Rail Fixed Guideway Systems; State Safety Oversight

U.S. Department
of Transportation
Federal Transit
Administration

Implementation Guidelines
for 49 CFR Part 659
Prepared by:
Federal Transit Administration
Office of Safety and Security
Washington, DC 20590

FTA OFFICE OF SAFETY AND SECURITY

FINAL MARCH 2006

Implementation Guidelines for 49 CFR Part 659

Preface
To address the changing needs of the growing State Safety and Security Oversight
(SSO) community, as well as to reflect experience from almost a decade of
implementing the Rule, the Federal Transit Administration (FTA) recently amended 49
CFR Part 659, Rail Fixed Guideway Systems; State Safety Oversight. FTA’s revised
Rule was published in the Federal Register on April 29, 2005. The revised Rule is
available at:
•
•

http://www.gpoaccess.gov/fr/index.html (Government Printing Office); or
http://www.fta.dot.gov (click Safety and Security).

These Implementation Guidelines for 49 CFR Part 659 have been prepared to assist
states and rail transit agencies in developing compliant programs based on the revised
FTA Rule. To ensure program consistency, these guidelines build on previous guidance
provided to the affected SSO community in FTA’s 49 CFR Part 659 Reference Guide,
released on June 22, 2005. These guidelines also incorporate practices and
recommendations from the complement of technical assistance tools previously
developed for the SSO program, including templates, reports, training workshops,
seminars, web-based resources, and previously published documents.
As specified in § 659.39(a), each state oversight agency with a rail fixed guideway
system that is in passenger operations as of April 29, 2005, or that will begin passenger
operations by May 1, 2006, must make its Initial Submission to FTA by May 1, 2006.
§ 659.39(b) explains that “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 Plan have been developed,
reviewed, and approved.”
To support the activities of states, oversight agencies and rail transit agencies in
preparing these submissions by May 1, 2006, these guidelines provide a
comprehensive, up-to-date summary of FTA’s regulatory requirements, incorporating
into one publication all of the guidance FTA has issued over the past several years.
These guidelines explain the various elements of a compliant program and reference
examples of documents, checklists, forms, and procedures that may be used by states
and rail transit agencies in formulating their programs.
The attached CD-ROM and the Resource Toolkit for State Oversight Agencies
Implementing 49 CFR Part 659 provide templates that can be used by states and rail
transit agencies to develop program materials that address minimum FTA requirements.
The materials also provide examples of effective practices and approaches.
States and rail transit agencies developing or improving their programs can use these
guidelines and supporting resources to create materials compliant with the revised
Rule’s requirements. States and rail transit agencies with well-established programs can
use these guidelines to assess their level of compliance, validate policies and
procedures, and identify areas that may require modification based on the revised Rule.

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Implementation Guidelines for 49 CFR Part 659

The guidelines, the supporting CD-ROM and the Resource Toolkit for State Oversight
Agencies Implementing 49 CFR Part 659 were issued in draft form to the community of
state oversight and rail transit agencies affected by 49 CFR Part 659 in October 2005.
FTA received comments on these materials through Friday, December 2, 2005. FTA
issued these materials in draft form to expedite the release of FTA guidance to support
initiatives at state oversight and rail transit agencies to modify existing materials to
address the revised Rule. FTA also chose to provide the entire affected SSO
community with the opportunity to make comments on these materials. Suggestions,
comments, questions and other information were conveyed to FTA by the SSO
community during the final review and approval of these materials.
Preparation of these Implementation Guidelines was greatly aided by the generous
contribution of materials and advice from safety and security professionals at state
oversight and rail transit agencies and industry associations. Specifically, FTA’s State
Safety and Security Oversight Team would like to thank:
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David Barber, Pennsylvania Department of Transportation
Glenn Barney, Seattle Monorail Services
Rick Bukay, New Jersey Transit, Southern New Jersey Light Rail - River Line
Dan Caufield, Tri-County Metropolitan Transportation District of Oregon
Mike Conlon, Hiawatha Metro Transit Light Rail
Joe Diaz, Hillsborough Area Regional Transit Authority
Nanci Eksterowicz, Santa Clara Valley Transportation Authority
Bill Grizard, American Public Transportation Association
Len Hardy, Bay Area Rapid Transit
Henry Hartberg, Dallas Area Rapid Transit
Susan Hausmann, Texas Department of Transportation
Robert Huyck, Sound Transit
Mike Johnson, Florida Department of Transportation
Captain Tim Kelly, Metropolitan Transit Authority of Harris County, Texas
Vijay Khawani, Los Angeles County Metropolitan Transportation Authority
Robert Sedlock, New Jersey Department of Transportation
Nagel Shashidhara, New Jersey Transit, Hudson-Bergen Light Rail
Robert Strauss, California Public Utilities Commission

FTA’s State Safety and Security Oversight Team would also like to thank Mr. Michael
Taborn, Director of FTA’s Safety and Security Office, and Mr. Jerry Fisher, FTA’s State
Safety Oversight Program Manager (since retired), for their guidance and assistance in
preparing these guidelines. Mr. Roy Field, of FTA’s Office of Safety and Security, also
supported preparation of this document.

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Implementation Guidelines for 49 CFR Part 659

Table of Contents
Chapter 1: Introduction...................................................................................................... 5
Background ................................................................................................................... 5
Creation of FTA’s SSO Program ................................................................................... 6
Revision of 49 CFR Part 659......................................................................................... 7
Purpose and Scope of Implementation Guidelines ....................................................... 7
How to Use these Guidelines ........................................................................................ 9
Chapter 2: Affected SSO Community ............................................................................. 10
Definition of Rail Fixed Guideway System................................................................... 10
Affected States ............................................................................................................ 13
Affected Rail Transit Agencies .................................................................................... 14
Other Rail Transit Agency Partners............................................................................. 16
Chapter 3: Summary of Revised 49 CFR Part 659 Requirements.................................. 20
Revised Rule At-A-Glance........................................................................................... 20
Responsibilities of the State ........................................................................................ 20
Responsibilities of the Oversight Agency .................................................................... 22
Responsibilities of the Rail Transit Agency ................................................................. 25
Responsibilities of the Federal Transit Administration................................................. 25
Chapter 4: Designating the Oversight Agency ................................................................ 26
Overview...................................................................................................................... 26
What is Designation?................................................................................................... 26
Selecting an Oversight Agency ................................................................................... 27
Ability to Protect the Confidentiality of Investigation Reports and Security Plans ....... 28
What is a Designation Submission? ............................................................................ 29
Contents of Designation Submission........................................................................... 29
Designation Submissions for States with Rail Transit Agencies Operating in More than
One State .................................................................................................................... 30
Change of Designation ................................................................................................ 31
Chapter 5: Preparing the Initial Submission.................................................................... 32
Requirement for Initial Submission.............................................................................. 32
Resource Toolkit for State Oversight Agencies Implementing 49 CFR Part 659 ........ 32
What is the Program Standard? .................................................................................. 33
Elements of the Program Standard ............................................................................. 33
Timeframe for Development ........................................................................................ 36
Chapter 6: Requiring, Reviewing and Approving the Rail Transit Agency System Safety
Program Plan (SSPP) ..................................................................................................... 40
Overview...................................................................................................................... 40
Requiring the Rail Transit Agency SSPP .................................................................... 40
Comparison with the 1991 APTA Manual for the Development of Rail Transit System
Safety Program Plans.................................................................................................. 45
SSPP Review and Approval ........................................................................................ 47
Sample SSPP Sections ............................................................................................... 47
Chapter 7: Requiring, Reviewing and Approving the Rail Transit Agency System Security
Plan ................................................................................................................................. 48
Overview...................................................................................................................... 48
Required Security Plan Elements................................................................................ 48
Guidance for Security Plans ........................................................................................ 48

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Implementation Guidelines for 49 CFR Part 659

DHS Programs and Requirements .............................................................................. 49
Confidentiality of Security Plan and Security-Related Material ................................... 50
Issues for Consideration.............................................................................................. 51
Security Plan Review and Approval ............................................................................ 52
Chapter 8: Requiring Annual Updates of the SSPP and Security Plan........................... 53
Overview...................................................................................................................... 53
Requiring Annual Reviews .......................................................................................... 53
No Update Necessary ................................................................................................. 53
Update Required ......................................................................................................... 54
Review and Approval of Updated SSPPs, Security Plans and Supporting Procedures
..................................................................................................................................... 54
Other Potential Submittals from the Rail Transit Agency ............................................ 55
Chapter 9: Implementing the Hazard Management Process .......................................... 56
Overview...................................................................................................................... 56
Hazard Management Process ..................................................................................... 56
On-going Reporting to the Oversight Agency.............................................................. 57
Chapter 10: Requiring Rail Transit Agency Internal Safety and Security Audits............. 61
Overview...................................................................................................................... 61
Requiring the Internal Safety and Security Audit/Review Process .............................. 61
Chapter 11: Implementing Accident Notification and Investigation Procedures.............. 64
Overview...................................................................................................................... 64
Notification................................................................................................................... 64
Investigation ................................................................................................................ 65
Authorization of the Rail Transit Agency to Conduct Investigations on Behalf of the
Oversight Agency ........................................................................................................ 66
Independent Oversight Agency Investigations ............................................................ 70
NTSB Investigations .................................................................................................... 72
Chapter 12: Conducting Three-Year Safety and Security Reviews ................................ 73
Overview...................................................................................................................... 73
Oversight Agency Approach to the Three-Year Safety and Security Review.............. 73
Using Review Checklists ............................................................................................. 81
Chapter 13: Requiring, Reviewing, Approving and Tracking Corrective Action Plans .... 82
Overview...................................................................................................................... 82
Requiring, Reviewing and Approving Corrective Action Plans .................................... 82
Verification and Tracking of Corrective Action Plan Implementation........................... 83
Chapter 14: Reporting to FTA ......................................................................................... 85
Overview...................................................................................................................... 85
Annual Submissions .................................................................................................... 85
Periodic Submissions .................................................................................................. 86
Electronic Reporting .................................................................................................... 86
Appendix A: 49 CFR Part 659 (April 29, 2005) ............................................................... 87

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Implementation Guidelines for 49 CFR Part 659

IMPLEMENTATION GUIDELINES
49 CFR PART 659

Chapter 1: Introduction
Background
The Federal Transit Administration (FTA) works to achieve the highest practical level of
safety and security for the public transportation industry and state and local authorities.
In achieving this outcome, FTA provides an extensive program of technical assistance,
including guidelines, resource CD-ROMs, a safety and security webpage, newsletters,
safety studies, voluntary on-site reviews, workshops and seminars, and a suite of transit
safety and security training courses, administered through the National Transit Institute
(NTI) and the Transportation Safety Institute (TSI).
From its authority to condition the receipt of
grant funds (49 U.S.C. § 4324(c)), FTA also
exercises regulatory authority, administering
programs that place safety and security
requirements on transit grantees and state
agencies. Failure to comply with these
requirements can result in the withholding of
FTA funds.
Since the mid-to-late-1990s, FTA’s State
Safety and Security Oversight (SSO) Program
has emerged as one of the primary
mechanisms through which FTA works with
states and rail transit industry to ensure safety
and security. The SSO Program combines
elements of regulation and technical
assistance.

FTA’s Safety and Security
website is available at:
www.fta.dot.gov (click on Safety
and Security).
Information can be obtained on
FTA’s safety and security
training at:
http://www.ntionline.com/ (the
National Transit Institute) and
at: http://www.tsi.dot.gov/ (the
Transportation Safety Institute.)

In developing, monitoring and evaluating this program, FTA works closely with the
states, the rail transit industry, the American Pubic Transportation Association (APTA),
the National Transportation Safety Board (NTSB) and the Federal Railroad
Administration (FRA). To address emerging transportation security issues, FTA has
established a Memorandum of Agreement (MOA) with the Department of Homeland
Security (DHS), and coordinates with DHS agencies to address DHS authority and
guidance in FTA program activities. FTA reports annually on the performance of the
SSO program to Congress, and also integrates SSO program activities into other FTA
initiatives for safety, security, emergency preparedness, program management
oversight, and grants management.

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Implementation Guidelines for 49 CFR Part 659

Creation of FTA’s SSO Program
In response to the passage of the Intermodal Surface Transportation Efficiency Act of
1991 (ISTEA), which added Section 28 to the Federal Transit Act (codified at 49 U.S.C.
Section 5330), FTA published a set of regulations creating the first-ever, state-managed
safety and security oversight program for rail transit agencies not regulated by FRA.
This regulation was published as "Rail Fixed
Guideway Systems; State Safety Oversight" on
December 27, 1995 (codified at 49 CFR Part
659), subsequently referred to as the 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.
At the time of its publication, only five (5) states
affected by the SSO Rule had active oversight
programs in place for rail transit safety and
security, and no state or rail transit agency fully
met all Part 659 requirements. During the first
few years of Part 659 implementation, FTA
worked with states to develop compliant
programs, and to ensure approved submissions
documenting their activities to address Part 659
requirements for the rail transit agencies within
their jurisdictions.

The Safe, Accountable, Flexible,
Efficient Transportation Equity
Act: A Legacy for Users
(SAFTEA-LU) was passed by
Congress and signed by the
President in August 2005 as the
successor to the Transportation
Efficiency Act for the 21st
Century (TEA-21), which
reauthorized the Intermodal
Surface Transportation
Efficiency Act (ISTEA) of 1991.
It is available at
http://www.house.gov/rules/109
textTEALU.htm.

Beginning in the fall of 1998, FTA initiated its
program, required in 49 CFR Part 659.7, for
monitoring the implementation of the SSO Rule
by states and rail transit agencies. To manage this program, FTA has:
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Established its SSO Audit Program, to review oversight agency implementation
of 49 CFR Part 659 requirements and provide technical assistance;
every year, hosted a three-and-a-half-day workshop for the states and rail transit
agencies, addressing both safety and security topics and providing training;
reviewed and approved submissions from oversight agencies;
provided safety and security technical assistance in the form of guidelines,
newsletters, training, presentations, and specific support as requested by an
individual state oversight agency or rail transit agency;
conducted special studies to address emerging safety and security issues;
established working groups with state oversight agencies and rail transit
agencies to address program implementation issues;
coordinated with other FTA safety and security programs, to support the review
and dissemination of materials to state oversight and rail transit agencies;
coordinated with external agencies, such as NTSB, FRA and DHS, regarding the
program; and
prepared an annual report on the state of the program.

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Implementation Guidelines for 49 CFR Part 659

Since 2001, in response to the growing number of New Starts projects nearing revenue
service, FTA has also conducted a series of readiness reviews at New Starts systems
and their oversight agencies. FTA has also coordinated closely among its Office of
Safety and Security, Regional Offices, and the Project Management Oversight (PMO)
Program, administered by FTA’s Office of Engineering, to identify and evaluate safety
and security issues for New Starts projects.
Revision of 49 CFR Part 659
Since publication of the initial rule in 1995, the
community affected by this program has grown
from 19 states and 32 rail transit agencies to
26 states and 43 rail transit agencies. By 2009,
FTA anticipates that two (2) new states and as
many as seven (7) new rail transit agencies
may have entered the program.

Over the last decade, the SSO
program has grown from 19
states and 32 rail transit
agencies to 26 states and 43 rail
transit agencies.

In part to address the changing needs of this growing community, as well as to reflect
experience from almost a decade of implementing the Rule, FTA recently amended 49
CFR Part 659, publishing the revised Rule in the Federal Register on April 29, 2005.
The revised Rule adds clarifying sections, further specification concerning what the state
must require to monitor safety and security of rail transit systems, and incorporates into
the body of the regulation material previously incorporated by reference. FTA believes
that this Rule revision will: (1) enhance program efficiency; (2) increase responsiveness
to recommendations from NTSB and the results of analysis regarding emerging safety
and security issues; (3) improve consistency in the collection and analysis of safety and
security data; and (4) improve performance of the rail transit industry’s hazard
management process.
The Rule also clarifies FTA’s oversight management objectives, and streamlines current
reporting requirements, including the change from paper reporting to electronic
reporting. Finally, the revised Rule addresses heightened concerns for rail transit
security and emergency preparedness. As specified in the revised 49 CFR Part 659, the
Rule’s new requirements must be implemented by states and rail transit agencies
beginning on May 1, 2006. Appendix A provides a copy of FTA’s revised Rule.
Purpose and Scope of Implementation Guidelines
These guidelines have been prepared to assist states and rail transit agencies in
developing compliant programs based on the revised FTA Rule. To ensure program
consistency, these guidelines build on previous guidance provided to the affected SSO
community in FTA’s 49 CFR Part 659 Reference Guide, released on June 22, 2005.
These guidelines also incorporate practices and recommendations from the complement
of technical assistance tools previously developed for the SSO program, including
templates, reports, training workshops, seminars, web-based resources, and previously
published documents, such as FTA’s:

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Implementation Guidelines for 49 CFR Part 659

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Implementation Guidelines for State Safety Oversight of Rail Fixed Guideway
Systems (1996);
Transit Security Handbook (1998);
Technical Advisory for the Notification and Investigation of Accidents and
Unacceptable Hazardous Conditions (1999);
Critical Incident Management Guidelines (1999);
Compliance Guidelines for States with New Starts Projects (2000);
Hazard Analysis Guidelines for Transit Projects (2000);
Keeping Safety on Track brochure series (2000 and 2001);
Safety Certification Handbook (2002);
Public Transportation System Security and Emergency Preparedness Planning
Guide (2003);
FTA’s Top 20 Security Action Items Website (2003 and 2004); and
Transit Security Design Considerations (2005).

These guidelines provide a comprehensive, up-to-date summary of the regulatory
requirements, incorporating into one publication all of the guidance FTA has issued over
the past several years. These guidelines explain the various elements of a compliant
program and reference examples of documents, checklists, forms, and procedures that
may be used by states and rail transit agencies in formulating their programs.
The attached CD-ROM and the Resource Toolkit for State Oversight Agencies
Implementing 49 CFR Part 659 provide templates that can be used by states and rail
transit agencies to develop program materials that address minimum FTA requirements,
as well as examples of effective practices and approaches.
States and rail transit agencies can use these guidelines and supporting resources to
create programs compliant with the revised Rule’s requirements. States and rail transit
agencies with well-established programs can use these guidelines to assess their level
of compliance, validate policies and procedures, and identify areas that may require
modification based on the revised Rule.
The following required elements of an SSO program, specified in the revised 49 CFR
Part 659, are discussed:
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Designating an SSO agency (§ 659.9);
Developing a program standard and supporting procedures (§ 659.15);
Requiring, reviewing and approving rail transit agency System Safety Program
Plans (SSPPs) (§ 659.17 and § 659.19);
Requiring, reviewing and approving rail transit agency System Security Plans
(Security Plans) (§ 659.21 and § 659.23);
Requiring an annual cycle for rail transit agencies to review SSPPs and Security
Plans to determine if they should be updated (§ 659.25);
Requiring and overseeing implementation of the rail transit agency internal safety
and security audit program and requiring, reviewing and approving annual
reports and certifications from rail transit agencies (§ 659.27);
Requiring and overseeing implementation of the rail transit agency hazard
management process (§ 659.31);

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Implementation Guidelines for 49 CFR Part 659

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•

Requiring and receiving notification of accidents meeting the revised Part 659
thresholds (§ 659.33);
Conducting investigations of accidents meeting the revised Part 659 thresholds
(§ 659.35);
Conducting Three-Year safety and security reviews at rail transit agencies
(§ 659.29);
Requiring, reviewing, approving and tracking corrective action plans for findings
from accident investigations and Three-Year reviews (§ 659.37); and
Reporting to FTA (§ 659.39).

States and rail transit agencies may go beyond
these requirements to incorporate additional
features into their programs that are not
mandated by the revised FTA Rule. Additional
provisions that go beyond the regulatory
requirements must be clearly represented as
features included under the authority of the
state and not the FTA-mandated program.
How to Use these Guidelines

Key words are used throughout
the guidelines to distinguish
between required program
elements and recommended
alternatives. “Must” and “shall”
refer to required minimum
activities; “should” and “may”
address recommendations or
alternatives.

The guidelines are organized by topics
addressed in the revised Rule, and each topic
is discussed in the general order it would be
confronted in the actual formulation and
implementation of an SSO Program. Corresponding reference documents, forms, and
checklists are included in the Resource Toolkit for State Oversight Agencies
Implementing 49 CFR Part 659, which accompanies these guidelines. These materials
were designed to meet the minimum regulatory requirements contained in 49 CFR Part
659. The CD-ROM contains documents and resources that amplify basic information in
the guidelines and provide specific details on subjects that may be ancillary to the
guidelines or applicable only to certain situations or rail transit operations.
These guidelines focus on developing programs that meet FTA’s minimum regulatory
requirements. As such, they support the efforts of states and rail transit agencies to
develop compliant and defensible programs. These guidelines do not take precedence
over or alter any requirement established under FTA or DOT regulations.
Certain key words are used throughout the text to assist in differentiating between
required program elements and optional suggestions for a better program. Statements in
this manual that refer to regulatory requirements contain the words “shall” or “must: (e.g.,
“A program standard shall address the nine elements contained in § 659.15.”). Program
elements not explicitly required by regulations, but suggested as an integral part of
successful implementation, are generally addressed using the word “should.” Optional
elements, or those program features that have several acceptable alternatives, are
normally expressed by use of the word “may.” Examples of activities that could be
performed or specified by the oversight agency also use the word “may.”

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Implementation Guidelines for 49 CFR Part 659

Chapter 2: Affected SSO Community
Definition of Rail Fixed Guideway System
The revised 49 CFR Part 659 applies to all states with rail fixed guideway systems
operating in their jurisdictions. As specified in § 659.5, a rail fixed guideway system is
defined as: “any light, heavy, or rapid rail system, monorail, inclined plane, funicular,
trolley, or automated guideway that:
•
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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).”

In the revised Rule, the definition of rail fixed guideway system now includes those
systems built entirely without FTA capital funds, but that intend to receive formula
funding for operations based on their
submission of fixed guideway route miles to
FTA. Examples of these systems include
Houston’s METRORail System and the New The revised Rule uses the term
“rail fixed guideway system” and
Jersey Transit RiverLINE System.
FTA’s revised Rule refers to all entities that
operate a rail fixed guideway system as “rail
transit agencies.” Only states with rail transit
agencies that meet the definition of rail fixed
guideway system, as specified in § 659.5,
must comply with 49 CFR Part 659
requirements.

the acronym RFGS to refer to
the physical systems designed
and operated to provide
passenger service. Entities
operating RFGS are referred to
as “rail transit agencies.”

Table 1 provides a listing of affected states,
oversight agencies and rail transit agencies, organized by FTA region. Figure 1 provides
a map showing the locations of the affected states and rail transit agencies by FTA
region. Figure 2 provides a map showing the seven (7) additional rail transit systems and
two (2) additional states that may be joining the SSO program through 2009.
It should be noted that Table 1 and Figures 1 and 2 are based on current FTA
information regarding the SSO community. In response to recent events and on-going
New Starts project activity, this listing of affected states and rail transit agencies is
subject to change.

