisions and updates must be submitted to FTA as part of the oversight agency’s annual submission.

§ 659.15 System safety program standard (cont.).

The program standard developed by the oversight agency must address nine (9) elements. Each of these elements is discussed below.

1. At a minimum, the program management section must explain the oversight agency's:
· Authority to provide oversight and to implement the revised rule;
· Process, policies, roles and responsibilities for providing oversight, including an overview of the activities performed by the oversight agency;
· The process through which the state oversight agency communicates with the rail transit agency regarding program issues, such as formal correspondence, emails, telephone calls to designated contacts, quarterly meetings, etc.; and
· Procedures for reporting to FTA.

2. At a minimum, the standard development section must include:
· Process for developing, reviewing and adopting the program standard and supporting procedures;
· Process for updating the program standard and supporting procedures, including scheduled review cycles; and
Process used to disseminate the revised program standard and supporting procedures to the rail transit agency, ensuring that each affected rail transit agency has the current version of the program standard and supporting procedures.

(b) Contents. Each oversight agency shall develop a written program standard that meets the requirements specified in this part and includes, at a minimum, the areas identified in this section:

1. Program management section.

· This section shall include an explanation of the oversight agency’s authority; policies, and roles and responsibilities for providing safety and security oversight of the rail transit agencies within its jurisdiction;

· This section shall provide an overview of planned activities to ensure on-going communication with each affected rail transit agency relating to safety and security information; as well as

· FTA reporting requirements, including initial, annual and periodic submissions.

2. Program standard development section.

· This section shall include a description of the oversight agency’s process for the development, review, and adoption of the program standard;

· The modification and/or update of the program standard; and

· The process by which the program standard and any subsequent revisions are distributed to each affected rail transit agency.

§ 659.15 System safety program standard (cont.).

3. At a minimum, the oversight of the rail transit agency internal safety and security review section must describe the process that:
· Requires the internal safety and security review process and schedule for each rail transit agency;
· Requires copies of internal safety and security review checklists and procedures;
· Requires an annual report from the rail transit agency, to include the status of compliance with the internal review schedule, activities performed, and recommendations and corrective action plans developed to address review findings;
· Requires that the annual report be submitted under the signature of rail transit agency top management;
· Requires that, if the rail transit agency determines that findings from its internal safety and security reviews indicate that the rail transit agency is not in compliance with its system safety program plan or system security plan, the chief executive must identify the activities the rail transit agency will take to achieve compliance; and
· Specifies that the oversight agency must approve the annual report from the rail transit agency.
· Pages 33 and 34 provide additional information.

4. At a minimum, the oversight agency three-year review section must include the process used to conduct three-year or on-going reviews of the rail transit agency’s implementation of its safety and security programs. This section must include the processes to notify the rail transit agency prior to the review. Criteria (applied through the use of checklists or other tools) must be identified through which the oversight agency will evaluate the rail transit system’s safety and security programs and whether they need to be updated. . Additional information is provided on Page 35 of this guide. Findings resulting from this review should be managed through the process established under “Element Seven – Corrective Actions Section” of the program standard.

3. Oversight of rail transit agency internal safety and security reviews. This section shall specify the role of the oversight agency in overseeing the rail transit agency internal safety and security review process.

· This includes a description of the process used by the oversight agency to receive rail transit agency checklists and procedures and approve the rail transit agency’s annual reports on findings, which must be submitted under the signature of the rail transit agency’s top management.

4. Oversight agency safety and security review section. This section shall lay out the process and criteria to be used at least every three years in conducting a complete review of each affected rail transit agency’s implementation of its system safety program plan and system security plan.

· This section includes the process to be used by the affected rail transit agency and the oversight agency to manage findings and recommendations from this review. This also includes procedures for notifying the oversight agency before the rail transit agency conducts an internal review.

§ 659.15 System safety program standard (cont.).

5. At a minimum, in the accident notification section, the oversight agency must define the requirements for the rail transit agency to notify the oversight agency of accidents, including timeframes (i.e., within two hours), notification methods (i.e., facsimile, email, pager/beeper, telephone), and information to be included upon notification (i.e., elements to be provided in initial report). Notification thresholds must comply with § 659.33 of FTA’s revised rule. Oversight agencies are encouraged to provide 24/7 notification options, to ensure rail transit agency compliance with the two hour notification time-frame. Additional information on this requirement is provided in § 659.33, discussed on Pages 38 and 39 of this guide.

6. At a minimum, the investigation section must include thresholds that require oversight agency investigations as well as roles and responsibilities for conducting investigations. This section must be compliant with § 659.35 of the revised rule, discussed on Page 40 of this guide. In the event that the rail transit agency will conduct the investigation on behalf of the oversight agency, the oversight agency must review and approve the rail transit agency accident investigation procedures, formally adopting them, in either its program standard or referenced procedures. In addition, for each accident, the oversight agency must formally authorize the rail transit agency to conduct the investigation on its behalf. The oversight agency should participate in the investigation, and must formally review and adopt the rail transit agency investigation report as its own. It should be noted that there is no requirement for the oversight agency to approve the rail transit agency investigation report, so in the event of conflicts with the rail transit agency report, the oversight agency must issue its own report. However, the oversight agency must review and approve all corrective action plans developed by the rail transit agency to address investigation findings, following the process specified in “Element Seven: Corrective Actions Section.” Procedures must also be included for managing conflicts with the rail transit agency and for coordinating with the NTSB.

5. Accident notification section.

· This section shall include the specific requirements for the rail transit agency to notify the oversight agency of accidents.

· This section shall also include required timeframes, methods of notification, and the information to be submitted by the rail transit agency.

· Additional detail on this portion is included in § 659.33 of this part.

6. Investigations section. This section contains the oversight agency identification of the thresholds for incidents that require an oversight agency investigation. The roles and responsibilities for conducting investigations shall include:

· Coordination with the rail transit agency investigation process;

· The role of the oversight agency in supporting investigations and findings conducted by the NTSB;

· Review and concurrence of investigation report findings; and

· Procedures for protecting the confidentiality of investigation reports.