U.S. Department
of Transportation
Federal Transit
Administration
State Safety Oversight
Audit Procedures Manual
Prepared by:
Federal Transit Administration
Office of Safety and Security
Washington, DC 20590
2
Table of Contents
Chapter 1: FTA’s SSO Audit Program 1
Introduction 1
SSO Community 1
Part 659 Requirements 4
FTA’s Audit Program 5
Purpose of Audit Manual 6
Audit Guiding Principals 7
Chapter 2: Identifying Findings of Non-Compliance, Compliance with Recommendations, and Exemplary Practice 9
Findings of Non-Compliance and Compliance with Recommendations 9
Non-Compliance 10
Compliance with Recommendation 14
Chapter 3: Conducting the Audits 15
Identifying Audit Candidates 15
Initial Submission Evaluation and Ranking System 15
Pre-Audit Preparation 16
SOA Notification 16
Audit Documents and Materials Needed from the Agency 17
Audit Scheduling 17
Confirmation of Audit Agenda and Agency Participants 17
Audit Planning Checklist 17
The Onsite Audit Team 18
Team Participants 18
Team Organization 18
Team Functions during the Audit 18
Audit Events/Schedule 18
Team Pre-Meeting at Hotel 19
Entrance Interview 19
Onsite Audits 19
Exit Interview 20
Generating the Report 20
Chapter 4: Post Audit Due Process 21
Non-Compliance 21
Compliance with Recommendations 22
Chapter 5: Audit Information Management 23
Computers and Software 23
The Audit System Administrator 23
Required Equipment 23
Audit Software 23
Procedures 24
Audit Notification Letter A-1
Audit Requested Materials List B-1
Preliminary Audit Schedule C-1
Sample Final Report Cover Letter D-1
Sample Final Report E-1
Sample Tracking Matrix F-1
Sample Acknowledgement Letter G-1
Letter of Non-Compliance H-1
Letter of Acceptance I-1
Letter of Request for Additional Action J-1
List of Figures
SSO Community Map 2
Audit Event Timeline 16
List of Tables
2005 SSO Community 3
Potential Non-Compliances 12
ii
Federal Transit Administration SSO Audit Program
State Safety Oversight Program Audit Procedures Manual
Chapter 1: FTA’s SSO Audit Program
Introduction
In 1991, the National Transportation Safety Board (NTSB) released a series of recommendations regarding the need for the state safety oversight of Rail Transit Agencies (RTAs). In response to these recommendations, Congress added section 28 to the Federal Transit Act (codified at 49 U.S.C. section 5330). Based on this new authority, FTA developed a rule creating the first-ever, state-managed safety and security oversight program for RTAs not regulated by the Federal Railroad Administration (FRA). This regulation was published as "Rail Fixed Guideway Systems; SSO" on December 27, 1995 (codified at 49 CFR Part 659), subsequently referred to as the SSO (SSO) Rule or Part 659. The safety requirements for Part 659 went into effect on January 1, 1997, and the security requirements went into effect one year later. FTA recently revised Part 659 in a Final Rule published on April 29, 2005.
Only those States with an RTA meeting the following definition must comply with Part 659:
“Rail Fixed Guideway System means 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; 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).” (§659.5)
Part 659 is intended to establish an oversight relationship between:
· RTAs, whose primary responsibility is to provide safety and security for rail transit passengers and employees
· SOAs State Oversight Agencies (SOAs), who must monitor and review RTA system safety and security programs
· FTA, whose principal role is to monitor the implementation of the Part 659 and to provide technical guidance
SSO Community
The community of States and RTAs affected by 49 CFR Part 659 has grown considerably over the last decade. Prior to 1997, there were six (6) designated SSO agencies overseeing the operations of 12 RTAs. In 1997, when Part 659 went into effect, 19 SSO agencies were established to oversee 36 RTAs. In 2005, 26 SSO agencies provided oversight to 44 RTAs. By 2009, as many as six (6) new RTAs and two (2) new SOAs may join the program.
The map below shows all States and RTAs affected by Part 659 in 2005 and those States and RTAs that will be affected within the next three years.
SSO Community Map
RTAs in the SSO program provide three modes of service:
Heavy Rail: includes metros, subways, and rapid rail; usually has multiple-car trains on fixed, exclusive rights of way; is characterized by high speed and rapid acceleration; and often uses sophisticated signaling systems.
Light Rail: includes lightweight passenger rail cars traveling singly or in short two-car trains on a fixed right of way, usually not separated from on-street traffic for much of the way. Trains are usually electrically powered.