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Implementation Guidelines for 49 CFR Part 659
Table 1: Affected SSO Community
FT A
R e g io n

Stat
e

S t a te O v er s ig h t A g e n c y

Rail Tr ansit Agency

1

MA

Massachusetts Department of
Telecommunications and Energy

NJ

New Jersey Department of
Transportation

NY

New York Public Transportation Safety
Board

DC/V
A/MD

Tri-State Oversight Committee

Massachusetts Bay Transportation
Authority
New Jersey Transit – Newark City Subway
New Jersey Transit – Hudson-Bergen
New Jersey Transit – River Line
Port Authority Transit Corporation
New York City Transit
Niagara Frontier Transit Authority
Washington Metropolitan Area Transit
Authority

MD

Maryland Department of
Transportation

2

3
PA

Pennsylvania Department of
Transportation

4

GA

Georgia Department of Transportation

Heavy Rail, Light Rail
Heavy Rail, Light Rail

Port Authority of Allegheny County

MI

Michigan Department of Transportation

MN

Minnesota Department of Public
Safety/ State Patrol

Hiawatha Metro Transit

Light Rail

OH

Ohio Department of Transportation

Greater Cleveland Regional Transit
Authority

Heavy Rail, Light Rail

TN

WI
AR
LA
6

8

9

Heavy Rail

IL

PR

7

Jacksonville Transportation Authority
Hillsborough Area Regional Transit
Metropolitan Atlanta Rapid Transit
Authority
Charlotte Area Transit System – Trolley
Line

Light Rail, Inclined
Plane
Inclined Plane
Heavy Rail, Automated
Guideway
Automated Guideway
Light Rail

North Carolina Department of
Transportation
Puerto Rico State Emergency and
Disaster Management Agency
Tennessee Department of
Transportation
Regional Transportation Authority

NC

5

Light Rail
Light Rail
Light Rail
Heavy Rail
Heavy Rail
Light Rail
Heavy Rail

Maryland Transit Administration

Metro-Dade Transit Authority
Florida Department of Transportation

Heavy Rail, Light Rail

Southeastern Pennsylvania Transit
Authority
Cambria County Transit Authority

FL

M o d e s o f S er v i c e

Wisconsin Department of
Transportation
Arkansas State Highway and
Transportation Department
Louisiana Department of
Transportation and Development

TX

Texas Department of Transportation

IL
MO
CO
UT

St. Clair County Transit District
Missouri Department of Transportation
Colorado Public Utilities Commission
Utah Department of Transportation

CA

California Public Utilities Commission

OR

Oregon Department of Transportation

WA

Washington State Department of
Transportation

10

Light Rail

Tren Urbano

Heavy Rail

Chattanooga Area Rapid Transit Authority
Memphis Area Transit Authority
Chicago Transit Authority
Detroit Department of Transportation –
Detroit People Mover

Inclined Plan
Light Rail
Heavy Rail

Kenosha Transit

Automated Guideway

Light Rail

Little Rock River Rail

Light Rail

New Orleans Regional Transit Authority

Light Rail

Galveston Island Transit
Dallas Area Rapid Transit
Metropolitan Transit Authority of Harris
County
Bi-State Development Agency(Saint Louis
Metro)
Denver Regional Transit District
Utah Transit Authority
Bay Area Rapid Transit
Los Angeles County Metropolitan
Transportation Authority
San Francisco Municipal Railway
San Diego Trolley, Inc.
Sacramento Regional Transit District
Santa Clara Valley Transit Authority
Portland Tri-Met
Portland Streetcar
Seattle Center Monorail
Sound Transit – Tacoma Link

Light Rail
Light Rail
Light Rail
Light Rail
Light Rail
Light Rail
Heavy Rail
Heavy Rail, Light Rail
Light Rail, Cable Cars
Light Rail
Light Rail
Light Rail
Light Rail
Light Rail
Automated Guideway
Light Rail

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Implementation Guidelines for 49 CFR Part 659

Figure 1: SSO Community Map (2005)

Figure 2: Potential SSO Community Additions (2006 to 2009)

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Implementation Guidelines for 49 CFR Part 659

Affected States
The 26 affected states have designated a range of agencies to implement 49 CFR Part
659 requirements. As shown in Table 2, the majority of oversight agencies are divisions
of state departments of transportation, empowered by enabling legislation or
gubernatorial executive order to implement Part 659 regulations. States have also
selected public utilities commissions, boards and committees, regional transportation
authorities, emergency management agencies and departments of public safety to carry
out these requirements.
Table 2: State Oversight Agency Designations
OVERSIGHT AGENCY DESIGNATIONS: 2005
AGENCIES

NUMBER

S t a te D e pa r tm e n t o f T r a ns p o r t a t io n
State Utilities Commission or Regulator
R e g io n a l or C o un t y T r an sp o r t a t io n
Authorit y
M u l t i- s ta t e O v e r s i gh t C omm i t t ee
S t a te T r a n s po r t a t i on Sa f et y B o ard
S t a te Em er ge n c y Ma n ag em e n t A ge n c y or
P u b l i c Sa f et y A g en c y
T o ta l

17
3
2
1
1
2
26

As indicated in Table 1, 16 affected states provide oversight for a single rail transit
agency within their jurisdiction. Eight (8) states have oversight responsibility for two or
more rail transit agencies operating in their jurisdiction. One (1) multi-state oversight
agency has been created, and there is another
state with two or more rail transit agencies
operating in the state, where one rail transit
Of the 26 states affected by 49
agency also operates in more than one state.
More than half of the affected states have
designated at least one (1) full-time equivalent
(FTE) to implement 49 CFR Part 659
requirements.
Several
states
with
responsibility for large transit agencies, such
as California, New York, and Massachusetts,
have assigned multiple personnel to manage
their programs. The majority of states also use
contractors to support critical oversight
functions and bring specific expertise to the
evaluation of rail transit agency implementation
of 49 CFR Part 659 requirements.

CFR Part 659, 16 states have a
single rail transit agency within
their jurisdictions, eight (8)
states have two or more rail
transit agencies within their
jurisdictions, one (1) multi-state
oversight agency has been
created, and there is another
state with three rail transit
agencies in its jurisdiction,
where one rail agency also
operates in more than one state.

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Implementation Guidelines for 49 CFR Part 659

Affected Rail Transit Agencies
The 43 rail transit agencies affected by 49 CFR Part 659 include small and large
operators, that combined, provided approximately 3 billion annual passenger trips in
2004 or roughly one-third of all trips taken on public transportation. Approximately 80
percent of all trips on rail transit are provided by six large, urban rail transit agencies,
including New York City Transit (NYCT), Washington Metropolitan Area Transit Authority
(WMATA), Massachusetts Bay Transportation Authority (MBTA), Chicago Transit
Authority (CTA), Southeastern Pennsylvania Transportation Authority (SEPTA), and Bay
Area Rapid Transit (BART). New light rail systems that initiated service within the last
decade are also showing strong ridership, averaging between 15 and 25 million annual
passenger trips.
Table 3 provides estimated daily ridership averages for the 43 affected rail transit
agencies, based on 2004 data submitted to the National Transit Database (NTD) and
initial reports from 2005. Weekend trips are figured into these daily averages, since for
smaller agencies, weekend ridership may exceed weekday ridership.
Three modal categories are used to classify the rail transit agencies affected by 49 CFR
Part 659 requirements:
•
•
•

Heavy Rail (HR) – usually has multiple-car trains on fixed, exclusive rights of
way, characterized by high speed and rapid acceleration, and often uses
sophisticated signaling systems.
Light Rail (LR) – lightweight passenger rail cars traveling singly or in two-car
trains on a fixed right of way, which is typically not separated from on-street
traffic for long stretches of the alignment.
Other Rail – includes inclined planes (IP) and funiculars, automated guideways
(AG), and cable cars (CC).

Almost every affected rail transit agency has a dedicated safety department or an
operations supervisor who also focuses on safety issues; the vast majority of affected
rail transit agencies also have dedicated security or transit police departments, or an
operations or safety manager who devotes a portion of his or her time to security issues.
The rail transit industry has a strong safety record. Analysis of data from the NTD shows
that rail transit agencies report less than 6 percent of all public transportation’s
accidents, while providing close to one-third of all public transportation passenger trips.
This low ratio of accidents-to-provided service makes rail transit one of the safest modes
of transportation. In most communities, automobile drivers are 50 to 60 times more likely
to be in a fatal accident than rail transit users, and 200 times more likely to be in an
accident in which they receive an injury than rail transit passengers.

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Implementation Guidelines for 49 CFR Part 659

Table 3: Rail Transit Agency Average Daily Ridership (including weekends)
AVERAGE
RAIL TRANSIT AGENCY
MODE
DAILY
TRIPS
Bay Area Rapid Transit District (BART)
Cambria County Transit Authority (CCTA)
Central Arkansas Transit Authority (CATA)
Charlotte Area Transit System (CATS)
Chattanooga Area Regional Transportation Authority (CARTA)
Chicago Transit Authority (CTA)
Dallas Area Rapid Transit (DART)
Denver Regional Transportation District (RTD)
Detroit People Mover (DPM)
Galveston Island Transit (GIT)
Greater Cleveland Regional Transit Authority (GCRTA)

HR
270,221
IP
213
LR
741
LR
391
IP
1,189
HR
406,336
LR
46,655
LR
27,475
AG
1,918
LR
115
LR
7,492
HR
13,821
Hillsborough Area Regional Transit Authority (HART)
LR
1,158
Jacksonville Transportation Authority (JTA)
AG
1,828
Kenosha Transit
LR
161
Los Angeles County Metropolitan Transportation Authority (LACMTA)
LR
98,486
HR
92,840
Metro Transit, Hiawatha
LR
15,632
Metropolitan Transit Authority of Harris County (MTA-HC)
LR
21,084
Massachusetts Bay Transportation Authority (MBTA)
LR
163,620
HR
333,330
Memphis Area Transit Authority (MATA)
LR
3,176
Metropolitan Atlanta Rapid Transit Authority (MARTA)
HR
192,438
Maryland Transit Administration (MTA-MD)
LR
12,870
HR
35,313
Miami-Dade Transit (MDT)
AG
23,798
HR
43,802
New Orleans Regional Transit Authority (NORTA)
LR
20,527
Niagara Frontier Transportation Authority (NFTA)
LR
15,028
New Jersey Transit - Hudson Bergen Light Rail (HBLR)
LR
16,668
New Jersey Transit - Newark City Subway (NCS)
LR
14,388
New Jersey Transit - River Line (RL)
LR
4,998
New York City Transit (NYCT)
HR
4,954,909
Port Authority of Allegheny County (PAAC)
LR
18,658
IP
1,916
IP
936
Port Authority Transit Corporation (PATCO)
HR
25,068
Portland Streetcar
LR
5,315
Sacramento Regional Transit District (SRTD)
LR
33,576
Saint Louis Metro
LR
40,986
San Diego Trolley, Inc. (SDTI)SDTI
LR
78,828
San Francisco Municipal Railway (MUNI)
LR
122,803
CC
21,145
Santa Clara Valley Transportation Authority (SCVTA)
LR
17,015
Seattle Center Monorail
AG
5,766
Sound Transit (Tacoma Link)
LR
2,176
Southeastern Pennsylvania Transportation Authority (SEPTA)
LR
49,103
HR
238,953
Tren Urbano, San Juan
HR
19,466
Tri-County Metropolitan Transportation District of Oregon (Tri-Met)
LR
82,836
Utah Transit Authority (UTA)
LR
31,446
Washington Metropolitan Area Transit Authority (WMATA)
HR
703,742
HR=Heavy Rail; LR=Light Rail; AG=Automated Guideway; IP=Inclined Plane; CC=Cable Car

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Implementation Guidelines for 49 CFR Part 659

The rail transit security record is also strong. Analysis of NTD data shows that rail transit
passengers are 80 to 100 times less likely to be the victim of a violent crime while riding
transit than while walking, living or driving in the communities served by the rail transit
system. Nationwide, less than ten homicides occur on rail transit systems each year,
compared with the more than 10,000 homicides that occur in the nation’s communities.
Some rail transit agencies experience nuisance crimes, such as disorderly conduct and
drunkenness, loitering, and trespassing, at the same level as those crimes are
experienced in the streets and neighborhoods surrounding rail transit stations. However,
most rail transit passengers are 10 to 20 times less likely to experience those types of
events while using rail transit than while walking, living or driving in the neighborhoods
near the rail transit system.
Other Rail Transit Agency Partners
Since September 11, 2001, rail transit agency safety and security departments have also
become more actively involved in emergency planning at the local, regional and state
level. Most rail transit agencies have revised their Emergency Operations Plans (EOPs),
and implemented security awareness training for employees (many using the NTI and
TSI training materials developed by FTA) and the TransitWatch program (also
developed by FTA) to enhance customer awareness.
In addition, through the Department of Homeland Security, Preparedness Directorate,
Office of Grants and Training (G&T), formerly the Office of State and Local Government
Coordination and Preparedness (SLGCP), Office for Domestic Preparedness (ODP),
eligible rail transit agencies are coordinating with their homeland security Urban Area
Working Groups to develop Regional Transit
Security Strategies (RTSS) and to support
region-wide planning to address National Authority for the Transportation
Preparedness Goals focusing on the
enhancement of specific response capabilities Security Administration (TSA) is
and
improvements
in
interoperable specified in the Aviation and
communications. Emphasis is also being Transportation Security Act of
placed on rail transit activity to address DHS 2001, PL 107-71, 115 Stat. 597,
requirements specified in the National
Response Plan, the National Incident 49 USC 40101 and the
Management System, and the National Homeland Security Act of 2002,
Infrastructure Protection Plan.
PL 107-296, 116 Stat. 2135, 6

USCA 101.

Rail transit agencies are also coordinating with
the Transportation Security Administration
(TSA), which has the authority to regulate and
oversee implementation of security measures for all modes of transportation in the
United States, including public transportation. TSA may exercise its authority through
formal rulemaking or binding directives to transportation operators.

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Implementation Guidelines for 49 CFR Part 659

In the wake of the March 2004 Madrid bombings, the TSA released its first Security
Directive (RAILPAX-04-01) to rail transit operators on May 20, 2004. Security Directives
are not subject to notice and public comment and the rail transit industry is required to
immediately implement the measures contained in the directive within 72 hours of
issuance. The May 20, 2004 directive contained 15 action items that included:
•
•
•
•
•
•

designating a security coordinator for the rail transit agency to work with TSA;
providing TSA with the latest threat and vulnerability assessment conducted on
the system;
removing trash receptacles and containers that are not bomb-resistant from
passenger platforms;
utilizing explosive detection canine teams, if available;
performing regular inspection of rail cars and facilities for suspicious items; and
locking access doors to the train operator’s cab.

TSA prioritized this list of action items by
analyzing the most relevant threat scenarios
for rail transit agencies, assessing what was
already in place in the rail transit industry, and
considering the cost of the required activities.
TSA has stated that its overall goal for
transportation security is to provide consistent
protection for all modes of transportation
without allowing security costs to economically
disadvantage one transportation mode or
another.

TSA issued its first Security
Directive for heavy and light rail
transit agencies on May 20,
2004. The Directive contained
15 specific action items to be
performed within 72 hours,
including designation of a
security contact for the rail
transit agency.

TSA has also conducted security exercises
that bring together rail transit agencies, federal
and local first responders, and security
experts. TSA has identified and is addressing gaps in antiterrorism training among rail
transit personnel. Under the auspices of TSA, rail transit personnel have also traveled to
the Federal Law Enforcement Training Center (FLETC) to receive antiterrorism training.
TSA is also conducting pilot research programs in partnership with the rail transit
industry. Under authority of 49 USC 40119, USDOT and TSA have jointly issued, at 49
CFR § 15 and 49 CFR § 1520 respectively, regulations for protection of sensitive
security information (SSI), applicable to all modes of transportation.
Finally, pursuant to the DHS/G&T National Infrastructure Protection Plan and the
DHS/TSA Transportation Security Operational Plan (TSOP), TSA has developed a
Surface Transportation Security Inspector (STSI) Program, as mandated by the Fiscal
Year 2005 Homeland Security appropriations bill.
The STSI program will hire, train and deploy 100 TSA rail security compliance
inspectors, to be located in 19 cities. The cities were chosen for their proximity to major
rail hubs, existing FRA and FTA Regional Offices, and existing TSA Aviation Operations
Districts. In coordination with rail transit and passenger rail systems, the TSA
inspectors will:

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Implementation Guidelines for 49 CFR Part 659

•
•
•
•

conduct security system evaluations;
share security-related best practices information;
coordinate security threat advisories; and
conduct inspections to ensure compliance with TSA security directives.

FRA is also a partner for some rail transit agencies. At the current time, eight (8) rail
transit agencies have received waivers from FRA that allow shared track operations.
These rail transit agencies share track with the general railroad system, using the track
during different times of the day than freight operators or FRA passenger operators
(referred to as temporal separation). Due to increased competition for track usage, this
practice has emerged to address both FTA and FRA objectives to increase opportunities
for improved passenger travel in metropolitan areas through expanded use of railroad
lines in ways that continue to preserve the existing safety records of the affected
operators and communities.
Waivers for shared track systems are governed through (1) a joint policy statement
issued by FRA and FTA and (2) an FRA statement of agency policy, both issued on July
10, 2000:
•

•

July 10, 2000 (final)—Joint Statement of Policy Concerning Shared Use of the
Tracks of the General Railroad System by Conventional Railroads and Light Rail
Transit Systems, Federal Register, Vol. 65, No. 132, p. 42,526, issued by the
FRA and FTA.
July 10, 2000 (final)—Statement of Agency Policy Concerning Jurisdiction Over
the Safety of Railroad Passenger Operations and Waivers Related to Shared
Use of the Tracks of the General Railroad System by Light Rail and Conventional
Equipment, Federal Register, Vol. 65, No. 132, p. 42,529, issued by the FRA.

The primary issue addressed by the joint FRAFTA policy statement is the means by which
FRA and FTA propose to coordinate their
safety programs with regard to rail transit
systems that share track with freight railroads.
Although compatible in terms of track gage,
these two forms of rail service are incompatible
in terms of equipment. A collision between a
light rail transit vehicle with passengers aboard
and heavy-duty freight or passenger
equipment would likely result in catastrophe.

FRA and FTA requirements for
shared used track are specified
in “Joint Statement of Policy
Concerning Shared Use of
General Railroad System by
Conventional Railroads and Light
Rail Transit Systems” published
in the Federal Register on
July 10, 2000.

This joint statement is intended to: (1) explain
the nature of the most important safety issues
related to shared use of the general railroad
system by conventional and rail transit
equipment; (2) summarize the application of
FRA and FTA safety rules to such shared-use operations; and (3) help rail transit
authorities, railroads, and other interested parties understand how the safety programs
of the two agencies will be coordinated.

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Implementation Guidelines for 49 CFR Part 659

The joint policy statement introduces the FRA waiver process to regulate exceptions
when shared track will be permitted accompanied by approved safety measures to
reduce risk to equivalent or better probabilities. FTA has nonvoting participation on the
FRA Safety Review Board to review and
recommend action on petitioner’s waivers.
As part of its petition for waiver, the rail transit
agency must certify that the state’s safety
oversight program and the FTA and FRA
safety regulations are coordinated and
consistent in the matter of the petition.
In carrying out the joint policy statement, FRA
carefully reviews the activities of both the rail
transit agency and the state oversight agency
to ensure safety for passengers, employees,
and others who may come into contact with
the system.

In carrying out the joint policy
statement, FRA carefully reviews
the activities of both the rail
transit agency and the state
oversight agency to ensure
safety for passengers,
employees, and others who may
come into contact with the
system.

State oversight agencies are not official parties
to the FRA waivers petitioned for and received by the rail transit agencies. However, the
state’s SSO program is a critical element in ensuring that the rail transit agency
addresses the requirements in the waiver. FTA too, emphasizes the importance of the
SSO program in supporting the waiver process, and carefully reviews SSO programs
and activities in light of waiver requirements and the joint policy statement with FRA.
In response to a legislative mandate, FRA has also issued a Final Rule on the Use of
Locomotive Horns at Highway-Rail Grade Crossings, which is available at:
•

http://www.fra.dot.gov/us/content/1318.

This final Rule, which requires that locomotive horns be sounded as a warning to
highway users at public highway-rail crossings, took effect on June 24, 2005. The final
Rule provides an opportunity for thousands of localities nationwide to mitigate the effects
of train horn noise by establishing new "quiet zones." The Rule also details actions
communities with pre-existing "whistle bans" can take to preserve the quiet which they
have established while ensuring the safety of public highway-rail crossings. This Rule
affects rail transit agencies as well, particularly street-running light rail with rail grade
crossings. Rail transit agencies, state departments of transportation, and community
owners of the rail grade crossings are working with FRA to establish “quite zones” and to
address FRA regulations.

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Implementation Guidelines for 49 CFR Part 659

Chapter 3: Summary of Revised 49 CFR Part 659 Requirements
Revised Rule At-A-Glance
FTA’s revised 49 CFR Part 659 contains two types of requirements:
•

Program development requirements specify those activities that must be
performed by the state, oversight agency, and rail transit agency to develop
programs and materials compliant with the revised Rule. These activities must be
complete by May 1, 2006, and include: the designation of the oversight agency
(for New Starts systems); the preparation of the revised oversight agency
“program standard and referenced procedures” (for existing oversight agencies);
the revision of the rail transit agency System Safety Program Plan and System
Security Plan to address the state’s revised “program standard and referenced
procedures;” the conveyance of formal approval from the oversight agency to the
rail transit agency for these plans; and the delivery of the state oversight
agency’s Initial Submission to FTA.

•

Program implementation requirements specify those activities that will be
performed by the oversight agency and the rail transit agency to implement the
revised Rule. Key activities include: the revised internal safety and security audit
process; the new hazard management process; a revised process for accident
notification and investigation; and a revised corrective action plan management
process. State oversight agencies must also continue with their previously
established programs for conducting three-year safety and security reviews onsite at the rail transit agencies.

Figure 3 provides an overview of Revised 49
CFR Part 659. In addressing these requirements,
FTA assigns specific responsibilities to the state,
the oversight agency and the rail transit agency.
Responsibilities of the State
Under the revised Rule, the primary responsibility
of the state remains designating an entity – other
than the rail transit agency – to oversee the
safety and security of a rail fixed guideway
system. If the rail transit agency operates in
more than one state, each state may designate
an entity as the oversight agency or may agree to
designate one agency from one state to provide
oversight. In either case, this Rule requires that,
in all circumstances in which a rail transit agency
is operating in multiple states, the rail transit
agency operating the rail fixed guideway system
must be subject to only one program standard.

To comply with 49 CFR Part
659, an affected state is
required to designate an
oversight agency. The state
may also protect accident
reports and security plans and
other security-related materials
from public disclosure. For rail
transit agencies operating in
more than one state, the
affected states may designate a
single agency, share oversight
authority among the states, or
create a multi-state agency.

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Implementation Guidelines for 49 CFR Part 659

Figure 3: Overview of Revised 49 CFR Part 659

The state or states may also prohibit public disclosure of investigation reports.
Furthermore, states are not required to make available the rail transit agency’s security
plan or referenced procedures. If states cannot protect rail transit agency security plans
or supporting procedures from public disclosure, then the state must review these
documents on-site at the rail transit agency or establish some other procedures to
ensure the protection of these materials. These procedures must be documented in the
rail transit agency System Security Plan.

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Implementation Guidelines for 49 CFR Part 659

Responsibilities of the Oversight Agency
As in the previous rule, the oversight agency is required to prepare a program standard,
which is 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. However, the revised Rule no longer
references the 1991 APTA Manual for the Development of Rail Transit System Safety
Program Plans as the basis for the program standard. Instead, FTA’s revised Rule
specifies that the oversight agency’s program standard must address, at a minimum, the
nine areas identified by FTA in § 659.15.
In addressing the nine areas specified by FTA, the oversight agency must develop a
program, which ensures performance of the following minimum activities:
•

System Safety Program Plan (SSPP)
-

-

-

•

Requiring the rail transit agency to develop a System Safety Program Plan
(SSPP) that complies with the oversight agency’s program standard.
Reviewing and formally approving the rail transit agency’s SSPP, including
submission of completed review
checklist and formal letter to the rail
transit agency.
Requiring that the rail transit The oversight agency must
agency review the SSPP annually develop a program standard to
to determine if it should be updated.
guide its oversight program.
Requiring, reviewing and approving
updated SSPPs from rail transit The oversight agency must also
require, review and approve a
agencies.

System Security Plan (Security Plan)
-

-

-

System Safety Program Plan and
System Security Plan from each
of the rail transit agencies in its
jurisdiction.

Requiring the rail transit agency to
develop a System Security Plan
(Security Plan) that complies with
the oversight agency’s program
standard. A special review process
must be developed and included in the Security Plan to ensure the protection
of all rail transit agency security plans, procedures, training, and the state
oversight agency’s working documents from public disclosure.
Reviewing and formally approving the rail transit agency’s Security Plan,
including submission of completed review checklist and formal letter to the
rail transit agency.
Requiring that the rail transit agency review the Security Plan annually to
determine if it should be updated.
Requiring, reviewing and approving updated Security Plans from rail transit
agencies.

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Implementation Guidelines for 49 CFR Part 659

•

Rail Transit Internal Safety and
Security Audit Program
-

-

-

-

•

Requiring the rail transit agency to
conduct internal audits as an ongoing activity for all elements of the
SSPP and Security Plan over a
three-year period.
Requiring the rail transit agency to
provide its schedule, procedures
and checklists for conducting
internal audits to the oversight
agency.
Requiring the rail transit agency to notify the oversight agency at least 30
days prior to the conduct of individual audits.
The oversight agency is encouraged, but not required, to participate in these
audits.
Requiring, reviewing and approving an annual report, documenting the rail
transit agency’s activity for its internal audit process, including compliance
with the schedule of its internal audit program, the activities performed during
the internal audits, a listing of findings/recommendations, and the status of
their implementation.
Requiring the rail transit agency’s chief executive to submit an annual
certificate stating that, based on the results of the internal safety and security
audits, the rail transit agency is in compliance with its SSPP and Security
Plan. In the event that the chief executive cannot submit this certificate, the
rail transit agency must submit to the oversight agency the steps it will take to
achieve compliance. The oversight agency must review and approve this
action plan.

Hazard Management Process
-

-

-

•

The oversight agency must
require the rail transit agency to
conduct internal safety and
security audits as an on-going
activity for all elements of the
System Safety Program Plan and
System Security Plan over a
three-year period.

Requiring the rail transit agency to establish a hazard management process
that is documented in the SSPP. The objective of this process is to provide
an on-going state oversight role for hazard management.
This process must address the rail transit agency’s approach to hazard
identification; hazard investigation, evaluation and analysis; hazard control
and elimination; hazard tracking; and requirements for on-going reporting to
the oversight agency relating to hazard management activities and status.
The hazard management process must identify the mechanisms through
which the rail transit agency and the oversight agency will share information
regarding the identification, investigation, evaluation, resolution and tracking
of hazards.

Accident Notification and Investigation
-

Using new thresholds, consistent with National Transit Database (NTD)
Safety and Security Major Incident Reporting Module, to trigger notification of
accidents to the oversight agency by the rail transit agency.

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Implementation Guidelines for 49 CFR Part 659

-

-

-

•

On-site Three-Year Safety and Security Reviews
-

-

•

Conducting on-site safety reviews every three years (at a minimum) to
assess whether the transit agency’s safety and security practices and
procedures comply with its system safety program plan and/or require
updating to improve effectiveness.
Using checklists, document reviews and interviews, and on-site observation
to review, evaluate and verify SSPP and Security Plan implementation.
Preparing and delivering a report
documenting results of the threeyear review, including findings and
The revised Rule requires that a
requests for corrective action plans.

Corrective Action Plans
-

-

•

Requiring rail transit agencies that share track with the general railroad
system to report to the oversight agency any accidents they also report to
FRA.
Investigating reports of accidents/incidents meeting the NTD thresholds and
requiring the rail transit agency to prepare corrective action plans to minimize,
control, correct, or eliminate probable cause conditions to prevent recurrence.
In performing this function, the oversight agency may authorize the rail transit
agency to conduct investigations on its behalf (through formal authorization,
in writing, combined with review and approval of rail transit agency accident
investigation procedures), conduct its own independent investigation, or join
an NTSB investigation.

uniform process be developed
by the state oversight agency
for managing corrective action
plans from accident
investigations, the hazard
management process, and the
state oversight agency’s threeyear safety and security review.

Requiring the rail transit agency to
develop corrective action plans to
address findings from the state
oversight
agency’s
three-year
review (including security), from
accident investigations, and at the
request of the oversight agency
based on the results of the hazard
management process.
Reviewing and approving the corrective action plans, and ensuring that the
rail transit agency tracks to resolution the implementation of the corrective
action plans, providing the oversight agency with periodic status updates and
validation/verification of implementation.

Reporting to FTA
-

Reporting annually and as periodically requested, to the FTA with respect to
oversight activities, using the reporting template and electronic submission
method specified by FTA.

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Implementation Guidelines for 49 CFR Part 659

Responsibilities of the Rail Transit Agency
A rail transit agency subject to 49 CFR Part 659 must develop and implement an SSPP
and Security Plan that comply with the oversight agency’s program standard. These
plans and any supporting or referenced procedures must be submitted to the oversight
agency for review and approval, according to a schedule specified in the oversight
agency’s program standard. In addition, the rail transit agency’s responsibilities include:
•
•
•
•

•

•
•
•
•

Conducting annual reviews to determine if the SSPP and Security Plan need to
be updated and coordinating updates and reviews/approvals with the oversight
agency.
Performing an internal safety and security audit process to review all elements
identified in the SSPP and Security Plan over a three-year cycle.
Developing and submitting to the oversight agency an internal audit schedule,
procedures, and checklists, and notifying the oversight agency at least 30 days
prior to the conduct of individual safety and security audits.
Submitting annual reports to the oversight agency documenting activity for its
internal safety and security audit process, including compliance with the schedule
established for the internal audit program, the activities performed, and a listing
of findings and recommendations and the status of their implementation.
Submitting to the oversight agency a certification signed by the rail transit agency
chief executive regarding the agency’s compliance with its SSPP and Security
Plan. In the event that the chief executive cannot submit this certificate, the rail
transit agency must submit to the oversight agency the steps it will take to
achieve compliance with the SSPP and/or Security Plan.
Implementing the hazard management process specified in the SSPP and
supporting on-going coordination with the oversight agency.
Reporting any accident/incident that meets the NTD Major Incident Reporting
thresholds or that must be reported to FRA.
Conducting accident/incident investigations on behalf of the oversight agency
when directed to do so.
Preparing corrective action plans and then implementing the plans so as to
minimize, control, correct, or eliminate conditions that have caused an
accident/incident, findings from oversight agency three-year reviews, or at the
request of the oversight agency based on the on-going hazard management
process.

Responsibilities of the Federal Transit Administration
FTA must assess whether the state has complied with the Rule or has made adequate
efforts to comply with the Rule. If FTA determines that the state is not in compliance or
has not made adequate efforts to comply, it may withhold up to five percent of the
amount apportioned for use in the state or affected urbanized areas under FTA’s formula
program for urbanized areas (formerly section 9). FTA carries out this monitoring
function, in part, through its SSO Audit Program. Also, FTA receives and evaluates Initial
Submissions, Annual Submissions, and Periodic Submissions from the oversight
agencies.

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Implementation Guidelines for 49 CFR Part 659

Chapter 4: Designating the Oversight Agency
Overview
Each state with an existing or anticipated rail fixed guideway system regulated by Part
659 must designate an oversight agency. The state’s designation of its oversight agency
and submission of required information are subject to review and approval by FTA.
States, which have designated oversight
agencies before May 31, 2005, and received
approval from FTA, are not required to redesignate. States that have already The SSO agency is responsible
designated oversight agencies may skip this for establishing standards for
chapter and move on to Chapter 5: Preparing rail safety and security practices
the Initial Submission.
What is Designation?
Designation reflects the state’s intent to assign
responsibility for the implementation of 49 CFR
Part 659 requirements to a specific agency of
the state, to multiple states, or to a multi-state
organization or compact. Designation is the
first step in establishing the SSO agency.

and procedures to be used by
the rail transit agencies within
its purview. In addition, the
state oversight agency must
oversee the execution of these
plans, policies and procedures to
ensure compliance with 49 CFR
Part 659.

As specified in the revised Rule, the state must
designate an oversight agency:
•
•

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).

In monitoring the designation process, FTA’s Office of Safety and Security will work with
FTA’s Regional Offices and FTA’s PMO Program to identify New Starts projects that
require designation of a state oversight agency with the execution of the Full Funding
Grant Agreement (FFGA). As specified in FTA policy, funding is available from the New
Starts project for all state activity required to establish the oversight agency and prepare
all required submissions to FTA. FTA’s Regional Offices will provide guidance on how
the state may obtain this funding. To support the state’s and proposed oversight
agency’s understanding of FTA’s grant management activities, FTA’s Full-Funding Grant
Agreement Guidance Circular 5200.1A is available online at:
http://www.fta.dot.gov/16358_ENG_Printable.htm.
For those rail transit agencies being built without New Starts funds, FTA’s Office of
Safety and Security will coordinate with FTA’s Regional Offices regarding applications
for funding under FTA’s formula program for urbanized areas, as well as the statewide
transportation planning process supported by Metropolitan Planning Organizations
(MPOs).

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Implementation Guidelines for 49 CFR Part 659

Selecting an Oversight Agency

SAFTEA-LU recommends that,
for New Starts projects, state
safety oversight begins in
Preliminary Engineering.

The first step in designating an oversight
agency is to identify which state agency will
assume responsibility for the program.
Identification of the oversight agency should
occur as early in the implementation process
as possible. The recent enactment of the Safe,
Accountable,
Flexible,
and
Efficient
Transportation Equity Act - A Legacy for Users (SAFETEA-LU) recommends that, for
New Starts projects, this process begin in Preliminary Engineering. The earlier the
potential oversight agency is notified of its new role, the more opportunity agency
personnel will have to work within the state government to ensure the appropriate
authority, direction, and financial support for the oversight agency and to coordinate with
the New Starts project.
EXAMPLE

A state may consider the following factors in selecting an oversight agency:
•

•

•

An agency that works with the rail transit systems and is already knowledgeable
in their operations, including safety and security issues, may be the appropriate
choice for the oversight agency. This agency is most likely the transit division of
the state's department of transportation. States should be aware of potential
conflicts of interests when a funding agency acts as an Oversight Agency. Part
659 does not prohibit such a designation. However, if such a designation is
made, the funding function should be separate and independent from the
oversight function.
An agency that has responsibilities in other aspects of transportation safety may
expand its duties to include rail transit safety oversight. However, the state
should consider the specialized expertise required to administer a rail safety
oversight program.
An agency with regulatory responsibilities—a Department of Public Utilities,
Public Utilities Commission, or other agency—may already have the authority
(currently not exercised) to oversee rail transit safety and security. The state may
prefer to keep such authority and responsibilities within a single agency.

A state may find that there is a legal prohibition for a state agency to oversee another
public agency—such as a rail transit system. If this is the case, then the state must first
reverse this prohibition before it can designate an oversight agency. For some affected
states, the identification process may be relatively straightforward, as one agency clearly
will have established a role in the oversight of rail transit.
For other states, the identification of the oversight agency may be more difficult, as two
or more state agencies may have a shared responsibility for managing rail transit
activities. FTA recommends that states designate only one agency to oversee the rail
transit agencies within their jurisdiction. However, FTA has no prohibition against a
single state designating more than one oversight agency for a single rail transit agency
within its jurisdiction, so long as the roles and responsibilities of each agency are defined
to ensure that all minimum 49 CFR Part 659 requirements are addressed. Whatever

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Implementation Guidelines for 49 CFR Part 659

arrangement is established, the rail transit agency must be subject to a single program
standard. So each agency must adopt the same requirements for the rail transit agency.
EXAMPLE

In evaluating which state agency is best suited to implement the oversight program, the
state should consider the following issues:
•
•
•
•
•
•

Does the proposed agency have sufficient legal authorities to support
implementation of the oversight program?
Are there any financial or organizational relationships between the proposed
agency and the rail transit agency that may result in a conflict of interest?
What is the previous experience and background of personnel who may be
charged with developing and carrying out the oversight program? Is it sufficient to
support the oversight program?
Have resources been identified to support oversight program development,
including funding from the New Starts project?
Are resources available to support the program once the rail transit agency has
gone into passenger operations and New Starts funding may no longer be used?
Using the proposed agency, what is the time-frame for the development of the
oversight agency’s program and initial submission to FTA?

Ability to Protect the Confidentiality of Investigation Reports and Security
Plans
EXAMPLE

When determining an appropriate SSO
agency, the state should also carefully
consider its ability to protect the rail transit
agency’s accident investigation reports and
security-related plans and documents from
public disclosure. In the event that the state
cannot protect the rail transit agency security
plan, supporting procedures, and internal state
working papers and materials from public
disclosure, the state should consider the
feasibility of alternate approaches to managing
these documents, and which agency may be
best suited to carry out these approaches.

In the event that the state
cannot protect the rail transit
agency security plan, supporting
procedures, and internal state
working papers and materials
from public disclosure, the state
should consider the feasibility of
alternate approaches to
managing these documents, and
which agency may be best
suited to carry out these
approaches.

Alternate approaches include: developing
memorandum of agreement with rail transit
agencies that make all state documents
devoted to the rail transit agency’s security
program the property of the rail transit agency, to be destroyed by the SSO agency upon
delivery. Other approaches include having a strict policy for destroying rail transit
agency security documents after review, or only reviewing the documents on-site at the
rail transit agency. Depending on the location of the state agency and its existing
capabilities, confidentiality considerations may swing the balance in favor of one agency
over another.

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Implementation Guidelines for 49 CFR Part 659

What is a Designation Submission?
Once the state has identified the agency best suited to implement the SSO program, it
should make a designation submission to FTA. The designation submission is made by
the state to FTA no later than 60 days after the state has designated an oversight
agency.
The designation submission specifies the state’s intent to assign oversight authority to a
specific agency within the state or some other organization. It also addresses the five
areas specified in § 659.9(d). FTA must approve the designation submission before the
state develops its oversight program.
The designation submission ensures that the state is ready to provide oversight of a rail
transit agency in passenger operations and provides FTA with the opportunity to
evaluate the oversight agency for technical capacity and potential conflicts of interest.
The designation submission also enables the state to receive funding from the New
Starts project for establishing its SSO program.
Contents of Designation Submission
As specified in § 659.9(d), the designation submission should include the following:
•
•
•
•
•

The name of the oversight agency designated to implement requirements in the
Rule.
Documentation of the oversight agency’s authority to provide state oversight.
Contact information for the representative identified by the oversight agency with
responsibility for oversight activities.
A description of the organizational and financial relationship between the
oversight agency and the rail transit agency.
A schedule for the designated agency’s development of its State Safety
Oversight Program, including the
projected date of its initial submission.

In reviewing the designation submission, FTA
will assess the following elements.
•

•

Any potential conflicts of interest are
effectively resolved and the state
oversight agency is able to perform
unbiased oversight, devoid of internal
and external influence.
Sufficient technical capacity and
resources are available to support
implementation
of
an
oversight
program meeting 49 CFR Part 659’s
minimum requirements.

The designation submission
should be made to FTA’s Office
of Safety, 400 Seventh Street,
S.W., Washington, D.C. 20590.
If appropriate, the agency
making the designation should
use the electronic submission
program specified by FTA.

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Implementation Guidelines for 49 CFR Part 659

•

•

The schedule for oversight program development and corresponding
development of the rail transit agency System Safety Program Plan and Security
Plan ensures that the oversight program and required rail transit agency safety
and security programs will be in effect for passenger operations.
There is an appropriate level of coordination anticipated among the FTA Region,
the PMOC, the oversight agency, and the New Starts project regarding the
identification and resolution of safety and security issues and the funding of the
state oversight agency.

Designation Submissions for States with Rail Transit Agencies Operating in
More than One State
As specified in § 659.9(e), 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.

Currently there are three rail transit agencies in the SSO Program with multi-state
service areas.
•

•

•

For the Port Authority Transit Corporation (PATCO), the State of New Jersey
assumes full oversight responsibility, even for PATCO’s operations in
Pennsylvania. The New Jersey Department of Transportation has established an
agreement with the Pennsylvania Department of Transportation, and issued a
single program standard with which PATCO must comply.
For WMATA, a six-person, multi-state committee (Tri-State Oversight Committee
or TOC) was established with representatives from the District of Columbia,
Maryland and Virginia. TOC has issued a single program standard with which
WMATA must comply.
For St. Louis Metrolink, which serves Missouri and Illinois, the Missouri
Department of Transportation oversees Metrolink’s Missouri operations, while St.
Clair County oversees Metrolink’s operations in Illinois. Both oversight agencies
have adopted a single program standard for the Metrolink system.

FTA’s revised Rule treats multi-state jurisdictions just the same as single-state
jurisdictions. If the rail transit agency will receive FTA formula assistance, the affected
states must designate their oversight agency. No later than 60 days after this
designation, the affected states must make their designation submission to FTA.

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Implementation Guidelines for 49 CFR Part 659

Change of Designation
If for any reason, a single state, or two or more affected states with jurisdiction for a rail
transit agency, must change their designation, 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, specified in
§ 659.9(d).
In addition, in the event of a change of designation, the Initial Submission for the newly
designated oversight agency 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.
Figure 4 below provides a graphic representation of the process used to designate an
oversight agency for an existing rail fixed guideway system operating in a single state
(Scenario 1), in multiple states (Scenario 2), and for the change in designation.
Figure 4: Designation Submission to FTA

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Implementation Guidelines for 49 CFR Part 659

Chapter 5: Preparing the Initial Submission
Requirement for Initial Submission
This chapter provides guidance to state oversight agencies in developing their Initial
Submissions. The Initial Submission is a critical component of the oversight program.
With the Initial Submission, the state oversight agency is conveying its safety and
security requirements to the rail transit agency and also describing its program to FTA.
Subsequent FTA monitoring activity, including SSO program audits, will be based on the
Initial Submission made by the state oversight agency.
§ 659.39(a) of the revised Rule requires “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, [to] make its Initial Submission to FTA by
May 1, 2006.” § 659.39(b) explains that “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 Security Plan have been developed,
reviewed, and approved.”
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.
Resource Toolkit for State Oversight Agencies Implementing 49 CFR Part 659
To support state oversight agencies in fulfilling
these requirements, FTA has developed its
Resource Toolkit for State Oversight Agencies
Implementing 49 CFR Part 659. The Resource
Toolkit contains a sample “oversight agency
program standard and referenced procedures”
document that can be tailored by each affected
oversight agency to develop a compliant Initial
Submission.

The “Resource Toolkit for State
Oversight Agencies
Implementing 49 CFR Part 659”
can be found on the
accompanying CD-ROM in
Microsoft Word and Adobe
format.

The Resource Toolkit also includes sample
program requirements that can be adopted by
the state oversight agency to support the
development of compliant System Safety
Program Plans and Security Plans at rail transit agencies. A sample “certification that the
system safety program plan and the system security plan have been developed,
reviewed, and approved” is also provided, as well as sample checklists for use by state
oversight agencies in reviewing and approving rail transit agency submissions.
State oversight agencies are encouraged to review the Resource Toolkit and consider its
applicability to the preparation of the oversight agency’s Initial Submission. However, it
should be noted that in providing these sample materials, FTA is neither mandating their
use nor implying that the approach documented in the sample materials is the only

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Implementation Guidelines for 49 CFR Part 659

acceptable alternative. In evaluating Initial Submissions from state oversight agencies,
FTA will focus only on the state’s compliance with the rule’s minimum requirements
using whatever means are ultimately adopted. FTA will show no favor to agencies using
either these sample materials or modified versions thereof.
What is the Program Standard?
As defined in § 659.5, the program standard is “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.” As
specified in § 659.39 (b), the program standard must be supported by “referenced
procedures,” which describe the activities identified in the program standard, and provide
greater detail regarding how the oversight agency will conduct its program, including
such activities as accident investigation; review and approval of rail transit agency
annual reports and certifications for the internal safety and security audit process; and
the conduct of the oversight agency’s three-year review.
EXAMPLE

State oversight agencies may take different approaches to preparing these documents.
To make the Initial Submission to FTA, some oversight agencies may combine all
requirements associated with the “program standard and referenced procedures” into a
single document, which may be referred to as an “SSO program standards manual,” an
SSO “program standard and procedures,” or the oversight agency’s “program
requirements.” The sample program standard provided in FTA’s Resource Toolkit largely
follows this approach.
Other oversight agencies may develop a program standard, and then maintain separate
files addressing activities and documents referenced in the program standard, such as
the oversight agency’s authority (i.e., enabling legislation, administrative code, etc.),
oversight program procedures, and other supporting materials (i.e., required forms and
report templates to be completed by the rail transit agency). Either approach meets 49
CFR Part 659 requirements. FTA only requests that, whatever approach is used, the
oversight agency make sure to submit both its program standard and all applicable
referenced procedures to FTA with the Initial Submission.
Elements of the Program Standard
As specified in § 659.17, the Program Standard must address nine (9) areas:
(1) Program Management.
•
•
•

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 also provide an overview of planned activities to ensure ongoing communication with each affected rail transit agency relating to safety and
security information.
This section shall address FTA reporting requirements, including Initial, Annual
and Periodic Submissions.

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Implementation Guidelines for 49 CFR Part 659

(2) Program Standard Development.
•
•
•

This section shall include a description of the oversight agency’s process for the
development, review, and adoption of the program standard;
This section shall also discuss the process used by the oversight agency to
modify and/or update the program standard.
This section shall also describe the process by which the program standard and
any subsequent revisions are distributed to each affected rail transit agency.

(3) Oversight of Rail Transit Agency Internal Safety and Security Audits.
•
•

•

This section shall specify the role of the oversight agency in requiring and
overseeing the rail transit agency internal safety and security audit process.
This section shall include 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.
This section must also address all other requirements specified for the internal
safety and security audit process (§ 659.27).

(4) Oversight Agency Safety and Security Review.
•

•

•

•

This section shall lay out the process and criteria to be used by the state
oversight agency, 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 Security Plan.
This section must also include the process to be used by the affected rail transit
agency and the oversight agency to manage findings and recommendations from
this review. In implementing this process, the state oversight agency must
reference is activities to address corrective action plans, specified in § 659.43.
Finally, this section must include any applicable procedures that support
integration of the rail transit agency’s internal safety and security audit process
into the state oversight agency’s three-year safety and security review process.
In some states, these two activities may be conducted concurrently, with the
associated costs and resources for these reviews shared by the rail transit
agency and the oversight agency.
Additional requirements for this activity are included in § 659.29.