Other Rail: includes automated guideway/monorail systems, inclined planes or funicular systems, and cable car systems.
The table on the next page identifies the SSO agencies and RTAs affected by 49 CFR Part 659 in 2005.
2005 SSO Community
FTA Region / State / SOA / RTA / Modal Systems1 / MA / Massachusetts Department of Telecommunication & Energy (MDTE) / Massachusetts Bay Transportation Authority (MBTA) / HR, LR
2 / NJ / New Jersey Department of Transportation (NJDOT) / New Jersey Transit Newark City Subway (NCS) / LR
New Jersey Transit Hudson-Bergen (HBLR) / LR
New Jersey Transit River Line (RL) / LR
Port Authority Transit Corporation (PATCO) / HR
NY / Public Transportation Safety Board (PTSB) / New York City Transit (NYCT) / HR
Niagara Frontier Transit Authority (NFTA) / LR
3 / DC/ VA/MD / Tri-State Oversight Committee (TOC) / Washington Metropolitan Area Transit Authority (WMATA) / HR
MD / Maryland Department of Transportation (MDOT) / Maryland Transit Administration (MTA-MD) / HR, LR
PA / Pennsylvania Department of Transportation (PennDOT) / Southeastern Pennsylvania Transit Authority (SEPTA) / HR, LR
Port Authority of Allegheny County (PAAC) / LR, IP, IP
Cambria County Transit Authority (CCTA) / IP
4 / FL / Florida Department of Transportation (FDOT) / Metro-Dade Transit Authority (MDTA) / HR, AG
Jacksonville Transportation Authority (JTA) / AG
Hillsborough Area Regional Transit (HART) / LR
GA / Georgia Department of Transportation (GDOT) / Metropolitan Atlanta Rapid Transit Authority (MARTA) / HR
TN / Tennessee Department of Transportation (TDOT) / Chattanooga Area Rapid Transit Authority (CARTA) / IP
Memphis Area Transit Authority (MATA) / LR
PR / Puerto Rico State Emergency and Disaster Management Agency (PREMA) / Puerto Rico Highway and Transportation Authority (PRHTA) / HR
NC / North Carolina Department of Transportation (NCDOT) / Charlotte Area Transit System (CATS) / LR
5 / IL / Regional Transit Authority (RTA) / Chicago Transit Authority (CTA) / HR
MI / Michigan Department of Transportation (MDOT) / Detroit People Mover (DPM) / AG
OH / Ohio Department of Transportation (ODOT) / Greater Cleveland Regional Transit Authority (GCRTA) / HR, LR
WI / Wisconsin Department of Transportation (WisDOT) / Kenosha Transit (KT) / LR
MN / Minnesota Department of Public Safety (MnDPS) / Metro Transit (MT) / LR
6 / LA / Louisiana Department of Transportation and Development (DOTD) / New Orleans Regional Transit Authority (NORTA) / LR
TX / Texas Department of Transportation (TxDOT) / Galveston Island Transit (GIT) / LR
Metropolitan Transit Authority of Harris County (MTA-HC) / LR
Dallas Area Rapid Transit (DART) / LR
AR / Arkansas Highway and Transportation Department (AHTD) / Central Arkansas Transit Authority (CATA) / LR
7 / IL / St. Clair County Transit District (SCCTD) / Bi-State Development Agency (BSDA) / LR
MO / Missouri Department of Transportation (MDOT)
8 / CO / Colorado Public Utilities Commission (CPUC) / Denver Regional Transit District (RTD) / LR
UT / Utah Department of Transportation (UDOT) / Utah Transit Authority (UTA) / LR
9 / CA / California Public Utilities Commission (CPUC) / Bay Area Rapid Transit (BART) / HR
Los Angeles County Metropolitan Transportation Authority (LACMTA) / HR, LR
San Francisco Municipal Railway (Muni) / LR, LR, CC
San Diego Trolley, Inc. (SDTI) / LR
Sacramento Regional Transit District (SRTD) / LR
Santa Clara Valley Transit Authority (SCVTA) / LR
North County Transit District (NCTD)* / LR
AZ / Arizona Department of Transportation (ADOT) / Regional Public Transportation Authority (RPTA)* / LR
10 / OR / Oregon Department of Transportation (ODOT) / Portland Tri-Met (Tri-Met) / LR
Portland Streetcar (PSC) / LR
WA / Washington State Department of Transportation (WSDOT) / King County Metro (WFSC) / LR
Sound Transit (Link) / LR
Seattle Center Monorail (S Mon) / AG
HR: Heavy Rail, LR: Light Rail, IP: Inclined Plane, AG: Automated Guideway, CC: Cable Car
* New Start RTA
Part 659 Requirements
Part 659 requires the SOA to perform distinct safety functions. These functions constitute the core of FTA's SSO Rule. SOAs are required to:
· Develop a System Safety Program Standard (SSPS). This written document defines the relationship between the SOA and the RTA and guides the RTA in developing its System Safety Program Plan (SSPP). [§659.15]
· Require, review and approve, and monitor the implementation of an SSPP that complies with the SOA’s SSPS at each RTA. The SOA must review and approve, in writing, the RTA’s SSPP. After the initial approvals, the SOA must review, as necessary, the RTA's SSPP and determine whether it should be updated. [§659.17], [§659.19], and [§659.39(a),(b),(c)]