(5) Accident Notification.
•
•
•

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 with notification.
Additional detail on requirements applicable to this section is included in
§ 659.33.

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Implementation Guidelines for 49 CFR Part 659

(6) Investigations.
•

•

•

This section contains the oversight agency’s 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.
In preparing this section, the state oversight agency must ensure that, if it
authorizes the rail transit agency to conduct investigations on its behalf, it does
so formally (in writing) and also that the oversight agency formally reviews and
approves the rail transit agency’s accident investigation procedures. If the state
oversight agency retains the authority to conduct independent investigations, it
must also adopt procedures to guide this process. The state oversight agency
may adopt and use the rail transit agency’s procedures, the accident
investigation rail transit standard developed by APTA, FRA accident investigation
procedures, or procedures developed by the agency expressly for the purpose of
rail transit accident investigation.
Additional requirements for this section are located in § 659.41.

(7) Corrective Action Plans.
•
•
•
•

This section shall specify the criteria for the development of rail transit agency
corrective action plan(s) and the process for the review and approval of these
plans.
This section shall also identify the oversight agency’s policies for the verification
and tracking of corrective action implementation.
Finally, this section must specify the state oversight agency’s process for
managing conflicts with the rail transit agency relating to investigation findings
and corrective action plan development.
Additional requirements for this section are located in § 659.43.

(8) System Safety Program Plan.
•
•

•

This section shall specify the minimum requirements to be contained in the rail
transit agency’s System Safety Program Plan. The required minimum contents
are discussed in more detail in § 659.19.
This section shall also specify information to be included in the affected rail
transit agency’s System Safety Program Plan relating to the hazard management
process, including requirements for ongoing communication and coordination
relating to the identification, categorization, resolution, and reporting of hazards
to the oversight agency. More details on the hazard management process are
contained in § 659.31.
This section shall also describe the process and timeframe through which the
oversight agency must receive, review, and approve the rail transit agency
system safety program plan and require annual updates.

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Implementation Guidelines for 49 CFR Part 659

(9) Security Plan.
•
•
•

This section shall specify the minimum requirements to be included in the rail
transit agency’s Security Plan. More details about the Security Plan are
contained in § 659.21 and § 659.23.
This section shall also describe the process by which the oversight agency will
review and approve the rail transit agency system security program plan and
require annual updates.
Finally, this section shall identify how the state will prevent the Security Plan from
public disclosure.

In FTA’s Resource Toolkit, these nine areas are addressed in a sample program
standard with the following sections:
1.
2.
3.
4.
5.
6.
7.
8.
9.

EXAMPLE

Introduction and Overview
System Safety Program Plan Standard
Security Plan Standard
Rail Transit Agency Internal Safety and Security Audit Program
Hazard Management Process
Accident Notification, Investigation and Reporting
Three-Year On-site Safety and Security Review
Corrective Action Plans
Reporting to FTA

Table 4 presents a cross-walk matrix showing how each of the revised Rule’s
requirements are addressed in the nine sections provided in FTA’s Resource Toolkit.
The cross-walk matrix is a useful tool to ensure that all required elements are addressed
in the oversight agency’s program standard. As indicated in Table 4, state oversight
agencies can combine discussion of their program elements to address specific Rule
requirements into a single section. For example, a single section can be created for the
hazard management process, even though this requirement is also specified as part of
the rail transit agency SSPP. A similar approach can be taken to other Rule
requirements for the internal safety and security audit process and accident notification
and investigation.
Timeframe for Development
However the oversight agency chooses to approach the development of its program
materials, oversight managers should keep in mind that the Initial Submission to FTA
requires not only the “program standard and referenced procedures,” but also signed
certification that the oversight agency has received, reviewed and approved the rail
transit agency’s SSPP and Security Plan, and found them to be compliant with both the
program standard and FTA’s revised 49 CFR Part 659.
To support the efforts of states in ensuring that this activity occurs within a timeframe
sufficient to meet FTA’s May 1, 2006 deadline, FTA released its 49 CFR Part 659
Reference Guide (June 22, 2005) and has prepared these guidelines and the Resource
Toolkit for State Oversight Agencies Implementing 49 CFR Part 659 (issued in DRAFT
on October 9, 2005).

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Table 4: Cross-Walk Matrix
49 CFR PART 659
§ 6 59 . 5 D e f in i t i o n s
§ 6 59 . 11 C on f i d en t i a l it y o f i n ve s t i ga t io n r e por t s a nd s e c ur i t y
p l an s
§ 6 59 . 13 O v e r v i ew
§ 6 59 . 15 S ys t e m sa f et y p r ogr a m s t and a r d
( a) G e n er a l R e qu ir e me n t
( b) C on t en t s
( 1) Pr ogra m m a na g eme n t se c t i on
( 2) Pr ogra m s ta n dar d d e v e l op m en t s e c t i o n
( 3) O v er sig h t o f r a i l tra n s i t a g en c y i n t er n a l s a fe ty a n d
s e c u r it y au d it s
( 4) O v er sig h t a g en c y sa f e t y a nd secur ity r e view section
( 5) A c c i de n t n o t if i c a t io n s e ct i o n
( 6) In v e s ti g a t i on s s e ct io n
( 7) C or r ect i v e a ct i o n s s e c t i o n
(8) System safety pr ogr am plan section
(9) System secur ity plan sect ion
§ 6 59 . 17 S ys t e m sa f et y p r ogr a m p l an: g en er a l r e qu i r em en t s
§ 6 59 . 19 S ys t e m sa f et y p r ogr a m p l an: c o nt e nt s
§ 6 59 . 21 S ys t e m se c ur i t y p l a n: ge n er al r eq u ir em e nts
§ 6 59 . 23 S ys t e m se c ur i t y p l a n: c on t ent s
§ 659.25 Annual review of system safety program plan and
system se curity plan
§ 6 59 . 27 I n te r na l s af e t y a n d se c ur i t y a u d i t s
§ 6 59 . 29 O ve r s i gh t a g enc y s a f et y and secur ity reviews
§ 6 59 . 31 H az a r d ma n ag em e n t pr o ce s s
§ 6 59 . 33 A cc i d e n t n ot i f i ca t i o n
§ 6 59 . 35 I n ve s t i g at i o n s
§ 6 59 . 37 C or r e c t i ve a ct i on p l an s
§ 6 59 . 39 O ve r s i gh t a g enc y r ep or t in g to t he F e der a l T r an s i t
A d m i n i st r a t i on
§ 6 59 . 41 C on f l i c t o f in t er e s t
§ 6 59 . 43 C er t i f i ca t i on of c o m p l i an c e

SECTION OF SAMPLE
PROGRAM STANDARD
Section 1
Section 3
Section 1
Section 1
Section 1
Section 1
Section 4
Section 7
Section 6
Section 6
Section 8
Section 2
Section 3
Section 2
Section 2
Section 3
Section 3
S e c t i o n 2 a nd S e c t io n 3
Section
Section
Section
Section
Section
Section
Section

4
7
5
6
6
8
9

Section 1
Section 9

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Implementation Guidelines for 49 CFR Part 659

EXAMPLE

To ensure that a complete Initial Submission is made to FTA by May 1, 2006, the
oversight agency may wish to consider the following activities:
•

•

•
•
•
•
•

The oversight agency and rail transit
agency conduct a meeting, workshop
or other session by the end of October The oversight agency may send
2005 to discuss the revised Rule and this submission in hard copy to
its implications for the oversight agency FTA’s Office of Safety and
and the rail transit agency SSPP and
Security at 400 Seventh Street,
Security Plan (if such a meeting has
S.W., Washington, D.C. 20590.
not already occurred).
During the meeting, workshop or other In addition, by March 31, 2006,
session, the oversight agency and rail FTA will provide information
transit agency should devise an regarding available electronic
approach to meeting new Rule
requirements
for
the
hazard submission options.
management process, the protection of
security-related materials from public
disclosure, the internal safety and
security audit process, and accident notification and investigation.
A draft of the state’s “program standard and referenced procedures” is complete
by early December 2005 and delivered to the rail transit agency for review and
comment.
The final “program standard and referenced procedures” is delivered to the rail
transit agency by mid-January 2005.
The rail transit agency delivers its revised System Safety Program Plan and
Security Plan to the oversight agency by April 1, 2006.
The oversight agency works with the rail transit agency to review, discuss,
request any required revisions, and approve the SSPP and Security Plan by
April 30, 2005.
The oversight agency ensures that its Initial Submission will reach FTA’s Office
of Safety and Security by May 1, 2006.

Figure 5 provides an overview of the key activities to be performed to prepare the
oversight agency’s Initial Submission.

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Implementation Guidelines for 49 CFR Part 659

Figure 5: Activities to Prepare Initial Submission

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Implementation Guidelines for 49 CFR Part 659

Chapter 6: Requiring, Reviewing and Approving the Rail Transit
Agency System Safety Program Plan (SSPP)
Overview
This chapter provides guidance on how state oversight agencies can require, review and
approve the rail transit agency SSPP. § 659.17 of the revised Rule specifies that the
oversight agency “shall require the rail transit agency to develop and implement a written
SSPP that complies with requirements in this part and the oversight agency’s program
standard.” In addition, the oversight agency must “review and approve the rail transit
agency SSPP.” After approval, the oversight agency shall “issue a formal letter of
approval to the rail transit agency, including the checklist used to conduct the review.”
§ 659.19 of the revised Rule identifies the 21 elements to be included in a rail transit
agency SSPP. Figure 6 provides a summary listing of these elements.
Figure 6: Required SSPP Elements
1
2
3

Policy Statement and Authority
for SSPP
Goals and Objectives
Overview of Management
Structure
SSPP Control and Update

12

Internal Safety Audits

13
14

6

Implementation Activities and
Responsibilities
Hazard Management Process

17

7

System Modification

18

8
9

Safety Certification
Safety Data Collection and
Analysis
Accident Investigation
Emergency Management
Program

19
20

Rules Compliance
Facilities and Equipment
Inspections
Maintenance Audits and
Inspections
Training and Certification for
Employees and Contractors
Configuration Management and
Control
Compliance with Local, State and
Federal Requirements
Hazardous Materials Program
Drug and Alcohol Program

21

Procurement Process

4
5

10
11

15
16

Requiring the Rail Transit Agency SSPP
As explained in Chapter 5, in its program standard, the oversight agency must require
the rail transit agency to develop and implement an SSPP and identify the minimum
elements specified in § 659.19. These elements form the foundation of the rail transit
agency’s safety program. Each program standard submitted to FTA, as part of an Initial
Submission, will be carefully reviewed to ensure all 21 required SSPP elements are
identified.

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Implementation Guidelines for 49 CFR Part 659

To support the efforts of state oversight
agencies in requiring SSPPs from rail transit
agencies, FTA’s Resource Toolkit contains
Appendix E: Program Requirements for
Development of a Rail Transit Agency System
Safety Program Plan (SSPP). States are
encouraged to review this Appendix and to
consider its applicability for the oversight
agency’s efforts to require SSPPs compliant
with the revised Rule.
EXAMPLE

EXAMPLE

In their program standards, oversight agencies
may reference or adopt this Appendix in its
entirety, or may work with the affected rail
transit agencies to modify the Appendix as
appropriate to reflect local conditions and rail
transit agency practices.
Use of this Appendix is not mandated by the
revised 49 CFR Part 659. State oversight
agencies may choose to use other
mechanisms to specify rail transit agency
SSPP requirements. Examples of these
mechanisms include a listing or outline of the
required SSPP elements or content, or direct
reference to § 659.19 in the program standard.

To support the efforts of
oversight agencies in requiring
System Safety Program Plans in
compliance with FTA’s revised
Rule, FTA has developed

Appendix E: Program
Requirements for Development
of a Rail Transit Agency System
Safety Program Plan (SSPP) in
its Resource Toolkit. This

Appendix may be referenced or
adopted by oversight agencies
in their program standard; it
may be modified and then
adopted; or the oversight
agency may choose to use
another approach entirely in
specifying the contents of the
rail transit agency System Safety
Program Plan.

Whatever approach is ultimately adopted, the SSPP developed by the rail transit agency
must:
•
•
•
•
•
•
•
•

be endorsed by top management of the rail transit agency;
establish the safety and security goals and objectives of the rail transit agency;
identify the safety roles and responsibilities of all rail transit agency
departments/functions;
identify the hazard management process to be managed by the rail transit
agency;
identify the internal safety audit process to be managed by the rail transit agency
and overseen by the state oversight agency;
identify the accident/incident notification, investigation and reporting procedures
to be used jointly by the rail transit agency and the state oversight agency in
managing accidents meeting thresholds specified by FTA’s Rule;
require communication and coordination with oversight agency in all SSO
program provisions; and
provide a schedule for the implementation and revision of the SSPP.

Table 5 provides a detailed listing of all required SSPP elements identified in § 659.19.

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Table 5: Required SSPP Contents Specified in § 659.19
NO.

SSPP ELEMENT

CONTENTS

1

Policy Statement and
Authority for SSPP

2

Goals and Objectives

3

Overview of
Management
Structure

4

SSPP Control and
Update Procedure

5

SSPP Implementation
Activities and
Responsibilities

6

Hazard Management
Process

7

System Modification

8

Safety Certification

A policy statement signed by the agency’s chief executive
that endorses the safety program and describes the authority
that establishes the SSPP.
A clear definition of the goals and objectives for the rail transit
agency safety program and stated management
responsibilities to ensure that they are achieved.
An overview of the management structure of the rail transit
agency, including: (i) an organization chart; (ii) a description
of how the safety function is integrated into the rest of the rail
transit organization; and (iii) clear identification of the lines of
authority used by the rail transit agency to manage safety
issues.
The process used to control changes to the SSPP, including:
(i) specifying an annual assessment of whether the SSPP
should be updated; and (ii) required coordination with the
oversight agency, including timeframes for submission,
revision and approval.
A description of specific activities required to implement the
system safety program, including: (i) tasks to be performed
by rail transit agency safety function, by position and
management accountability, specified in matrices and/or
narrative format; and (ii) safety-related tasks to be performed
by other rail transit agency departments, by position and
management accountability, specified in matrices and/or
narrative format.
A description of the process used by the rail transit agency to
implement its hazard management program, including
activities for: (i) hazard identification; (ii) hazard investigation,
evaluation and analysis; (iii) hazard control and elimination;
(iv) hazard tracking; and (v) requirements for on-going
reporting to the oversight agency regarding hazard
management activities and status.
A description of the process used by the rail transit agency to
ensure that safety concerns are addressed in modifications to
existing systems, vehicles, and equipment, which do not
require formal certification but which may have safety
impacts.
A description of the safety certification process required by
the rail transit agency to ensure that safety concerns and
hazards are adequately addressed prior to the initiation of
passenger operations for New Starts and subsequent major
projects to extend, rehabilitate, or modify an existing system,
or to replace vehicles and equipment.

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Implementation Guidelines for 49 CFR Part 659

NO.

SSPP ELEMENT

CONTENTS

9

Safety Data Collection
and Analysis

A description of the process used to collect, maintain,
analyze, and distribute safety data, to ensure that the safety
function within the rail transit agency receives the information
necessary to support implementation of the system safety
program.

10

Accident/ Incident
Investigations

A description of the process used by the rail transit agency to
perform incident notification, investigation and reporting,
including: (i) notification thresholds for internal and external
organizations; (ii) investigation process and references to
procedures; (iii) the process used to develop, implement and
track corrective actions that address investigation findings;
(iv) reporting to internal and external organizations; and (v)
coordination with the oversight agency.

11

Emergency
Management Program

A description of the process used to develop an approved,
coordinated schedule for emergency management program
activities, which include: (i) meetings with external agencies;
(ii) emergency planning responsibilities and requirements; (iii)
process used to evaluate emergency preparedness, such as
annual emergency field exercises; (iv) after action reports
and implementation of findings; (v) revision and distribution of
emergency response procedures; (vi) familiarization training
for public safety organizations; and (vii) employee training.

12

Internal Safety Audits

A description of the process used to ensure that planned and
scheduled internal safety audits are performed to evaluate
compliance with the SSPP, including: (i) identification of
departments and functions subject to review; (ii) responsibility
for scheduling reviews; (iii) process for conducting reviews,
including the development of checklists and procedures and
issuing of findings; (iv) review of reporting requirements; (v)
tracking the status of implemented recommendations; and
(vi) coordination with the oversight agency.

13

Rules Compliance

A description of the process used by the rail transit agency to
develop, maintain, and ensure compliance with rules and
procedures having a safety impact, including: (i) identification
of operating and maintenance rules and procedures subject
to review; (ii) techniques used to assess the implementation
of operating and maintenance rules and procedures by
employees, such as performance testing; (iii) techniques
used to assess the effectiveness of supervision relating to the
implementation of operating and maintenance rules; and (iv)
process for documenting results and incorporating them into
the hazard management program.

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Implementation Guidelines for 49 CFR Part 659

NO.

SSPP ELEMENT

14

Facilities and
Equipment
Inspections

15

Maintenance Audits
and Inspections

16

Training and
Certification Program
for Employees and
Contractors

17

Configuration
Management and
Control

18

Local, State, and
Federal Requirements

19

Hazardous Materials
Program

20

Drug and Alcohol
Program

21

Procurement Process

CONTENTS
A description of the process used for facilities and equipment
safety inspections, including: (i) identification of facilities and
equipment subject to regular safety-related inspection and
testing; (ii) techniques used to conduct inspections and
testing; (iii) inspection schedules and procedures; and (iv)
description of how results are entered into the hazard
management process.
A description of the maintenance audits and inspections
program including identification of the affected facilities and
equipment, maintenance cycles, documentation required, and
the process for integrating identified problems into the hazard
management process.
A description of the training and certification program for
employees and contractors, including: (i) categories of safetyrelated work requiring training and certification; (ii) a
description of the training and certification program for
employees and contractors in safety-related positions; (iii)
process used to maintain and access employee and
contractor training records; and (iv) process used to assess
compliance with training and certification requirements.
A description of the configuration management control
process, including: (i) the authority to make configuration
changes, (ii) process for making changes, and (iii)
assurances necessary for all involved departments to be
formally notified.
A description of the safety program for employees and
contractors that incorporates the applicable local, state, and
federal requirements, including: (i) safety requirements that
employees and contractors must follow when working on, or
in close proximity to, rail transit agency controlled property;
and (ii) process for ensuring the employees and contractors
know and follow the requirements.
A description of the hazardous materials program including
the process used to ensure knowledge of and compliance
with the program requirements.
A description of the drug and alcohol program and the
process used to ensure knowledge of and compliance with
program requirements.
A description of the measures, controls, and assurances in
place to ensure that safety principles, requirements and
representatives are included in the rail transit agency
procurement process.

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Implementation Guidelines for 49 CFR Part 659

Comparison with the 1991 APTA Manual for the Development of Rail Transit
System Safety Program Plans
In the previous rule, to specify the contents of the rail transit agency SSPP, FTA
referenced the 1991 APTA Manual for the Development of Rail Transit System Security
Program Plans, published on August 20, 1991. In the revised Rule, FTA has removed
this reference, largely to address concerns identified by the NTSB regarding FTA’s
ability to control the required minimum content of the SSPP and to revise this content in
response to NTSB recommendations and findings. State oversight agencies also
requested this change to address their difficulties in interpreting and enforcing a manual
developed as guidance for rail transit agencies.
In the revised Rule, in place of the APTA Manual, FTA has specified the 21 elements
presented in Table 5. Most rail transit agency SSPPs already address the majority of
these elements, but probably will require revision to reflect new requirements for:
•
•
•
•
•
•

hazard management process;
accident notification, investigation and
reporting;
internal safety and security audits;
emergency management;
rules compliance; and
safety certification.

FTA requirements for the minimum content of
an SSPP have many similarities to the 1991
APTA Manual.
However, there are also
significant differences.

EXAMPLE

FTA’s required SSPP minimum
content adds safety certification
as a distinct activity from system
modification. This change is
designed to clarify that
operating rail transit agencies
must have a safety certification
program in place, referenced as
part of the SSPP, to address
extensions, modifications and
other major projects that may
be undertaken.

First, there is the obvious change in the order
of elements presented. At its discretion, the
oversight agency may require that the existing
rail transit agency SSPP be re-written to follow
these 21 elements in the order presented in
§ 659.19. For example, if the oversight agency
adopts Appendix E: Program Requirements for Development of a Rail Transit Agency
System Safety Program Plan (SSPP) in the FTA’s Resource Toolkit, then the rail transit
agency may be required to re-organize its SSPP.

Or the oversight agency may specify that revisions be made to the existing rail transit
agency SSPP, which may follow the format of the APTA Manual, so long as the changes
are documented in a cross-walk matrix or letter, indicating where in the revised SSPP
each of the required 21 elements is addressed.

EXAMPLE

Another significant difference from the 1991 APTA Manual is that many of the elements
previously addressed as part of the Internal Safety Audit Process (Checklist #9) now
have their own independent sections. While implementation of some of these elements
may be assured through the Internal Safety Audit Process, others may be on-going
components of the rail transit agency’s safety program, such as daily, weekly and

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Implementation Guidelines for 49 CFR Part 659

EXAMPLE

monthly maintenance inspections; employee and contractor safety training programs;
the rail transit agency’s emergency preparedness program; rule compliance and
enforcement programs; drug and alcohol testing programs; and configuration
management and control. FTA’s revised Rule requires that the rail transit agency SSPP
provide specific information for each of these elements that may be broader in scope
than general guidance provided in the 1991 APTA Manual.
FTA’s required SSPP minimum content also adds safety certification as a distinct activity
from system modification. This change is designed to clarify that operating rail transit
agencies must have a safety certification program in place, referenced as part of the
SSPP, to address extensions, modifications and other major projects that may be
undertaken.
Finally, § 659.19 adds a new requirement for the hazard management process. This
process establishes how the rail transit agency and the oversight agency will share
information regarding the identification, investigation, evaluation, resolution and tracking
of hazards. The objective of this process is to
provide an on-going oversight role for hazard
management at the rail transit agency.

EXAMPLE

The hazard management process must
identify all mechanisms, systems and
procedures in place at the rail transit agency to
identify hazards.
Examples include: data
mining of agency control center logs and
maintenance information systems; reports
from operators and supervisors; customer
complaints; results of formal safety analyses;
results from internal safety and security audits;
results from performance testing and other
rules compliance activities; results from the
oversight agency three-year safety review; and
results from accident investigations and trend
analysis of minor incidents and near-misses.

To support the efforts of
oversight agencies in reviewing
and approving rail transit
agency System Safety Program
Plans, Appendix F: State

Oversight Agency SSPP Review
Checklist of FTA’s Resource
Toolkit provides a sample SSPP
review checklist that can be
adopted or modified by the
oversight agency.

In addition, the hazard management process
must describe how identified hazards are investigated, evaluated and analyzed; and how
they are being controlled and eliminated, whether by design for minimum risk; use of
safety devices; use of warning devices; the provision of procedures and training; or
some other means.
Finally, this section must describe how identified hazards are tracked through to
resolution, and must specify the rail transit agency’s on-going reporting requirements for
communicating this information to the oversight agency (i.e., monthly tracking logs,
monthly or quarterly meetings; monthly or quarterly reports, meeting minutes, or some
other method).

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Implementation Guidelines for 49 CFR Part 659

SSPP Review and Approval
In carrying out its oversight responsibilities, the oversight agency must receive, review,
and approve in writing each rail transit agency SSPP. The oversight agency must review
the SSPP using a checklist developed for the purpose and must submit a formal letter
and completed checklist to the rail transit agency to document its review and approval.
To support the efforts of oversight agencies in performing this activity, Appendix F: State
Oversight Agency SSPP Review Checklist of FTA’s Resource Toolkit provides a sample
SSPP review checklist. Use of this checklist, or a similar checklist developed by the
oversight agency, will ensure that a formal review is conducted and that each required
element of the SSPP has been addressed by the rail transit agency.
In performing its review and approval activities, the oversight agency is required in
§ 659.15(b)(8) to describe in its program standard “the process and timeframe through
which the oversight agency must receive, review, and approve the rail transit agency
system safety program plan.” FTA’s Resource Toolkit provides an approach to this
process that focuses, first, on receiving, reviewing and approving the initial SSPP,
revised by the rail transit agency to reflect the
requirements in § 659.15, in a manner which
provides sufficient time to meet FTA’s Initial
To support the efforts of rail
Submission deadline of May 1, 2006.

EXAMPLE

Based on the past experience of state
oversight agencies, in developing the SSPP
review
and
approval
process
and
corresponding timeframes, FTA suggests that
the oversight agency provide at least 30 days
for its activities to apply the SSPP review
checklist; to follow-up with the rail transit
agency regarding any questions, outstanding
items, or requests for change; and to issue
formal approval, in the form of a letter and the
completed SSPP review checklist.
The process for requiring, receiving, reviewing
and approving annual updates to the SSPP is
discussed in Chapter 8 of these guidelines.

transit agencies in revising their
System Safety Program Plans,
the CD-ROM attached to these
guidelines contains sample
sections for each of the 21
required elements. Appendix E:

Program Requirements for
Development of a Rail Transit
Agency System Safety Program
Plan (SSPP) of FTA’s Resource
Toolkit is also included on the
CD-ROM.

Sample SSPP Sections
To support rail transit agencies in preparing SSPPs in compliance with FTA’s revised
Rule and the state oversight program standard, the CD-ROM attached to these
guidelines contains not only an electronic copy of Appendix E: Program Requirements
for Development of a Rail Transit Agency System Safety Program Plan (SSPP), but also
sample SSPP sections for each of the 21 elements identified in § 659.19. These
samples have been created from materials submitted by rail transit agencies to support
creation of these guidelines.

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Implementation Guidelines for 49 CFR Part 659

Chapter 7: Requiring, Reviewing and Approving the Rail Transit
Agency System Security Plan
Overview
In addition to the SSPP, the oversight agency must require each rail transit agency
within its jurisdiction to develop, implement, and maintain a written Security Plan that
complies with the oversight agency’s program standard and the revised rule’s § 659.21
and § 659.23.
As specified in § 659.21, the Security Plan must be developed and maintained as a
separate document and may not be part of the rail transit agency’s SSPP. Based on its
authority, the oversight agency may prohibit a rail transit agency from publicly disclosing
the Security Plan. After approving the Security Plan, the oversight agency must issue a
formal letter of approval, including the checklist used to conduct the review, to the rail
transit agency.
Required Security Plan Elements
As specified in § 659.23, the rail transit agency’s adopted Security Plan shall include, at
a minimum, the following five elements:
•
•
•
•
•

Identify the policies, goals, and objectives for the security program endorsed by
the agency’s chief executive.
Document the rail transit agency’s process for managing threats and
vulnerabilities during operations, and for major projects, extensions, new vehicles
and equipment, including integration with the safety certification process.
Identify controls in place that address the personal security of passengers and
employees.
Document the rail transit agency’s process for conducting internal security audits
to evaluate compliance and measure the effectiveness of the Security Plan.
Document the rail transit agency’s process for making its Security Plan and
accompanying procedures available to the oversight agency for review and
approval.

Guidance for Security Plans
The oversight agency may address the requirements specified in § 659.23 by
referencing FTA’s Public Transportation System Security and Emergency Preparedness
Planning Guide (January 2003), available on FTA’s safety and security website at:
http://transit-safety.volpe.dot.gov. Appendix G: Program Requirements for Development
of a Rail Transit Agency System Security and Emergency Preparedness Program Plan
(SEPP) of FTA’s Resource Toolkit, provides detailed guidance and examples for
incorporating these guidelines into the oversight agency’s program standard and the rail
transit agency Security Plan.

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Implementation Guidelines for 49 CFR Part 659

EXAMPLE

EXAMPLE

States are encouraged to review this Appendix
and to consider its applicability for the
oversight agency’s efforts to require Security
Plans compliant with the revised Rule. In their
program standards, oversight agencies may
reference or adopt this Appendix in its entirety,
or may work with the affected rail transit
agencies to modify the Appendix as
appropriate to reflect local conditions and rail
transit agency practices.
Use of this Appendix is not mandated by the
revised 49 CFR Part 659. State oversight
agencies may choose to use other
mechanisms to specify rail transit agency
Security Plan requirements. Examples of these
mechanisms include direct reference to FTA’s
Public Transportation System Security and
Emergency Preparedness Planning Guide, a
listing or outline of the oversight agency’s
required Security Plan elements or content, or
direct reference to § 659.23.

Appendix G: Program
Requirements for Development
of a Rail Transit Agency System
Security and Emergency
Preparedness Program Plan
(SEPP) of FTA’s Resource Toolkit
provides detailed guidance and
examples for incorporating the
revised Rule’s security
requirements into the oversight
agency’s program standard and
the rail transit agency Security
Plan.

DHS Programs and Requirements
Appendix G also provides relevant information on programs being administered by DHS,
which may affect the rail transit agency’s security program. For example, the DHS, G&T
Transit Security Grant Program requires each participating rail transit agency to develop
and submit to G&T a Security Plan that complies with FTA’s Public Transportation
System Security and Emergency Preparedness Planning Guide.
As discussed in Chapter 2 of these guidelines, the Transit Security Grant Program also
requires creation of a Regional Transit Security Strategy and development and
implementation of a series of activities to support rail transit agency compliance with
region-wide initiatives to address Homeland Security Presidential Directives (HSPDs) for
the National Response Plan, the National Incident Management System, the National
Infrastructure Protection Plan, and the National Preparedness Goal.
The focus of these activities is on the revision of region-wide emergency operations
plans, the implementation of the incident command system (ICS), the development of
interoperable communications, and the enhancement of regional response capabilities
for events involving improvised explosive devices (IED) and chemical, biological,
radiological, nuclear and explosive (CBRNE) releases.
G&T also has created a Homeland Security Exercise and Evaluation Program (HSEEP)
which offers grants to support terrorism-related emergency exercises. This program is
open to rail transit agencies, and places a series of requirements on grant recipients.

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Implementation Guidelines for 49 CFR Part 659

G&T also offers a Technical Assistance
Program for Risk Assessment, which provides
threat and vulnerability analysis in the rail
transit environment based on the process
specified in G&T’s Special Needs Jurisdiction
Tool Kit. This process follows the basic steps
identified in Chapter 5 of FTA’s Public
Transportation
System
Security
and
Emergency Preparedness Planning Guide
however; it is more detailed and integrates
quantitative methods into the assessment. In
performing this program, G&T’s Technical
Assistance Team works with rail transit agency
personnel.

The Department of Homeland
Security, Preparedness
Directorate, Office of Grants and
Training (G&T) has developed
several grant and technical
assistance programs for rail
transit agencies, including the
Transit Security Grant Program
(TSGP), the Technical Assistance
Program for Risk Assessment,
and the Homeland Security
Exercise and Evaluation Program
(HSEEP).

For transit agencies participating in FTA’s
Security Readiness Assessments, threat and
vulnerability assessment methodologies may
have been developed with FTA technical assistance. These methodologies should also
comply with FTA’s Public Transportation System Security and Emergency Preparedness
Planning Guide.

As discussed in Chapter 2 of these guidelines, the Transportation Security
Administration has regulatory authority over security in all modes of transportation,
including public transportation. TSA has created the Surface Transportation Security
Inspector Program, as mandated by the Fiscal Year 2005 Homeland Security
appropriations bill. TSA Surface Transportation Security Inspectors may be reviewing rail
transit agency security programs to: conduct security system evaluations; share securityrelated best practices information; coordinate security threat advisories; and conduct
inspections to ensure compliance with security directives, such as TSA's security
directive RAILPAX-04-01 issued May 20, 2004. TSA inspectors may also have
recommendations or requirements for the rail transit agency’s threat and vulnerability
assessment process or the controls in place that address the personal security of
passengers and employees.
Confidentiality of Security Plan and Security-Related Material
As specified in §659.11, and referenced in §659.23(e), the oversight agency must either
have provisions in place for protecting security-related materials from public disclosure
or develop special procedures to ensure that these materials cannot be released. The
rail transit agency’s Security Plan must describe the process in place to protect all
security-related materials from public disclosure.
In addressing this requirement, in its program standard, the oversight agency should
clearly identify its authority to protect against the public disclosure of rail transit agency
security documents. In the event that the state oversight agency cannot protect these
materials, discussions should be held with the rail transit agency security/police function
regarding appropriate procedures.

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Implementation Guidelines for 49 CFR Part 659

EXAMPLE

These procedures may include on-site review of the Security Plan and other securityrelated materials and/or specially developed agreements which state that all materials
submitted to the oversight agency remain the property of the rail transit agency and must
be destroyed immediately after use or returned to the rail transit agency.
Issues for Consideration
In requiring, reviewing and approving the rail transit agency’s Security Plan, the
oversight agency may want to consider FTA’s Top 20 Security Action Items List. This list
contains measures recommended by FTA for immediate consideration and
implementation by transit agencies to improve both security and emergency
preparedness. The goal of this program is to ensure that the nation’s public
transportation systems:
•
•
•
•

are prepared for and well-protected against attacks;
respond rapidly and effectively to natural and human-caused threats and
disasters;
appropriately support the needs of emergency management and public safety
agencies; and
can be quickly and efficiently restored to full capability.

FTA’s Top 20 Security Action Items List includes the following measures:
•
•
•

•
•
•
•
•
•
•
•
•
•
•
•

The Security Plan includes an established written policy statement.
The Security Plan and supporting procedures and programs are updated to
reflect anti-terrorist measures and any current threat conditions.
The Security Plan and supporting procedures and programs are part of an
integrated system program, including regional coordination with other agencies,
security design criteria in procurements and organizational charts for incident
command and management systems.
The Security Plan and supporting procedures and programs are signed,
endorsed and approved by top management.
The security program is assigned to a senior level manager.
Security responsibilities are defined and delegated from management to front line
employees.
Operations and maintenance supervisors, forepersons, and managers are
responsible for security issues under their control.
A threat and vulnerability assessment resolution process is established and
used.
Security problems are identified and information is reported.
Background investigations are conducted on all new front-line employees.
Criteria for background investigations are established.
Security orientation or awareness materials are provided to all front-line
employees.
Ongoing training programs on security procedures by work area are provided.
Public awareness materials are developed and distributed on a system wide
basis.
Periodic audits of security policies and procedures are conducted.

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Implementation Guidelines for 49 CFR Part 659

•
•
•
•
•

Tabletop and functional drills are conducted at least once every six months and
full-scale exercises, coordinated with regional emergency response providers,
are performed at least annually.
Access to documents of security critical systems and facilities are controlled.
Access to security sensitive documents is controlled.
Background investigations are conducted of contractors or others who require
access to security critical facilities, and identification badges are used for all
visitors, employees and contractors to control access to key critical facilities.
Protocols have been established to respond to the Department of Homeland
Security Advisory System (HSAS) threat levels.

Additional information on these action items is available at: http://www.fta.dot.gov (click
on Safety and Security).
Security Plan Review and Approval
In carrying out its oversight responsibilities, the
oversight agency must receive, review, and
approve in writing each rail transit agency
Security Plan. The oversight agency must
review the Security Plan using a checklist
developed for the purpose and must submit a
formal letter and completed checklist to the rail
transit agency to document its review and
approval.

To support the efforts of
oversight agencies in reviewing
and approving System Security
Plans, FTA’s Resource Toolkit
contains Appendix H: State

Oversight Agency Security Plan
Review Checklist. This checklist
can be adopted or modified by
the oversight agency.

To support the efforts of oversight agencies in
performing this activity, Appendix H: State
Oversight Agency Security Plan Review Checklist of FTA’s Resource Toolkit provides a
sample Security Plan review checklist. Use of a checklist similar to this example will
ensure that a formal review is conducted and that each required element of the Security
Plan has been addressed by the rail transit agency.

EXAMPLE

In performing its review and approval activities, the oversight agency is required in
§ 659.15(b)(9) to describe in its program standard “the process and timeframe through
which the oversight agency must receive, review, and approve the rail transit agency
Security Plan.” FTA’s Resource Toolkit provides an approach to this process that
focuses, first, on receiving, reviewing and approving the initial Security Plan, revised by
the rail transit agency to reflect the requirements in § 659.23, in a manner which
provides sufficient time to meet FTA’s Initial Submission deadline of May 1, 2006. FTA
recommends that the oversight agency provide at least 30 days for its activities to review
and approve the Security Plan.
The process for requiring, receiving, reviewing and approving annual updates to the
Security Plan is discussed in Chapter 8 of these guidelines.

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Chapter 8: Requiring Annual Updates of the SSPP and Security Plan
Overview
This chapter presents the requirements identified in § 659.25 for the annual review of the
rail transit agency’s SSPP and Security Plan. In Section 2 – System Safety Program
Plan Standard and Section 3 – System Security Plan Standard of FTA’s Resource
Toolkit, sample language is available for use by oversight agencies in complying with
§ 659.25 requirements.
Requiring Annual Reviews
As indicated in § 659.25 of the revised Rule, the oversight agency shall require the rail
transit agency to conduct an annual review of its SSPP and Security Plan to determine if
they need to be updated. The rail transit agency’s annual review and subsequent
submittal of its updated SSPP and/or Security Plan, as well as any affected procedures,
must occur according to the time-frame and process specified by the oversight agency in
its program standard.
In its program standard, the oversight agency must address two possible situations
resulting from the required annual review:
•
•

The annual review was conducted for the SSPP and/or Security Plan, and the rail
transit agency determined that no update was necessary.
The annual review was conducted for the SSPP and/or Security Plan, and the rail
transit agency determined that an update was necessary, and proceeded to
make the changes.

No Update Necessary

EXAMPLE

EXAMPLE

The oversight agency must establish a procedure to address the situation in which the
rail transit agency SSPP and/or Security Plan does not need to be updated. For
example, the oversight agency may require a letter to be submitted by the rail transit
agency documenting that its annual review was performed and explaining the
determination that no update was required. This letter should be submitted within the
time frame specified by the oversight agency for the annual review.
The oversight agency may disagree with the rail transit agency’s determination that the
SSPP and/or Security Plan do not need to be updated. To address such a situation, the
oversight agency may consider a mechanism for providing objections. For example, in
its program standard, the oversight agency may state: “if the oversight agency wishes to
object to this determination, the oversight agency will notify the rail transit agency within
30 days.”

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Update Required
In the event the rail transit agency performs its review and an update is required, the rail
transit agency must submit its revised SSPP and/or Security Plan and any revised
procedures to the oversight agency within the time frame specified by the oversight
agency in its program standard. To facilitate review of the revised SSPP or Security
Plan, the oversight agency may also request a matrix or letter identifying the
modifications made by the rail transit agency.
EXAMPLE

In establishing its time frame for the annual review and submittal of updated SSPPs and
Security Plans, the oversight agency should coordinate with the rail transit agency to
determine if an existing annual review cycle is in effect. If possible, the state oversight
agency should incorporate this existing cycle into its requirements. If an existing cycle is
not in place at the rail transit agency, then the oversight agency must specify its
designated time frame in the program standard.
FTA has no preference regarding the time frame established by the oversight agency.
FTA is only concerned that a reasonable time frame is provided in the program standard.

EXAMPLE

In the event that the changes identified by the rail transit agency during the annual
review may require additional time to be documented in the SSPP or Security Plan, the
oversight agency may choose to specify a procedure for requesting extensions. If the
oversight agency adopts this approach, it must formally approve all rail transit agency
requests for extensions regarding SSPP and/or Security Plan modifications.
Review and Approval of Updated SSPPs, Security Plans and Supporting
Procedures

EXAMPLE

As required in § 659.25, the oversight agency must also specify the process and timeframe it will use to review the submitted SSPP and/or Security Plan and to approve the
changes or request additional information. For example, the oversight agency may
specify that it will “use its SSPP and Security Plan review checklists and complete its
review within 30 calendar days of receipt of the rail transit agency submittal(s).”
In the event the rail transit agency’s Security Plan is modified, the rail transit agency
must make the modified Security Plan and accompanying procedures available to the
oversight agency for review, consistent with requirements specified in § 659.23(e).
Depending on the procedures established by the rail transit agency, additional time
might be required to schedule an on-site oversight agency review of the updated
Security Plan and supporting procedures. The time frame established in the program
standard should reflect this consideration.

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During the review process, the oversight agency may have questions, concerns or
requests for additional information or further modifications. Conflicts may arise with the
rail transit agency regarding a specific section of the SSPP or the Security Plan. The
oversight agency must describe how it will manage these activities in its program
standard.
EXAMPLE

For example, in its program standard, the oversight agency could state: “While
conducting its review, the oversight agency may request additional information,
clarifications or revisions from the rail transit agency. A meeting or teleconference may
also be conducted to address any issues identified by oversight agency during its review
of the SSPP and/or Security Plan. In the event the rail transit agency objects to a
request from the oversight agency, the oversight agency and the rail transit agency shall
review the objections, suggest alternatives, and agree to an appropriate course of action
within 15 calendar days. The revised and updated SSPP and/or Security Plan shall be
submitted to the oversight agency for review and approval within 30 calendar days after
agreement on a course of action. The oversight agency shall review the revised SSPP
and/or Security Plan and approve the revisions or request additional information within
30 calendar days.”
After the SSPP and Security Plan are approved, the oversight agency must issue a
formal letter of approval to the rail transit agency, including a copy of the checklist used
to conduct the review.
Other Potential Submittals from the Rail Transit Agency
Additional reviews of or revisions to the rail transit agency SSPP and/or Security Plan
may be required outside of the annual review cycle. These reviews or revisions may be
necessary to address specific issues based on changes to the oversight agency’s
program standard, changes to FTA’s 49 CFR 659, audit results, on-site reviews,
investigations, changing trends in incident data, or recommendations or requirements
from DHS, G&T, or TSA.

EXAMPLE

EXAMPLE

In its program standard, the oversight agency must address this process. For example,
in its program standard, the oversight agency may state: “Upon receipt of a written
notification from the oversight agency for SSPP or Security Plan modifications, the rail
transit agency shall submit a revised SSPP to oversight agency within 30 calendar days.
The oversight agency will review and approve the revised SSPP and/or Security Plan,
providing a formal approval letter and a completed review checklist (if appropriate for the
change) within 30 days of receipt of the revised rail transit agency plan.”
In addition, the rail transit agency may choose to update its SSPP and/or Security Plan
outside of the annual review cycle. For example, to address this situation, in its program
standard, the oversight agency may state: “In the event that the rail transit agency
initiates updates outside of the annual review cycle, the rail transit agency shall submit
the modified SSPP and/or Security Plan, and any subsequently modified procedures, to
the oversight agency for review and approval within 30 calendar days of the effective
date of the change.”

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Chapter 9: Implementing the Hazard Management Process
Overview
In § 659.31, FTA’s revised Rule includes a new section devoted to the hazard
management process. This section was created to address challenges experienced by
state oversight agencies and rail transit agencies regarding the definition, classification,
investigation and resolution of “unacceptable hazardous conditions” as defined in
§ 659.5 and § 659.39 of FTA’s original rule.
With this new section, FTA’s revised Rule
significantly changes the requirements through
which hazards are managed in the SSO
program. Section 5 -- Hazard Management
Process
and
Appendix
E:
Program
Requirements for Development of a Rail
Transit Agency System Safety Program Plan
(SSPP) of FTA’s Resource Toolkit provide
sample language that can be used by the
oversight agency and the rail transit agency to
address these new requirements.
Hazard Management Process

Section 5 -- Hazard
Management Process and
Appendix E: Program
Requirements for Development
of a Rail Transit Agency System
Safety Program Plan (SSPP) of
FTA’s Resource Toolkit provide
sample language that can be
used by the oversight agency
and the rail transit agency to
address the revised Rule’s
requirements for the hazard
management process.

In § 659.31, the revised Rule focuses on the
creation of a hazard management process,
developed and documented by the rail transit
agency in its SSPP, “to identify and resolve
hazards during operation, including any
hazards resulting from subsequent system extensions or modifications, operational
changes, or other changes within the rail transit environment.” This process must be
approved by the oversight agency.
In addition, the oversight agency must participate sufficiently in this process to oversee
the identification, assessment, resolution and tracking of hazards by the rail transit
agency. FTA encourages the rail transit agencies and their oversight agencies to work
together in developing this process.
As specified in § 659.31, the hazard management process must, at a minimum:
•
•
•
•

Define the rail transit agency’s approach to hazard management and the
implementation of an integrated system-wide hazard resolution process;
Specify the sources of, and the mechanisms to support, the on-going
identification of hazards;
Define the process by which identified hazards will be evaluated and prioritized
for elimination or control;
Identify the mechanism used to track through resolution the identified hazard(s);

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Implementation Guidelines for 49 CFR Part 659

•
•

Define minimum thresholds for the notification and reporting of hazard(s) to
oversight agencies; and
Specify the process by which the rail transit agency will provide on-going
reporting of hazard resolution activities to the oversight agency.

On-going Reporting to the Oversight Agency
There are many different approaches that the oversight agency and rail transit agency
may take in addressing § 659.31. The first step may be a meeting or teleconference
between oversight agency and rail transit agency representatives. During this meeting,
the rail transit agency may describe its current hazard identification, assessment and
resolution process, including any matrices, databases or tracking tables that are used to
support it. Then the oversight agency and the rail transit agency should work together to
identify any existing rail transit agency tools or reports that could be submitted to the
oversight agency on a weekly, monthly or quarterly basis, to address § 659.31
requirements for on-going reporting. In Section
5 of FTA’s Resource Toolkit, a sample tracking
matrix is proposed, which is reproduced below
§ 659.31 requires that the rail
as Figure 7.
Once the oversight agency and the rail transit
agency have agreed upon a reporting
mechanism and submission time frame, then
they can also discuss oversight agency
participation in monthly or quarterly meetings
that may be conducted by the rail transit
agency to review its hazard management
process.

transit agency, in its SSPP,
“define minimum thresholds for
the notification and reporting of
hazard(s) to oversight
agencies.” Each rail transit
agency, in its SSPP, will specify
its approach to identifying and
assessing hazards.

Other approaches may be developed by the
rail transit agency and oversight agency to
address this requirement. FTA will evaluate
other proposed approaches, such as dial-in access provided to an oversight agency for
a rail transit agency’s hazard management information system or monthly
teleconference calls, on a case-by-case basis in the Initial Submissions.

EXAMPLE

§ 659.31 also requires that the rail transit agency, in its SSPP, “define minimum
thresholds for the notification and reporting of hazard(s) to oversight agencies.” Each rail
transit agency, in its SSPP, will specify its approach to identifying and assessing
hazards. Each rail transit agency may use a variety of methodologies, including informal
processes, such as reports from operations and maintenance personnel, results from
rules compliance checks and employee evaluations, the mining of maintenance data,
results from facilities and vehicles inspections, findings from internal safety and security
audits, and daily review of the agency’s unusual occurrences log, as well as more formal
approaches, such as trend analysis, hazard classification and resolution using the
Military Standard (Mil-Std) 882 process, hazard analyses using inductive processes
(Preliminary Hazard Analysis, Failure Modes and Effects Analysis, Job Hazard Analysis,
etc.) and hazard analysis using deductive processes (Fault Tree Analysis).

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Figure 7: Sample Rail Transit Agency Hazard Tracking Matrix
Hazard Tracking Matrix
No. Description

Date
Source Assessment Recommendations
Identified
Results

Status

In this matrix:
•
•
•
•

•
•
•

No. refers to the number assigned to the hazard by the rail transit agency.
Description refers to a brief narrative summary of the hazard – what it is; where
it is located; what elements it is comprised of; etc.
Date Identified refers to the date the hazard was identified at the rail transit
agency.
Source indicates the mechanism used to identify the hazard, i.e., operator
report, near-miss, accident investigation, results of internal safety or security
review, rules compliance or training program; maintenance failure, facility or
vehicle inspection, trend analysis, formal hazard analysis, etc.
Assessment Results refers to the hazard severity and hazard frequency ratings
(or the results of other criteria) applied to the hazard by the rail transit agency.
Recommendations refers to the actions recommended by the rail transit agency
to address the hazard and to bring it into a level of risk acceptable to
management.
Status refers to the status of the recommendations. Status may be designed as
not started, open, in progress, or closed.

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Whatever approach is selected by the rail transit agency, there must be some set of
criteria applied for assessing identified hazards. Assessment enables the rail transit
agency to evaluate the seriousness of the hazard and to prioritize its resolution.
These criteria may be the hazard probability and severity rankings used in Mil-Std 882,
or a qualitative or quantitative ranking scheme devised by the rail transit agency.
However the rail transit agency chooses to define its assessment process, in its SSPP, it
must indicate which criteria must be met to trigger notification to the oversight agency. In
describing this process, FTA encourages the rail transit agency to reflect its genuine
practices, however informal or subjective they may be, rather than idealized techniques
that may not actually be used in the event of a serious hazardous condition.

EXAMPLE

The oversight agency, in turn, must specify
how this notification will be made and any
activities that are required once notification
occurs. For example, the oversight agency
may require the rail transit agency to notify the
oversight agency within four (4) hours of the
identification of a hazard meeting the criteria
specified by the rail transit agency in its SSPP.
Notification may be made by fax, email or
telephone. The oversight agency may also
require that the rail transit agency provide
initial information with notification, such as the
following:
•
•
•
•
•
•
•

•
•

However the rail transit agency
chooses to define its assessment
process, in its SSPP, it must
indicate which criteria must be
met to trigger notification to the
oversight agency.

rail transit agency reporting the hazard;
name/title of rail transit agency representative reporting the hazard to the
oversight agency;
method of notification;
time of notification;
time and date of hazard occurrence;
location of hazard being reported;
description of how the hazard was recognized and reported at the rail transit
agency, to include (1) how was the hazard identified, (2) who reported the
hazard, and (3) the date and time that the rail transit agency safety unit was
notified of the hazard;
description of the hazard and the immediate corrective action(s) taken; and
initial evaluation of the hazard, using the criteria included in the rail transit
agency’s Hazard Management Process Section of the SSPP, if no action were to
be taken by the rail transit agency.

In addition, the oversight agency may require that the rail transit agency conduct a full
investigation of any hazard for which it is notified, following investigation procedures
submitted to and approved by the oversight agency. The oversight agency may also
reserve the right to conduct an independent investigation of the hazard, using
procedures adopted expressly for this purpose.

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EXAMPLE

No later than one week after the hazard is reported, the oversight agency may request a
follow-up report from the rail transit agency:
•
•
•

summarizing the results of the rail transit agency’s investigation, including
circumstances, events and probable cause(s);
describing additional corrective actions that were or will be completed to reduce
the unsafe condition probability and/or severity, including responsibility and
schedule; and
providing a final risk assessment for the hazard, using the criteria included in the
Hazard Management Process section of SSPP, after the proposed corrective
action/resolution is in place.

For more complex events that may require additional investigation, the oversight agency
may request periodic status updates and a copy of the final investigation report. Results
from these investigations should be tracked in the logs submitted to the oversight
agency and discussed during monthly or quarterly meetings.

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Chapter 10: Requiring Rail Transit
Agency Internal Safety and Security
Audits
Overview
In § 659.15(b)(3), FTA’s revised Rule specifies
that the oversight agency, in its program
standard, must require the rail transit agency
to develop and implement an internal process
for the conduct of safety and security audits.
This process must be documented in the rail
transit agency’s SSPP and Security Plan, and
reviewed and approved by the oversight
agency.

Section 4 -- Internal Safety and
Security Audit Program and
Appendix E: Program
Requirements for Development
of a Rail Transit Agency System
Safety Program Plan (SSPP) of
FTA’s Resource Toolkit provide

sample language that can be
used by the oversight agency
and the rail transit agency to
address the revised Rule’s new
requirements for the internal
safety and security audit
process.

Based on the results of both FTA’s SSO Audit
Program and some three-year reviews
conducted by oversight agencies, it has become apparent that rail transit agencies are
struggling in meeting the current Rule’s requirements, largely through a lack of
resources devoted to the internal safety and security audit process. In the revised Rule,
FTA has included several new requirements aimed at increasing the priority placed on
this activity by rail transit agency executive leadership.
This chapter describes these requirements. Section 4 -- Internal Safety and Security
Audit Program and Appendix E: Program Requirements for Development of a Rail
Transit Agency System Safety Program Plan (SSPP) of FTA’s Resource Toolkit provide
sample language that can be used by the oversight agency and the rail transit agency to
address these new requirements.
Requiring the Internal Safety and Security Audit/Review Process
As required in the oversight agency’s program standard and described in the SSPP and
Security Plan, the rail transit agency must implement a process for the performance of
on-going internal safety and security audits. This process ensures the implementation of
the rail transit agency SSPP and Security Plan, and evaluates their effectiveness.
§ 659.15(b)(3) and § 659.27 of the revised Rule detail FTA’s new requirements for the
internal safety and security audit process. To comply with these sections, in its program
standard, the oversight agency must require the rail transit agency to:
•

•

Develop and submit to the oversight agency an internal safety and security audit
schedule, which addresses all required 21 elements of the SSPP (§ 659.19) and
all five (5) required elements of the Security Plan (§ 659.23), over a three-year
cycle.
Submit annual updates of this schedule to the oversight agency as part of the rail
transit agency’s annual report (discussed below).

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•
•
•

•

•

•

Develop checklists and procedures for conducting each of the 21 required SSPP
audits. These materials must ensure sufficient criteria to determine if all audited
elements are performing as intended.
Develop checklists and procedures for conducting each of the five (5) required
Security Plan audits. These materials must ensure sufficient criteria to determine
if all audited elements are performing as intended.
Not less than 30 days prior to the conduct of an internal safety or security audit,
notify the oversight agency. Notification must be in writing and may be
transmitted to the oversight agency via letter, email or fax. Notification should
include the time and location of the internal audit. The oversight agency is
encouraged, but not required, to participate in any internal audit of which it is
notified.
In addition, at the time of notification, checklists and procedures relevant for the
audit being conducted must be submitted to oversight agency. These materials
may be submitted to the oversight agency in electronic copy via email or in hard
copy via mail or fax. For security audits, any special provisions established by the
rail transit agency or the oversight agency to ensure the protection of these
materials must be followed.
Based on the results of each audit conducted, the rail transit agency must
prepare a written report documenting recommendations and any corrective
actions identified as a result of the audit. The rail transit agency may choose to
share this report with the oversight agency.
The rail transit agency must track the findings from the internal safety and
security audit process. To support this activity, the rail transit agency may
prepare an Internal Safety and Security Audit Findings Log to track through to
implementation all findings, recommendations, and corrective actions developed
as a result of the internal safety and security audit process. This log should be
available to the oversight agency and may be referenced during activities
performed in support of the Hazard Management Process.

In addition, the oversight agency must require the rail transit agency to annually submit a
report documenting internal safety and security audit activities and the status of
subsequent findings and corrective actions. The security part of this report must be
made available for oversight agency review, consistent with § 659.23(e).
EXAMPLE

The oversight agency must specify a time frame for receiving this report and the
mechanism for submission. For example, in its program standard, the oversight agency
may state: “By March 1 of each year, the oversight agency requires the rail transit
agency to submit an annual report that documents the internal audits conducted for the
previous year, including the status of all findings, recommendations and corrective
actions. This report may be submitted in electronic copy via email or in hard copy via
mail or fax. For sections devoted to the results of security audits, any special provisions
established by the rail transit agency or oversight agency to ensure the protection of
these materials must be followed.”

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EXAMPLE

In requiring the annual report, the oversight agency may choose to specify contents,
such as the following:
•
•
•
•
•

EXAMPLE

a listing of the internal safety and security audits conducted for that year;
a discussion of where the rail transit agency is in meeting its three-year internal
audit schedule, including the identification of any obstacles in meeting the
schedule and any proposed mitigation measures;
an updated schedule for the next year’s audits;
the status of all findings, recommendations and corrective actions resulting from
the audits conducted that year; and
any challenges or issues experienced by the rail transit agency safety function or
security/police function in obtaining action from/compliance with these findings,
recommendations and corrective actions during that year.

The oversight agency must formally review and approve the annual report. In its
program standard, the oversight agency must describe its process for performing this
activity. For example, the oversight agency may state: “the oversight agency will review
and approve the annual report within 30 days. While conducting its review, the oversight
agency may request additional information, clarifications or revisions from the rail transit
agency. A meeting or teleconference may also be conducted to address any issues
identified by oversight agency during its review of the annual report. Any additional
requirements will be conveyed to the rail transit agency by the oversight agency.”
The annual report must be accompanied by a formal letter of certification signed by the
rail transit agency’s chief executive, indicating that the rail transit agency is in
compliance with its SSPP and Security Plan.
If the rail transit agency determines that findings from its internal safety and security
audits indicate that the rail transit agency is not in compliance with its SSPP or Security
Plan, the chief executive must identify the activities the rail transit agency will take to
achieve compliance. If these activities comprise a formal corrective action plan, then the
oversight agency must review and approve this submission using the process
(discussed in Chapter 13 of these guidelines). Otherwise, the oversight agency may
review this plan as part of the annual report.

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Chapter 11: Implementing Accident Notification and Investigation
Procedures
Overview
§ 659.15(b)(5) and (6) of FTA’s revised Rule require the oversight agency to document
in its program standard its process for receiving notifications of accidents meeting
specific thresholds and causing these accidents to be investigated. § 659.33 provides
additional detail on accident notification, including a listing of the revised Rule’s
notification thresholds. § 659.35 specifies a set of requirements regarding the
investigation of accidents for which the oversight agency is notified.
This chapter
discusses these requirements.
Section 6 -- Accident Notification, Investigation and Reporting and Appendix E: Program
Requirements for Development of a Rail Transit Agency System Safety Program Plan
(SSPP) of FTA’s Resource Toolkit provide sample language that can be used by the
oversight agency and the rail transit agency to address these new requirements.
Notification
§ 659.15(b)(5) and § 659.33 specify that the oversight agency must be notified within
two (2) hours of any safety or security event involving a rail transit vehicle or taking place
on property controlled by the rail transit agency where one or more of the following
occurs:
•
•
•
•
•
•
•
•

a fatality at the scene; or where an individual is confirmed dead within thirty (30)
days of a rail transit-related incident;
injuries requiring immediate medical attention away from the scene for two or
more individuals;
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;
an evacuation due to life safety reasons;
a collision at a grade crossing;
a main-line derailment;
a collision with an individual on a rail right of way; or
a collision between a rail transit vehicle and a second rail transit vehicle, or a rail
transit non-revenue vehicle.

These thresholds correspond to the Major Safety and Security Incident Reporting
Module of the National Transit Database.
In addition, FTA’s revised Rule requires that each rail transit agency that shares track
with a general railroad system and is subject to the Federal Railroad Administration
(FRA) notification requirements shall notify the oversight agency within two (2) hours of
an incident for which the rail transit agency must notify the FRA.

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EXAMPLE

To ensure notification, in its program standard,
as specified in § 659.33(c), the oversight
agency must identify the method of notification
and the information to be provided by the rail
transit agency with notification. For example,
in fulfilling this requirement, the oversight
agency may request notification to a
designated
point-of-contact
or
24-hour
operations center via telephone or fax, email,
beeper or pager number. The oversight
agency may also request the following
information with notification:
•
•
•
•
•
•
•
•
•
•
•
•
•

§ 659.35 requires the oversight
agency to investigate, or cause
to be investigated, at a
minimum, any incident meeting
the notification thresholds
identified in § 659.33. In
conducting these investigations,
the oversight agency may: (1)
authorize the rail transit agency
to conduct an investigation on
its behalf; (2) conduct its own
independent investigation; or
(3) if the NTSB is investigating
the accident, join in the
investigation through NTSB’s
Party System.

name and job title of person reporting
and name of rail transit agency;
event type (fatality, injuries, property
damage,
evacuation,
collision,
derailment or other);
location, time, and date;
fatalities;
injuries;
rail transit vehicle(s) involved (type,
number);
other vehicle(s) involved (type, number);
property damage estimate;
NTSB reportable;
FRA reportable;
rail transit agency primary person (i.e., Chief Investigator) conducting the
investigation (name, title, phone and fax numbers, email address);
description of the event; and
immediately implemented and/or planned corrective actions.

In its program standard, the oversight agency may also state that “the rail transit agency
should provide additional information at oversight agency’s request.” The oversight
agency may also require the rail transit agency to maintain current street addresses,
email addresses, and fax, telephone, cell phone, and pager numbers for oversight
agency personnel.
Investigation

EXAMPLE

§ 659.35 requires the oversight agency to investigate, or cause to be investigated, at a
minimum, any incident meeting the notification thresholds identified in § 659.33. In
conducting these investigations, the oversight agency may:
•
•
•

authorize the rail transit agency to conduct an investigation on its behalf;
conduct its own independent investigation; or
if the NTSB is investigating the accident, join in the investigation through NTSB’s
Party System.

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Authorization of the Rail Transit Agency to Conduct Investigations on Behalf
of the Oversight Agency
After receiving notification of the accident, if the oversight agency chooses to have the
rail transit agency conduct the investigation on its behalf, it must formally authorize the
rail transit agency in writing, via letter, email, or fax, to conduct the investigation, as
specified in § 659.35(c).
For all investigations conducted by the rail transit agency on behalf of the oversight
agency, as also required in § 659.35(c), the rail transit agency must use investigation
procedures that have been approved by the oversight agency. The rail transit agency
must submit these procedures to the oversight agency with its SSPP. Subsequent
updates and revisions to these procedures should be submitted to oversight agency as
they are completed and implemented by the rail transit agency or with the annual update
of the SSPP.
These procedures should be treated as part of the SSPP. In addition, because the
oversight agency is authorizing the rail transit agency to conduct investigations on its
behalf using these procedures, the procedures shall also be submitted to FTA as part of
the oversight agency Initial Submission. Subsequent updates to these procedures will
be submitted to FTA as part of the oversight agency Annual Submission. A sample
checklist for reviewing these procedures is presented in Figure 8.
In the event that authorization is conferred upon the rail transit agency to conduct the
investigation, the oversight agency must be allowed to participate in the investigation
process. The terms of this participation must be specified in the rail transit agency SSPP
and in the rail transit agency accident investigation procedures. Any special right-of-way
safety training or other training required by oversight agency personnel to participate in
the rail transit agency investigation should be clearly identified.
As specified in § 659.35(d), each rail transit agency investigation conducted on behalf of
the oversight agency must be documented in a final report that includes a description of
investigation activities, findings, identified causal factors, and a corrective action plan.

EXAMPLE

§ 659.35(e) requires the oversight agency to establish a process for receiving, reviewing
and adopting these reports. For example, in its program standard, the oversight agency
may state: “the investigation report prepared by the rail transit agency shall be submitted
to the oversight agency within 30 calendar days following completion of the investigation.
Using a checklist adopted by the oversight agency, the investigation report will be
reviewed. After review, the oversight agency may adopt the report as final or transmit
any items of disagreement to the oversight agency. Adoption of the rail transit agency
investigation report or transmittal of items of disagreement must occur in writing via
letter, email or fax within 15 calendar days.”
In FTA’s Resource Toolkit, Appendix I: Checklist for Reviewing Rail Transit Agency
Accident Investigation Reports and Supporting Documentation provides a sample to
support the oversight agency’s review process. This checklist is based on APTA’s
Standard for Rail Transit Accident/Incident Investigation (Volume 4 - Operating
Practices, APTA RT-S-OP-002-02, July 26, 2004).

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Figure 8: Sample Checklist for Reviewing and Approving Rail Transit Agency Accident
Investigation Procedures
Rail Transit Agency:

Date Submitted:

Investigation Procedures Title:

Reviewer(s):

Requirement
Clearly defined policies and criteria for
conducting investigations (reportable,
major, and minor)

Comments

Identity of person(s) and departments
responsible for investigations

Description of investigative techniques
utilized (e.g., one-person, standing
team, ad hoc team)
Notification procedures:
• Internal
• External
Description of investigative procedures
utilized while performing on-site
investigation:
• Conducting interviews
• Creating diagrams, taking
photos
• Collecting, preserving and
analyzing data
• Coordinating with law
enforcement and other
emergency responders
Description of investigation procedures
utilized when performing off-site
investigation:
• Records reviews
• Event recorders
• Interviews
• Testing and special studies
• Data analysis

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Implementation Guidelines for 49 CFR Part 659

Requirement:

Comments:

Accident/Incident Investigation Reports:
• Summary
• Methodology
• Discussion of events
• Conclusions/findings
• Recommendations
• Corrective actions
• Status reports
Are Investigation Procedures for Hazard
Conditions included in this Procedure?
If not, have separate Hazard
Investigation Procedures been
provided?

Hazard Conditions Investigations:
• Summary
• Methodology
• Discussion of events
• Conclusions/findings
• Recommendations
• Corrective actions
• Status reports
This Investigation Procedure is:
____ Approved
____ Not Approved
Comments:

Date:

Reviewed By:

Date:

Approved By:

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EXAMPLE

At its discretion, and as specified in its accident investigation procedures, the rail transit
agency may separate the investigation report delivered to the oversight agency into two
parts:
•
•

Part 1 would contain the description of investigation activities, investigation
findings, and determination of the most probable cause and additional
contributing causes;
Part 2 would contain recommendations to prevent recurrence, including a
corrective action plan.

Whatever approach is chosen, for investigations conducted on behalf of the oversight
agency, as explained in § 659.35(e)(3) of the revised Rule, the oversight agency has to
review, but does not have to approve, Part 1 of the investigation report. Oversight
agency approval would be required for the corrective action plan developed in Part 2. In
the event that the oversight agency disagrees with items in Part 1 of the report, the
oversight agency should communicate in writing to the rail transit agency the area(s) of
disagreement or concern. The oversight agency should work with the rail transit agency
to address these issues in the rail transit agency’s accident investigation report.
In the event that agreement cannot be reached on these issues, the oversight agency
must issue its own accident investigation report, which may be no more than the rail
transit agency report and the oversight agency dissent. The oversight agency’s approval
must be obtained on the corrective action plan portion of the rail transit agency accident
investigation report. Review and approval of corrective action plans is discussed in
Chapter 13 of these guidelines.

EXAMPLE

As specified in § 659.35(f) of the revised Rule, until the investigation is completed, the
oversight agency may require that the rail transit agency prepare and submit some form
of periodic or scheduled (i.e., monthly) status reports. For example, these reports may
include:
•
•
•
•

minutes of any meeting held by the rail transit agency ad hoc reportable event
investigation committee or contractor;
disclosure of any immediate corrective actions the rail transit agency has planned
or completed;
principal issues or items currently being evaluated; and
overall progress and status of the investigation.

At any time during an investigation, the oversight agency may also require the rail transit
agency be prepared to provide a full briefing on the known circumstances of the
accident, the status of the rail transit agency or NTSB investigation, and any specific
investigation activities.
To reduce the potential for conflict, FTA encourages each rail transit agency conducting
an investigation on behalf of the oversight agency to submit a draft version of the
accident investigation report to the oversight agency so that agreement may be obtained
on the most probable cause, additional contributing causes, corrective action plan, and
an implementation schedule before the report is finalized and formally issued by the rail
transit agency.

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As is possible within the constraints of the oversight agency’s authority, reports and
records of accident investigations submitted to the oversight agency by the rail transit
agency, as well as all materials related to the investigation, should be treated as
confidential information, and not released without concurrence by both oversight agency
and the rail transit agency. § 659.11 of the revised Rule clarifies that “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.”
Independent Oversight Agency Investigations
As specified in § 659.35(a) and (b) of the
revised Rule, the oversight agency, at its
discretion, may choose to conduct an
independent investigation of any accident
meeting
the
thresholds
specified
in
§ 659.33 utilizing its own personnel or an
authorized contractor.
Any investigation
conducted by the oversight agency or its
contractor must be in accordance with
procedures approved by the oversight agency.
EXAMPLE

EXAMPLE

In its program standard, the
oversight agency must identify
the process it will use to conduct
independent investigations. In
performing these investigations,
oversight agency personnel or
contractors may conduct field
analysis, operational surveys,
interviews, record checks, data
analysis, and other on-site and
off-site tasks which may be
necessary for a comprehensive
investigation.

Adopted procedures may include the rail
transit agency investigation procedures, the
APTA
Standard
for
Rail
Transit
Accident/Incident Investigation (Volume 4 Operating Practices APTA RT-S-OP-002-02
dated 7/26/04), established FRA investigation
procedures, or procedures developed by the
oversight agency expressly for the purpose of
investigating rail transit agency accidents. The
oversight agency’s procedures for conducting an independent investigation must be
submitted to FTA as part of the oversight agency Initial Submission.

In its program standard, the oversight agency must identify the process it will use to
conduct independent investigations. For example, the oversight agency may state: “the
oversight agency will inform the rail transit agency of its intention to conduct an
investigation or participate in a rail transit agency investigation of a reported event no
later than 7 calendar days following receipt of the rail transit agency initial report. The
oversight agency will advise the rail transit agency as to the personnel who will be
conducting the independent investigation, and provide a preliminary schedule as to the
investigation process. All oversight agency authorized accident investigation personnel
are granted authority under the state safety oversight program to conduct an
investigation and evaluate records, materials, data, analysis, and other information,
which is pertinent to the investigation. It is expected that the rail transit agency will
provide to the oversight agency investigation team the resources and information
necessary to conduct the investigation in an effective and efficient fashion.”

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EXAMPLE

In anticipation of a situation in which oversight agency accident investigation personnel
may require information or analysis which is not readily available, or which may require
additional resources from the rail transit agency, in its program standard, the oversight
agency may consider clarifying its authority to
request this data in a written letter, email, or
fax to the rail transit agency, or during a
meeting or teleconference call convened for Technical areas of specialization
this purpose.
In establishing its procedures for independent
investigations, the oversight agency may want
to consider performance of the following
activities:
•

•

•
•

•

•
•
•
•

represented on the oversight
agency’s investigation team may
include: system safety, safety
training, transportation
management and operations,
substance abuse programs,
vehicles and vehicle
maintenance, worker health and
safety, facility safety, hazardous
materials, emergency
operations, track, structures,
signals and communications,
and transit system security.

Assigning a team of qualified personnel
to investigate the accident (on-and offsite). The team will include individuals
with technical expertise in the type of
accident being investigated.
For
example, a vehicle expert would be
included on a team conducting the
investigation for an accident involving a
rail vehicle mechanical failure.
Waiting until the rail transit agency
and/or other emergency response
personnel
have
secured
the
accident/incident scene area before commencing its on-site accident
investigation.
Reserving the right to request that the rail transit agency hold the accident scene
to the maximum extent feasible until the arrival of the oversight agency’s accident
investigation team.
Assessing physical evidence of the accident scene including: damage and debris
analysis; skid mark analysis; the use of measurements, diagrams and
photographs, and the documentation of the environmental and physical factors of
the accident scene.
Assessing, as part of the investigation, compliance with operating rules and
procedures; conducting follow-up interviews (if required); analyzing employee
records and the results of post accident drug and alcohol tests; and conducting
vehicle and equipment inspections.
Documenting all information gathered from the accident/incident investigation
and including it in the oversight agency accident investigation report.
Specifying a time-frame from the completion of the on-site and off-site accident
investigation requirements, when the draft accident investigation report will be
prepared.
Providing the draft accident investigation report to the rail transit agency for its
review and specifying a time-frame for the delivery of comments from the rail
transit agency.
Conducting a meeting to discuss the draft report with the rail transit agency.

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EXAMPLE

•
•
•

Revising the draft report, if necessary, and based upon the comments received
from the transit agency.
Issuing a final accident investigation report, according to a time-frame specified
by the oversight agency.
Requiring the rail transit agency to review the final accident investigation report,
and within a time-frame specified by the oversight agency, either (1) provide
concurrence to implement the oversight agency’s proposed corrective action plan
or (2) submit an alternate corrective action plan to oversight agency for approval.

NTSB Investigations

EXAMPLE

The NTSB may investigate a reportable event to achieve its primary function to promote
safety in transportation. In its program standard, as specified in § 659.15(b)(6), the
oversight agency must identify its role in supporting investigations and findings
conducted by the NTSB, in the event NTSB decides to investigate an accident occurring
within the purview of a rail transit agency for which the oversight agency is responsible.
In addressing this requirement, the oversight agency may choose to support the NTSB
as a member of its Party System. Or the oversight agency may choose to adopt the
NTSB investigation report and findings in their entirety without participating in the
investigation.
In its program standard, the oversight agency may also choose to specify that, in the
event of an NTSB investigation, the rail transit agency shall be responsible for the timely
briefing of the oversight agency on NTSB activities including meetings, interviews,
requests for data, functional testing, examination of equipment, and the results of drug
and alcohol tests. The oversight agency may also request that the rail transit agency
provide the oversight agency with a copy of all written correspondence to the NTSB
concerning a reportable event or investigation, and also shall provide the oversight
agency with a copy of all NTSB reports and any recommendations concerning the event
or its investigation, upon receipt by the rail transit agency.
In its program standard, the oversight agency may also specify that it will assist the
NTSB by providing information requested about rail transit agency critical safety
practices and other matters as appropriate. If the NTSB releases preliminary findings
and recommendations, the oversight agency may also participate in discussions and
reviews with the rail transit agency and NTSB, as appropriate. The oversight agency and
the rail transit agency may meet to review NTSB findings, draft, and final reports and
make a determination of whether or not the oversight agency should adopt the NTSB
recommendations, and require corrective action plans from the rail transit agency.

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Chapter 12: Conducting Three-Year
Safety and Security Reviews
Overview

§ 659.15(b)(4) of FTA’s revised
Rule requires the oversight
agency, in its program standard,
to describe “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 SSPP and
Security Plan.”

§ 659.15(b)(4) of FTA’s revised Rule requires
the oversight agency, in its program standard,
to describe “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 SSPP and
Security Plan.” This section of the program
standard must also include “the process to be
used by the affected rail transit agency and the
oversight agency to manage findings and
recommendations from this review.” § 659.29 of FTA’s revised Rule provides additional
detail on this process. § 659.29 also states that, at the discretion of the oversight
agency, the on-site review may be conducted by the oversight agency in an on-going
manner over the three-year timeframe.
These requirements parallel the review process specified in FTA’s original rule
(§ 659.37). However, additional requirements are in place to support the documentation
of procedures and checklists used to conduct the review and the criteria used to assess
the rail transit agency’s implementation of its SSPP, Security Plan, and supporting
procedures. Section 7 -- Three-Year On-site Safety and Security Review and Appendix
J: Sample Three-Year Safety and Security Review Checklist of FTA’s Resource Toolkit
provide sample language and resources that can be used by the oversight agency in its
program standard and referenced procedures.
Oversight Agency Approach to the Three-Year Safety and Security Review

EXAMPLE

In its program standard, the oversight agency must describe its approach to conducting
the three-year review. In the program standard, the oversight agency may also
reference specific procedures that guide this process. In preparing this section of the
program standard, FTA encourages the oversight agency to review its existing
documentation to identify areas where discussion of the three-year review process can
be improved or formalized through procedures and checklists that will be applied by
oversight personnel or authorized contractors.
In conducting the three-year review, the oversight agency may choose to designate a
review team and prepare a schedule, procedures and a checklist to guide the review
process. As specified in § 659.15(b)(4), criteria must be established through which the
oversight agency can evaluate the rail transit agency’s implementation of its SSPP,
Security Plan, and supporting procedures. § 659.29 of FTA’s revised Rule requires that
“at the conclusion of the review cycle, the oversight agency must prepare and issue a
report containing findings and recommendations resulting from that review, which, at a
minimum, must include an analysis of the effectiveness of the SSPP and the Security
Plan and a determination of whether either should be updated.”

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Implementation Guidelines for 49 CFR Part 659

EXAMPLE

For example, areas of deficiency may be identified by the oversight agency during its
review that may require corrective action plans, which must be managed through the
process established by the oversight agency (discussed in Chapter 13 of these
guidelines). The oversight agency may also make area of concern findings that require
rail transit agency response, but do not require the approval of the oversight agency.
To comply with § 659.39(c)(2) of FTA’s revised Rule, the oversight agency may submit
its completed report for the three-year safety and security review to FTA as part of its
Annual Submission, or it may prepare a summary report for FTA.
Whether the oversight agency conducts its three-year safety and security review as a
single on-site assessment or in an on-going manner over the three year cycle, it should
consider the following four steps in developing and implementing its program:
(1) Planning the Review.
•
•
•
•
•
•
•

Developing the three-year review schedule in coordination with the rail transit
agency.
Designating a three-year review team leader and team members.
Preparing a three-year review plan that includes all elements identified in the rail
transit agency SSPP, Security Plan and supporting procedures.
Converting rail transit agency goals/objectives into performance criteria to assess
the effectiveness of the SSPP, Security Plan, and supporting procedures.
Preparing review checklists and forms, based on the rail transit agency SSPP,
Security Plan, and supporting procedures.
Identifying methods of verification appropriate to each checklist item, including
interviews, document review, on-site observation, tests and measurements, and
spot checks.
Conducting a pre-review meeting with rail transit agency management to further
refine the three-year review schedule and to request any additional
documentation.

(2) Conducting the Review.
•
•
•
•
•
•
•
•

Conducting an entrance meeting with rail transit agency management.
Conducting interviews with appropriate rail transit agency personnel.
Evaluating documents and data maintained by the rail transit agency.
Observing the on-site operation of the rail transit agency.
Taking measurements and conducting spot checks as appropriate.
Where possible, recording findings directly onto review checklists or in
supplemental forms, as specified by the oversight agency’s procedures.
Rating checklist items for compliance.
Conducting a debriefing with rail transit agency management at the conclusion of
the review to provide an overview of initial findings and observations.

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EXAMPLE

(3) Preparing the Review Report.
•
•
•
•
•
•
•
•

Citing authority and purpose of review.
Stating principal findings and observations.
Evaluating the implementation of the rail transit agency SSPP and Security Plan
and supporting procedures.
Identifying areas of concern and deficiencies.
Making recommendations to the rail transit agency to update its SSPP, Security
Plan and/or supporting procedures, if necessary.
Transmitting the draft report to the rail transit agency.
Allowing the rail transit agency to prepare a formal response for inclusion in final
report.
Preparing the final report.

(4) Updating the Program Documents.
•
•
•
•

Modifying the oversight agency’s program standard and procedures to address
systemic or procedural issues.
Requiring the rail transit agency to revise its safety and/or security program as
needed to address deficiencies.
Reviewing and approving corrective action plans and tracking rail transit agency
responses to area of concern findings.
Reviewing/approving the rail transit agency corrective action plans and revised
safety and/or security program materials.

Figures 9 and 10 provide sample checklists that can be used to guide the oversight
agency’s conduct of its three-year review. In these checklists:
•
•
•

•

No. refers to the checklist item number.
Checklist Item refers to the specific item being assessed.
Ranking refers to the evaluation assigned by the oversight agency to the
checklist item.
- A ranking of “1” means that the assessed item meets requirements specified
in the rail transit agency’s SSPP, Security Plan, and/or supporting
procedures.
- A ranking of “2” means that the assessed item is partially compliant with the
rail transit agency’s SSPP, Security Plan, and/or supporting procedures, and
the oversight agency should issue an area of concern.
- A ranking of “3” means that the assessed item does not meet requirements
specified in the rail transit agency’s SSPP, Security Plan, and/or supporting
procedures, and the oversight agency should issue a deficiency finding,
which requires the rail transit agency to develop a corrective action plan. A
ranking of “3” may be further clarified in a supplemental form, an example of
which is provided in Appendix J of FTA’s Resource Toolkit.
Comments refer to the space provided for notes or observations. Specific
verification methods assigned to checklist items can also be included in the
comments section.

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Implementation Guidelines for 49 CFR Part 659

Figure 9: Sample Safety Three-Year Review Checklist
No.

Checklist Item

1

SSPP Policy and Authority Statement

2

Chief Executive approval

3

Safety Policies established by top management are stated

4

SSPP Description and Purpose provided

5

System Safety and other related terms defined

6

System description provided

7
8

Clearly stated safety goals and objectives
Goals and objectives are identifiable and achievable through policy and
procedure implementation

9

Specific entity develops and maintains SSPP

10

Description of departmental safety-related responsibilities

11

Organization charts provided showing lines of authority and responsibility
related to system safety

12

Description of SSPP control and update procedures

13

Responsible positions or individuals for initiating, developing, and
approving SSPP changes

14

Oversight agency notification of SSPP changes

15

Provisions and schedule for Annual Review of SSPP

16

SSPP implementation authority assigned by department, function or
position

17

Description of Hazard Management Process

18

Hazard identification, resolution and categorization process defined for
operations, maintenance, engineering, and construction

19

Criteria specified for determining hazards requiring notification and
investigation; responsibility assigned for investigations

20

Verify hazard notification to oversight agency

21

Review hazard investigation procedures

22

Review hazard investigation reports describing activities, findings, causal
factors, corrective action plan, and corrective action implementation
schedule

23

Verify investigation reports submitted to oversight agency for review and
approval

24

Review safety role in system modification process

25

Operating and Safety Department personnel included in the design review
process for new equipment or system expansion

Ranking

Comments

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Implementation Guidelines for 49 CFR Part 659

No.

Checklist Item

26

Assigned responsibility and authority for approval of modifications or
exceptions to established design criteria for new equipment and system
expansions

27

Certification and sign-off process for verification of operational readiness of
new equipment, system expansions and modifications prior to entry into
passenger service
Verify that hazards associated with system expansion or modification are
included in the hazard management process

28
29

Safety data relative to system operation is collected, maintained,
distributed, analyzed

30

Describe interdepartmental and interagency coordination for the exchange
of safety related information

31

Describe communications with oversight agency to coordinate and keep
informed of significant safety issues
Event, incident reporting and investigation in strict compliance with
oversight agency program standard and referenced procedures
Criteria specified for determining type(s) of events, incidents and hazards
requiring investigation; responsibility assigned for conduct of specific
investigations

32
33

34

Investigation procedures described, including reporting of findings,
conclusions, recommendations for corrective action, and follow-up to verify
implementation

35

Required reportable event investigation reports submitted to oversight
agency for review and approval

36

Investigation reports contain probably cause, contributing causes,
corrective action plan, and corrective action implementation schedule

37

Emergency Response planning, coordination, and training

38

Emergency Response procedures prepared and used

39

Regularly scheduled meetings with Emergency Response agencies

40

Emergency drills and table top exercises conducted

41
42

Description and schedule of Internal Safety Audit process
Description of procedures for the Internal Safety Audit process to evaluate
and measure effectiveness of the SSPP and implementing procedures

43

Planning, scheduling and communicating to oversight agency the Internal
Safety Audit process to ensure it is ongoing throughout a 3 year cycle

44

Auditors are independent from those responsible for the activity being
audited

45

Safety review findings are documented in written reports, which include
evaluation of the adequacy and effectiveness of the SSPP and applicable
implementing procedures, needed corrected actions, needed
recommendations, an implementation schedule for corrective actions and
status reporting

Ranking

Comments

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Implementation Guidelines for 49 CFR Part 659

No.

Checklist Item

46

Annual Internal Safety Audit Report issued and submitted to oversight
agency for review summarizing individual audit results for the previous
calendar year, including a summary of required corrective actions and
follow-up provisions to ensure timely implementation

47

Review operations, maintenance and training rules, procedures and
bulletins

48

Assess front-line employee knowledge of and adherence to operating,
maintenance, and training rules and procedures

49

Documentation of facility, systems, equipment and vehicle inspections

50

Criteria defined to identify safety critical facilities, equipment, and vehicle
elements requiring inspection

51

Review safety related facility, equipment and vehicle inspection forms

52

Description of how safety related facilities, equipment, and vehicle
elements are included in a regular maintenance and testing program

53

Maintenance audits and inspections of all systems and facilities

54

Maintenance process description, including controls over equipment
manuals, shop or site specific procedures, maintenance records, and the
tracking and resolution of problems identified during inspections

55

Description of the training and certification program, including frequency of
training, certification, and audits, for employees in safety related positions

56

Identification of safety related work categories requiring training and
certification

57

Permanent training record file maintained

58

Provision of safety requirements that contractor personnel must follow
when working on or near transit agency property

59

Configuration management control process is described, including the
authority to make configuration changes and assurance of proper, formal
notification to involved departments
Employee safety program incorporates applicable federal, OSHA and state
requirements

60
61

Hazard materials program incorporates applicable local, state, and federal
requirements

62

Drug and alcohol abuse programs incorporate federal DOT requirements

63

Safety measures and controls for procurement of hazardous material

64

Material receiving inspection for materials and equipment to prevent the
inadvertent installation of defective items

Ranking

Comments

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Implementation Guidelines for 49 CFR Part 659

Figure 10: Sample Security Three-Year Review Checklist
No.

Checklist Item

1

Security Plan Policy and Authority Statement

2

Chief Executive approval

3

Security Policies established by top management are stated

4

Security Plan Description and Purpose provided

5

System Security and other related terms defined

6

System description provided

7
8

Clearly stated security goals and objectives
Goals and objectives are identifiable and achievable through policy and
procedure implementation

9

Specific entity develops and maintains Security Plan

10

Description of departmental security-related responsibilities

11

Organization charts provided showing lines of authority and
responsibility related to system security

12
13

Description of Security Plan control and update procedures
Responsible positions or individuals for initiating, developing, and
approving Security Plan changes

14

Oversight agency notification of Security Plan changes

15

Provisions and schedule for Annual Review of Security Plan

16

Security Plan implementation authority assigned by department,
function or position

17

Description of Threat and Vulnerability Assessment/ Resolution
Methodology

18

Threat and Vulnerability Identification, Assessment, and Resolution
Activities

19

Threat Risk Index (Prioritization/Unacceptable Risk Index)

20

Threats/Incidents response procedures

21

Review security role in system modification process

22

Security Department personnel included in the design review process
for new equipment or system expansion

23

Certification and sign-off process for verification of operational
readiness of new equipment, system expansions and modifications prior
to entry into passenger service
Security data relative to system operation is collected, maintained,
distributed or made available, and analyzed

24
25

Describe interdepartmental and interagency coordination for the
exchange of security related information

26

Describe communications with oversight agency to coordinate and keep

Ranking

Comments

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Implementation Guidelines for 49 CFR Part 659

No.
27
28

Checklist Item

Ranking

Comments

informed of significant security issues
Security incident reporting and investigation in strict compliance with
oversight agency program standard and procedures
Criteria specified for determining type(s) of security incidents requiring
investigation; responsibility assigned for investigations

28

Required security incident investigation reports made available to
oversight agency. Investigation reports contain description of activities,
findings, identified causal factors, and a corrective action plan

30
31

Description and schedule of Internal Security Review process
Description of procedures for the internal security review process to
evaluate and measure effectiveness of the Security Plan and
implementing procedures

32

Planning, scheduling and communicating to oversight agency the
internal security review process to ensure it is ongoing throughout a 3year cycle

33

Auditors are independent from those responsible for the activity being
audited

34

Security review findings are documented in written reports, which
include evaluation of the adequacy and effectiveness of the Security
Plan and applicable implementing procedures, needed corrected
actions, needed recommendations, an implementation schedule for
corrective actions and status reporting

35

Annual Internal Security Review Report made available to oversight
agency for review summarizing individual audit results for the previous
calendar year, including a summary of required corrective actions and
follow-up provisions to ensure timely implementation

36

Description of the training and certification program, including frequency
of training, certification, and audits, for employees in security related
positions

37

Identification of security related work categories requiring training and
certification

38
39

Permanent training record file maintained
Provision of security requirements that contractor personnel must follow
when working on or near transit agency property

40

Description of controls in place that address the personal security of
passengers and employees

41

Description of rail transit agency process for making available its
Security Plan and accompanying procedures to oversight agency for
review and approval

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Implementation Guidelines for 49 CFR Part 659

Using Review Checklists
EXAMPLE

In using its three-year review checklists, whether they are adopted from these guidelines
or developed directly by the oversight agency or its authorized contractor, the oversight
agency may choose to focus on two activities:
•
•

assessing the implementation of the specific checklist item; and
evaluating its effectiveness based on the goals and objectives identified by the
rail transit agency.

Verification of checklist items can occur through interviews, document reviews, data
analysis, field observations, testing and measurements, spots checks and
demonstrations provided by the rail transit agency. In assessing the rail transit agency’s
compliance with activities specified by the oversight agency in its program standard, the
review team may want to verify records of rail transit agency accident notifications and
investigations, as well as hazard management and corrective action plan tracking logs
for comparison with rail transit agency records.
Depending on the length of time scheduled for the on-site review, the review team may
choose to conduct follow-up teleconference calls to collect additional information and
request records, as necessary. The review team may also request copies of FTA Drug
and Alcohol Audits, FTA Triennial Reviews, and PMO Monthly and Spot Reports from
the rail transit agency to support its assessment of compliance in areas previously
investigated by FTA.
In addressing security issues, the oversight agency and its review team may choose to
work with the rail transit agency to schedule meetings with the Regional Urban Area
Security Initiative Working Group and the TSA Inspector Program to ensure awareness
of issues that may affect the rail transit agency’s security program.
During the review, the oversight agency and its review team may also choose to assess
the controls placed on rail transit agency materials that could have an impact on
security, as well as continue to evaluate ways in which the oversight agency could
modify its practices to better protect rail transit agency materials. Finally, the oversight
agency and its review team may also choose to address rail transit implementation of
FTA’s Top 20 Security Action Items List, as well as FTA’s TransitWatch Program, and
how the rail transit agency has used training available from NTI and TSI.

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Chapter 13: Requiring, Reviewing, Approving and Tracking Corrective
Action Plans
Overview
§ 659.15(b)(7) of FTA’s revised Rule requires
that, in its program standard, the oversight
agency must document its “criteria for the
development of corrective action plan(s) and
the process for the review and approval of a
corrective action plan developed by the rail
transit agency.” The oversight agency must
also identify its “policies for the verification and
tracking
of
corrective
action
plan
implementation, and its process for managing
conflicts with the rail transit agency relating to
investigation findings and corrective action
plan development.” § 659.37 of FTA’s revised
Rule provides greater detail on these
requirements.

In the event that the oversight
agency and the rail transit
agency dispute the need,
findings, or enforcement of a
corrective action plan,
§ 659.37(d) of FTA’s revised
Rule requires the oversight
agency to specify its provisions
for managing this conflict in its
program standard.

Section 8 – Corrective Action Plans of FTA’s Resource Toolkit provides sample
language that can be used by the oversight agency in its program standard and
referenced procedures.
Requiring, Reviewing and Approving Corrective Action Plans
§ 659.37 of FTA’s revised Rule states that the oversight agency must, at a minimum,
require the development of a corrective action plan for the following:
•
•

Results from investigations, for accidents or reported hazards, in which identified
causal and contributing factors are determined by the rail transit agency or
oversight agency as requiring corrective actions; and
Findings from safety and security reviews performed by the oversight agency.

At a minimum, each corrective action plan must identify:
•
•
•

the action to be taken by the rail transit agency;
an implementation schedule; and
the individual or department responsible for the implementation.

As specified in § 659.37(c) of FTA’s revised Rule, the corrective action plan must be
submitted to the oversight agency for review and approval. In the majority of cases, the
corrective action plan will be developed by the rail transit agency, based on a finding or
recommendation formally issued by the oversight agency.

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The oversight agency must specify in its program standard both:
•
•

the mechanism for requesting corrective action plans from the rail transit agency;
and
the time frame during which the rail transit agency must develop and submit
these plans to the oversight agency for review and approval.

In its program standard, the oversight agency must also identify the time frame during
which it must review and formally approve the corrective action plan, and the
mechanisms for conveying this approval to the rail transit agency. The program standard
must also address those instances where the oversight agency may propose a
corrective action plan for implementation by the rail transit agency.

EXAMPLE

EXAMPLE

In the event that the oversight agency and the rail transit agency dispute the need,
findings, or enforcement of a corrective action plan, § 659.37(d) of FTA’s revised Rule
requires the oversight agency to specify its provisions for managing this conflict in its
program standard. For example, the oversight agency may allow the rail transit agency
30 calendar days to submit its objections to a requested corrective action. The oversight
agency may then review the submittal from the rail transit agency and issue final
direction to the rail transit agency regarding the implementation of the corrective action
plan.
As required in § 659.37(e) of FTA’s revised Rule, the oversight agency must identify the
process by which findings from an NTSB accident investigation will be evaluated to
determine whether or not a corrective action plan should be developed. To address this
requirement, the oversight agency may state that “in the event that the NTSB conducts
an investigation, the rail transit agency and oversight agency shall review the NTSB
findings and recommendations to determine whether or not a corrective action plan
should be developed by the rail transit agency. If a corrective action plan is required by
the NTSB for the rail transit agency, and accepted by the oversight agency, then the rail
transit agency shall develop it following the process specified in the oversight agency’s
program standard.”
Verification and Tracking of Corrective Action Plan Implementation
§ 659.37(f) of FTA’s revised Rule requires that the rail transit agency must provide the
oversight agency with:
•
•

(1) Verification that the corrective action(s) has been implemented as described
in the corrective action plan, or that a proposed alternate action(s) has been
implemented subject to oversight agency review and approval; and
(2) Periodic reports requested by the oversight agency, describing the status of
each corrective action(s) not completely implemented, as described in the
corrective action plan.

§ 659.37(g) of FTA’s revised Rule specifies that the oversight agency must “monitor and
track the implementation of each approved corrective action plan.”

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EXAMPLE

There are many approaches that can be adopted by the oversight agency in addressing
these requirements. For example, the oversight agency may require the rail transit
agency to develop and maintain a Corrective Action Monitoring Log, which identifies all
corrective action plans approved by the oversight agency and presents their status. This
log may be submitted monthly to the oversight agency.
As corrective action plans are closed out, the rail transit agency may submit verification
that the corrective action(s) has been implemented as described in the corrective action
plan or that a proposed alternative action(s) has been implemented. The oversight
agency may require that this verification be submitted in writing and include
photographic or other evidence. The oversight agency may also state that the rail transit
agency corrective action is subject to independent oversight agency verification.

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Chapter 14: Reporting to FTA
Overview
In addition to the Initial Submission, which is discussed in Chapter 5 of the guidelines,
FTA requires an Annual Submission from each oversight agency. FTA also may request
Periodic Submissions from oversight agencies based on a specific accident, hazard, or
emerging industry condition. Section 9 – Reporting to FTA of FTA’s Resource Toolkit
provides sample language that can be used by
the oversight agency in its program standard
to address these requirements.
Annual Submissions
§ 659.39(c) of FTA’s revised Rule requires that
before March 15 of each year, the oversight
agency must submit the following to FTA:
•

•
•
•

§ 659.39 of the revised Rule
requires the oversight agency to
make Initial, Annual, and
Periodic Submissions to FTA’s
Office of Safety and Security,
400 Seventh Street, S.W.,
Washington, D.C., 20590.

A publicly available annual report
summarizing its oversight activities for
the preceding twelve months, including
a description of the causal factors of
investigated accidents, status of corrective actions, updates and modifications to
rail transit agency program documentation, and the level of effort used by the
oversight agency to carry out its oversight activities.
A report documenting and tracking findings from three-year safety review
activities and whether a three-year safety review has been completed since the
last annual report was submitted.
Program standard and supporting procedures that have changed during the
preceding year.
Certification that any changes or modifications to the rail transit agency system
safety program plan or system security plan have been reviewed and approved
by the oversight agency.

With its Annual Submission, the oversight agency must also certify to the FTA that it has
complied with the requirements of 49 CFR Part 659. This certification must be in the
form of a letter signed by the oversight agency program manager or another
representative from the oversight agency. In the revised Rule, FTA has requested that
the oversight agency submit this certification electronically to FTA using a reporting
system specified by FTA. The oversight agency must maintain a signed copy of each
annual certification to FTA, subject to audit by FTA.

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Periodic Submissions
In § 659.39(d) of FTA’s revised Rule, FTA’s retains the authority to request status
reports of accidents/incidents, hazardous conditions, and corrective action plans or other
program information from the oversight agency. The oversight agency must provide this
information.
Electronic Reporting
Over the next year, FTA plans to unveil its new electronic reporting system, which will
enable oversight agencies to upload Annual and Periodic Submissions directly to FTA’s
website. As specified in § 659.39(e) of FTA’s revised Rule, when this electronic reporting
system is operational, the oversight agency must ensure that all submissions to FTA are
made electronically using the reporting system specified by FTA.

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Appendix A: 49 CFR Part 659 (April 29, 2005)
49 CFR Part 659
“Rail Fixed Guideway Systems; State Safety Oversight; Final Rule”
April 29, 2005
Subpart A – General Provisions
§ 659.1 Purpose
This part implements 49 U.S.C. 5330 by requiring a state to oversee the safety and
security of rail fixed guideway systems through a designated oversight agency.
§ 659.3 Scope
This part applies to a state that has within its boundaries a rail fixed guideway system,
as defined in this part.
§ 659.5 Definitions
Contractor means an entity that performs tasks required by this part on behalf of the
oversight or rail transit agency. The rail transit agency may not be a contractor for the
oversight agency.
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 for those actions.
FRA means the Federal Railroad Administration, an agency within the U.S. Department
of Transportation.
FTA means the Federal Transit Administration, an agency within the U.S. Department of
Transportation.
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.
Individual means a passenger; employee; contractor; other rail transit facility worker;
pedestrian; trespasser; or any person on rail transit-controlled property.
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.

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Oversight Agency means the entity, other than the rail transit agency, designated by
the state or several states to implement this part.
Passenger means a person who is on board, boarding, or alighting from a rail transit
vehicle for the purpose of travel.
Passenger operations means the period of time when any aspect of rail transit agency
operations are initiated with the intent to carry passengers.
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.
Rail fixed guideway system means, as determined by FTA, 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).
Rail transit agency means an entity that operates a rail fixed guideway system.
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.
Rail transit vehicle means the rail transit agency’s rolling stock, including, but not
limited to passenger and maintenance vehicles.
Safety means freedom from harm resulting from unintentional acts or circumstances.
Security means freedom from harm resulting from intentional acts or circumstances.
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.
System safety program plan means a document developed by the rail transit agency,
describing its safety policies, objectives, responsibilities, and procedures.
System security plan means a document developed by the rail transit agency
describing its security policies, objectives, responsibilities, and procedures.

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Subpart B – Role of the State
§ 659.7 Withholding of funds for noncompliance
(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.
(b) The Administrator may agree to restore withheld formula funds, if compliance is
achieved within two years (See 49 U.S.C. 5330).
§ 659.9 Designation of oversight agency
(a) General requirement. Each state with an existing or anticipated rail fixed guideway
system regulated by this part shall designate an oversight agency consistent with the
provisions of this section. For a rail fixed guideway system that will operate in only one
state, the 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. The state’s
designation or re-designation of its oversight agency and submission of required
information as specified in this section, are subject to review by FTA.
(b) Exception. States which have designated oversight agencies for purposes of this part
before May 31, 2005 are not required to re-designate to FTA.
(c) Timing. The state designation of the oversight agency shall:
(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).
(d) Notification to FTA. Within (60) days of designation of the oversight agency, the state
must submit to FTA the following:
(1) The name of the oversight agency designated to implement requirements in
this part;
(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

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(5) A schedule for the designated agency’s development of its State Safety
Oversight Program, including the projected date of its initial submission, as
required in § 659.39(a).
(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:
(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
(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.
(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.
§ 659.11 Confidentiality of investigation reports and security plans
(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.
(b) This part does not require public availability of the rail transit agency’s security plan
and any referenced procedures.
Subpart C – Role of the State Oversight Agency
§ 659.13 Overview
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.
In addition, the state oversight agency must oversee the execution of these practices
and procedures, to ensure compliance with the provisions of this part. This subpart
identifies and describes the various requirements for the state oversight agency.
§ 659.15 System safety 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.

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(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.
(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.
(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.

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(7) Corrective actions section. This section shall specify oversight agency criteria
for the development of corrective action plan(s) and the process for the
review and approval of a corrective action plan developed by the rail transit
agency. This section shall also identify the oversight agency’s policies for the
verification and tracking of corrective action plan implementation, and its
process for managing conflicts with the rail transit agency relating to
investigation findings and corrective action plan development.
(8) System safety program plan section. This section shall specify the minimum
requirements to be contained in the rail transit agency’s system safety
program plan. The contents of the system safety plan are discussed in more
detail in § 659.19 of this part. This section shall also specify information to be
included in the affected rail transit agency’s system safety program plan
relating to the hazard management process, including requirements for
ongoing communication and coordination relating to the identification,
categorization, resolution, and reporting of hazards to the oversight agency.
More details on the hazard management process are contained in § 659.31
of this part. This section shall also describe the process and timeframe
through which the oversight agency must receive, review, and approve the
rail transit agency system safety program plan.
(9) System security plan section. This section shall specify the minimum
requirements to be included in the rail transit agency’s system security plan.
More details about the system security plan are contained in §§ 659.21
through 659.23 of this part. This section shall also describe the process by
which the oversight agency will review and approve the rail transit agency
system security program plan. This section also shall identify how the state
will prevent the system security plan from public disclosure.
§ 659.17 System safety program plan: general requirements
(a) The oversight agency shall require the rail transit agency to develop and implement a
written system safety program plan that complies with requirements in this part and the
oversight agency’s program standard.
(b) The oversight agency shall review and approve the rail transit agency system safety
program plan.
(c) After approval, the oversight agency shall issue a formal letter of approval to the rail
transit agency, including the checklist used to conduct the review.
§ 659.19 System safety program plan: contents
The system safety plan shall include, at a minimum:
(a) A policy statement signed by the agency’s chief executive that endorses the safety
program and describes the authority that establishes the system safety program plan.
(b) A clear definition of the goals and objectives for the safety program and stated
management responsibilities to ensure they are achieved.

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(c) An overview of the management structure of the rail transit agency, including:
(1) An organization chart;
(2) A description of how the safety function is integrated into the rest of the rail
transit organization; and
(3) Clear identification of the lines of authority used by the rail transit agency to
manage safety issues.
(d) The process used to control changes to the system safety program plan, including:
(1) Specifying an annual assessment of whether the system safety program plan
should be updated; and
(2) Required coordination with the oversight agency, including timeframes for
submission, revision, and approval.
(e) A description of the specific activities required to implement the system safety
program, including:
(1) Tasks to be performed by the rail transit safety function, by position and
management accountability, specified in matrices and/or narrative format;
and
(2) Safety-related tasks to be performed by other rail transit departments, by
position and management accountability, specified in matrices and/or
narrative format.
(f) A description of the process used by the rail transit agency to implement its hazard
management program, including activities for:
(1) Hazard identification;
(2) Hazard investigation, evaluation and analysis;
(3) Hazard control and elimination;
(4) Hazard tracking; and
(5) Requirements for on-going reporting to the oversight agency relating to
hazard management activities and status.
(g) A description of the process used by the rail transit agency to ensure that safety
concerns are addressed in modifications to existing systems, vehicles, and equipment,
which do not require formal safety certification but which may have safety impacts.
(h) A description of the safety certification process required by the rail transit agency to
ensure that safety concerns and hazards are adequately addressed prior to the initiation
of passenger operations for New Starts and subsequent major projects to extend,
rehabilitate, or modify an existing system, or to replace vehicles and equipment.
(i) A description of the process used to collect, maintain, analyze, and distribute safety
data, to ensure that the safety function within the rail transit organization receives the
necessary information to support implementation of the system safety program.

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(j) A description of the process used by the rail transit agency to perform accident
notification, investigation and reporting, including:
(1) Notification thresholds for internal and external organizations;
(2) Accident investigation process and references to procedures;
(3) The process used to develop, implement, and track corrective actions that
address investigation findings;
(4) Reporting to internal and external organizations; and
(5) Coordination with the oversight agency.
(k) A description of the process used by the rail transit agency to develop an approved,
coordinated schedule for all emergency management program activities, which include:
(1) Meetings with external agencies;
(2) Emergency planning responsibilities and requirements;
(3) Process used to evaluate emergency preparedness, such as annual
emergency field exercises;
(4) After action reports and implementation of findings;
(5) Revision and distribution of emergency response procedures;
(6) Familiarization training for public safety organizations; and
(7) Employee training.
(l) A description of the process used by the rail transit agency to ensure that planned
and scheduled internal safety reviews are performed to evaluate compliance with the
system safety program plan, including:
(1) Identification of departments and functions subject to review;
(2) Responsibility for scheduling audits;
(3) Process for conducting reviews, including the development of checklists and
procedures and the issuing of findings;
(4) Review of reporting requirements;
(5) Tracking the status of implemented recommendations; and
(6) Coordination with the oversight agency.
(m) A description of the process used by the rail transit agency to develop, maintain,
and ensure compliance with rules and procedures having a safety impact, including:
(1) Identification of operating and maintenance rules and procedures subject to
review;
(2) Techniques used to assess the implementation of operating and maintenance
rules and procedures by employees, such as performance testing;
(3) Techniques used to assess the effectiveness of supervision relating to the
implementation of operating and maintenance rules; and

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(4) Process for documenting results and incorporating them into the hazard
management program.
(n) A description of the process used for facilities and equipment safety inspections,
including:
(1) Identification of the facilities and equipment subject to regular safety-related
inspection and testing;
(2) Techniques used to conduct inspections and testing;
(3) Inspection schedules and procedures; and
(4) Description of how results are entered into the hazard management process.
(o) A description of the maintenance audits and inspections program, including
identification of the affected facilities and equipment, maintenance cycles,
documentation required, and the process for integrating identified problems into the
hazard management process.
(p) A description of the training and certification program for employees and contractors,
including:
(1) Categories of safety-related work requiring training and certification;
(2) A description of the training and certification program for employees and
contractors in safety-related positions;
(3) Process used to maintain and access employee and contractor training
records; and
(4) Process used to assess compliance with training and certification
requirements.
(q) A description of the configuration management control process, including:
(1) The authority to make configuration changes;
(2) Process for making changes; and
(3) Assurances necessary for formally notifying all involved departments.
(r) A description of the safety program for employees and contractors that incorporates
the applicable local, state, and federal requirements, including:
(1) Safety requirements that employees and contractors must follow when
working on, or in close proximity to, rail transit agency property; and
(2) Processes for ensuring the employees and contractors know and follow the
requirements.
(s) A description of the hazardous materials program, including the process used to
ensure knowledge of and compliance with program requirements.
(t) A description of the drug and alcohol program and the process used to ensure
knowledge of and compliance with program requirements.

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(u) A description of the measures, controls, and assurances in place to ensure that
safety principles, requirements and representatives are included in the rail transit
agency’s procurement process.
§ 659.21 System security plan: general requirements
(a) The oversight agency shall require the rail transit agency to implement a system
security plan that, at a minimum, complies with requirements in this part and the
oversight agency’s program standard. The system security plan must be developed and
maintained as a separate document and may not be part of the rail transit agency’s
system safety program plan.
(b) The oversight agency may prohibit a rail transit agency from publicly disclosing the
system security plan.
(c) After approving the system security plan, the oversight agency shall issue a formal
letter of approval, including the checklist used to conduct the review, to the rail transit
agency.
§ 659.23 System security plan: contents
The system security plan must, at a minimum address the following:
(a) Identify the policies, goals, and objectives for the security program endorsed by the
agency’s chief executive;
(b) Document the rail transit agency’s process for managing threats and vulnerabilities
during operations, and for major projects, extensions, new vehicles and equipment,
including integration with the safety certification process;
(c) Identify controls in place that address the personal security of passengers and
employees;
(d) Document the rail transit agency’s process for conducting internal security reviews to
evaluate compliance and measure the effectiveness of the system security plan; and
(e) Document the rail transit agency’s process for making its system security plan and
accompanying procedures available to the oversight agency for review and approval.
§ 659.25 Annual review of system safety program plan and system security plan
(a) The oversight agency shall require the rail transit agency to conduct an annual
review of its system safety program plan and system security plan.
(b) In the event the rail transit agency’s system safety program plan is modified, the rail
transit agency must submit the modified plan and any subsequently modified procedures
to the oversight agency for review and approval. After the plan is approved, the oversight
agency must issue a formal letter of approval to the rail transit agency.

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(c) In the event the rail transit agency’s system security plan is modified, the rail transit
agency must make the modified system security plan and accompanying procedures
available to the oversight agency for review, consistent with requirements specified in
§ 659.23(e) of this part. After the plan is approved, the oversight agency shall issue a
formal letter of approval to the rail transit agency.
§ 659.27 Internal safety and security reviews
(a) The oversight agency shall require the rail transit agency to develop and document a
process for the performance of on-going internal safety and security reviews in its
system safety program plan.
(b) The internal safety and security review process must, at a minimum:
(1) Describe the process used by the rail transit agency to determine if all
identified elements of its system safety program plan and system security
plan are performing as intended; and
(2) Ensure that all elements of the system safety program plan and system
security plan are reviewed in an ongoing manner and completed over a threeyear cycle.
(c) The rail transit agency must notify the oversight agency at least thirty (30) days
before the conduct of scheduled internal safety and security reviews.
(d) The rail transit agency shall submit to the oversight agency any checklists or
procedures it will use during the safety portion of its review.
(e) The rail transit agency shall make available to the oversight agency any checklists or
procedures subject to the security portion of its review, consistent with § 659.23(e).
(f) The oversight agency shall require the rail transit agency to annually submit a report
documenting internal safety and security review activities and the status of subsequent
findings and corrective actions. The security part of this report must be made available
for oversight agency review, consistent with § 659.23(e).
(g) The annual report must be accompanied by a formal letter of certification signed by
the rail transit agency’s chief executive, indicating that the rail transit agency is in
compliance with its system safety program plan and system security plan.
(h) 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.
(i) The oversight agency must formally review and approve the annual report.

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§ 659.29 Oversight agency safety and security reviews
At least every three (3) years, beginning with the initiation of rail transit agency
passenger operations, the oversight agency must conduct an on-site review of the rail
transit agency’s implementation of its system safety program plan and system security
plan. Alternatively, the on-site review may be conducted in an on-going manner over the
three year timeframe. At the conclusion of the review cycle, the oversight agency must
prepare and issue a report containing findings and recommendations resulting from that
review, which, at a minimum, must include an analysis of the effectiveness of the system
safety program plan and the security plan and a determination of whether either should
be updated.
§ 659.31 Hazard management process
(a) The oversight agency must require the rail transit agency to develop and document
in its system safety program plan a process to identify and resolve hazards during its
operation, including any hazards resulting from subsequent system extensions or
modifications, operational changes, or other changes within the rail transit environment.
(b) The hazard management process must, at a minimum:
(1) Define the rail transit agency’s approach to hazard management and the
implementation of an integrated system-wide hazard resolution process;
(2) Specify the sources of, and the mechanisms to support, the on-going
identification of hazards;
(3) Define the process by which identified hazards will be evaluated and
prioritized for elimination or control;
(4) Identify the mechanism used to track through resolution the identified
hazard(s);
(5) Define minimum thresholds for the notification and reporting of hazard(s) to
oversight agencies; and
(6) Specify the process by which the rail transit agency will provide on-going
reporting of hazard resolution activities to the oversight agency.
§ 659.33 Accident notification
(a) 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:
(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;
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(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.
(b) The oversight agency shall require rail transit agencies that share track with the
general railroad system and are subject to the Federal Railroad Administration
notification requirements, to notify the oversight agency within two (2) hours of an
incident for which the rail transit agency must also notify the Federal Railroad
Administration.
(c) The oversight agency shall identify in its program standard the method of notification
and the information to be provided by the rail transit agency
§ 659.35 Investigations
(a) The oversight agency must investigate, or cause to be investigated, at a minimum,
any incident involving a rail transit vehicle or taking place on rail transit-controlled
property meeting the notification thresholds identified in § 659.33(a).
(b) The oversight agency must use its own investigation procedures or those that have
been formally adopted from the rail transit agency and that have been submitted to FTA.
(c) In the event the oversight agency authorizes the rail transit agency to conduct
investigations on its behalf, it must do so formally and require the rail transit agency to
use investigation procedures that have been formally approved by the oversight agency.
(d) Each investigation must be documented in a final report that includes a description of
investigation activities, identified causal and contributing factors, and a corrective action
plan.
(e) A final investigation report must be formally adopted by the oversight agency for
each accident investigation:
(1) If the oversight agency has conducted the investigation, it must formally
transmit its final investigation report to the rail transit agency.
(2) If the oversight agency has authorized an entity other than itself (including the
rail transit agency) to conduct the accident investigation on its behalf, the
oversight agency must review and formally adopt the final investigation
report.
(3) If the oversight agency does not concur with the findings of the rail transit
agency investigation report, it must either:
(i) Conduct its own investigation according to paragraphs (b), (d) and (e)(1)
of this section; or

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(ii) Formally transmit its dissent to the findings of the accident investigation,
report its dissent to the rail transit agency, and negotiate with the rail
transit agency until a resolution on the findings is reached.
(f) The oversight agency shall have the authority to require periodic status reports that
document investigation activities and findings in a time frame determined by the
oversight agency.
§ 659.37 Corrective action plans
(a) The oversight agency must, at a minimum, require the development of a corrective
action plan for the following:
(1) Results from investigations, in which identified causal and contributing factors
are determined by the rail transit agency or oversight agency as requiring
corrective actions; and
(2) Findings from safety and security reviews performed by the oversight agency.
(b) Each corrective action plan should identify the action to be taken by the rail transit
agency, an implementation schedule, and the individual or department responsible for
the implementation.
(c) The corrective action plan must be reviewed and formally approved by the oversight
agency.
(d) The oversight agency must establish a process to resolve disputes between itself
and the rail transit agency resulting from the development or enforcement of a corrective
action plan.
(e) The oversight agency must identify the process by which findings from an NTSB
accident investigation will be evaluated to determine whether or not a corrective action
plan should be developed by either the oversight agency or rail transit agency to address
NTSB findings.
(f) The rail transit agency must provide the oversight agency:
(1) Verification that the corrective action(s) has been implemented as described
in the corrective action plan, or that a proposed alternate action(s) has been
implemented subject to oversight agency review and approval; and
(2) Periodic reports requested by the oversight agency, describing the status of
each corrective action(s) not completely implemented, as described in the
corrective action plan.
(g) The oversight agency must monitor and track the implementation of each approved
corrective action plan.

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§ 659.39 Oversight agency reporting to the Federal Transit Administration
(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. 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 in this part, the new
oversight agency must make a new initial submission to FTA within thirty (30) days of
the designation.
(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
plan have been developed, reviewed, and approved.
(c) Annual submission. Before March 15 of each year, the oversight agency must submit
the following to FTA:
(1) A publicly available annual report summarizing its oversight activities for the
preceding twelve months, including a description of the causal factors of
investigated accidents, status of corrective actions, updates and
modifications to rail transit agency program documentation, and the level of
effort used by the oversight agency to carry out its oversight activities.
(2) A report documenting and tracking findings from three-year safety review
activities, and whether a three-year safety review has been completed since
the last annual report was submitted.
(3) Program standard and supporting procedures that have changed during the
preceding year.
(4) Certification that any changes or modifications to the rail transit agency
system safety program plan or system security plan have been reviewed and
approved by the oversight agency.
(d) Periodic submission. FTA retains the authority to periodically request program
information.
(e) Electronic reporting. All submissions to FTA required in this part must be submitted
electronically using a reporting system specified by FTA.
§ 659.41 Conflict of interest
The oversight agency shall prohibit a party or entity from providing services to both the
oversight agency and rail transit agency when there is a conflict of interest, as defined by
the state.

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§ 659.43 Certification of compliance
(a) Annually, the oversight agency must certify to the FTA that it has complied with the
requirements of this part.
(b) The oversight agency must submit each certification electronically to FTA using a
reporting system specified by FTA.
(c) The oversight agency must maintain a signed copy of each annual certification to
FTA, subject to audit by FTA.

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