· Require, review and approve, and monitor the implementation of a Security Plan that complies with the SOA's SSPS at each RTA. The SOA must review and approve, in writing, the RTA's Security Plan. After the initial approvals, the SOA must review, as necessary, the RTA's Security Plan and determine whether it should be updated. [§659.21], [§659.23], and [§659.39(a),(b),(c)]
· Require the RTA to conduct an annual review of the SSPP and Security Plan. The SOA must require the RTA to annually review their SSPP and Security Plan and in the event that either was modified submit the modified plan/plans for oversight review and approval. [§659.25]
· Require the RTA to conduct Internal Safety and Security Reviews. In addition, the SOA must require the RTA to compile and submit an Annual Report with compliance certification for review. [§659.27]
· Establish procedures for conducting an onsite, formal Safety and Security Review at each RTA a minimum of every three years. In a Safety and Security Review, the SOA must assess whether the RTA's actual safety and security practices and procedures comply with its SSPP and Security Plan. Once this Review is completed, the SOA must prepare a report containing its findings and recommendations, an analysis of the efficacy of the RTA's SSPP and Security Plan, and a determination of whether the SSPP and Security Plan should be updated. [§659.29]
· Require each RTA to develop and document in its SSPP a process to identify and resolve hazards during its operation. The SOA must require that the hazard management process identify the approach and on-going mechanisms to identify and resolve hazards and define thresholds and on-going reporting requirements. [§659.31].
· Require each RTA to report the occurrence of accidents within a period of time specified by the SOA. The SOA must investigate such events in accordance with established procedures. The SOA may conduct its own investigation, use a contractor to conduct an investigation, review and approve the investigation conducted by the RTA or the National Transportation Safety Board (NTSB), or use a combination of these methods. [§659.33] and [§659.35].
· Require the RTA to implement Corrective Action Plans. The SOA must require the RTA to develop corrective action plans (CAPs) for investigation results and findings from onsite Safety and Security Reviews. The SOA must verify the RTA’s implementation of each approved CAPs. [§659.37]
· Establish procedures for annual certification and reporting to FTA. The SOA must annually certify its compliance with FTA’s SSO Program and submit annual reports describing oversight activities. [§659.39] and [§659.43]
A detailed discussion of each of these requirements can be found in FTA’s 49 CFR Part 659 Reference Guide, available from FTA’s Office of Safety and Security. This reference guide has been developed to support the efforts of states, SOAs and RTAs to implement the requirements established in Part 659. The reference guide is organized in a checklist format and is structured by rule section and required activities.
Provisions for passenger and employee security are also included in Part 659. The Rule has been designed to reduce all incidents that harm passengers and employees, whether these incidents are the result of unintentional occurrences (safety) or intentional acts (security).
FTA’s Audit Program
49 CFR Part 659.7 requires FTA to monitor and evaluate compliance with the Rule. Monitoring is an essential function, both to ensure the implementation of the Rule, and to support legislative withholding requirements. §659.7 states:
“(a) The Administrator of the FTA may withhold up to five percent of the amount required to be distributed to any state or affected urbanized area in such state under FTA’s formula program for urbanized areas, if:
(1) The state in the previous fiscal year has not met the requirements of this part; and
(2) The Administrator determines that the state is not making adequate efforts to comply with this part.”
To support its monitoring activities for Part 659 requirements, FTA has revised its existing SSO Audit Program, established in 1998. This revised SSO Audit Program is to be initiated with the new audit cycle beginning October 2006. The revised audit program has four goals:
· To establish compliance with the revised Part 659 requirements
· To maintain three year audit review cycle
· To collect performance measure inputs that can be used to assess the quality of program implementation
· To identify and share practices that will ultimately improve the safety and security oversight of the rail transit industry
The revised SSO Audit Program provides a number of improvements. These program enhancements are identified below: