State Safety Oversight (SSO) Program
Certification Work Plan Template
State Safety Oversight (SSO) programs that are not certified are required to complete a work plan to participate in the Federal Transit Administration’s (FTA’s) new SSO Formula Grant Program. Work plans must be completed before a State can submit its grant application. FTA expects that the work plan developed by each State will reflect the scope of the activities in the SSO program, the size of the grant, and the number and complexity of rail transit agencies (RTAs) overseen by the State.
FTA’s Office of Safety and Oversight (TSO) developed this Certification Work Plan (CWP) template to support SSO program personnel and contractors in responding to FTA’s SSO pre-certification submittal correspondence. States are not required to use this template and may use a template of their choice. Whatever format is ultimately selected, each State’s Certification Work Plan must contain, at a minimum, the information requested in FTA’s CWP template.
FTA’s CWP template is a tool to help SSO agencies plan, manage, implement, report on, and evaluate the new SSO program being established to address the explicit mandates identified in Section 20021(a) of the Moving Ahead for Progress in the 21st Century Act (MAP-21), now codified at 49 U.S.C. § 5329. This guidance includes:
A SAMPLE completed CWP, for use and reference by States to develop and document their own approaches to implement the new MAP-21 requirements.
A BLANK template for States to enter their information and proposed activities.
This CWP template contains five (5) sections that mirror the Summary of Results Checklist provided by FTA to all States on October 1, 2013 and discussed in teleconference calls and follow-up correspondence in late 2013 and early 2014. These sections are as follows:
Section 1: Independence from the Rail Fixed Guideway Public Transportation System- Includes activities to identify, disclose and manage legal and financial relationships between the State and each rail transit agency in its jurisdiction.
Section 2: Enforcement Authority- Addresses the State’s plan to obtain authority to enforce findings required to ensure the safety of the public transportation agency. This includes enabling legislation, or the steps required to establish enabling legislation, to allow the SSO program to compel the RTA to take actions to address identified deficiencies.
Section 3: SSO Program Implementation Activities- Covers the State’s approach to enhancing its existing 49 CFR Part 659 activities for accident investigation, hazard management, oversight of internal safety review programs at the RTA, three-year reviews, and reporting to meet the explicit mandates specified in MAP-21. Each State should also list any actions taken to incorporate Safety Management Systems (SMS) principles and activities into their oversight programs.
Section 4: Staffing and Qualification of SSO Personnel and Contractors- Documents the State’s proposed approach to staffing its new SSO program, to include employees and contractors. Also documents the proposed approach to ensure all personnel who work on the SSO program are participating in FTA’s Public Transportation Safety Certification Training Program and are obtaining technical training and subject-specific training as determined necessary by the State.
Section 5: Grant and Waivers- Addresses the specific items needed for each State to become an FTA grantee and meet specific grant requirements identified in 49 U.S.C. Section 5329(e).
The CWP template also references TECHNICAL ASSISTANCE TABS for each section that contain sample materials and resources for States to review and consider as they establish the activities and final deliverables, milestone schedules and priorities for their CWPs. Please see FTA’s website to download this detailed information.
States should also reference applicable Federal Register notices, Dear Colleague letters, Frequently Asked Questions (FAQs), and other information available on FTA’s website.
SAMPLE (COMPLETED) CWP TEMPLATE
This sample template is provided to support SSO personnel and contractors in developing their own CWPs.
Instructions: The CWP template contains eight columns. Column (1) is provided by FTA based on the MAP-21 statute. States should fill in Column (2) with information from the Summary of Results Checklist provided by FTA on October 1, 2013. Requirements that were approved by FTA can be color-coded green, with no further action required in columns (3) to (8). If FTA identified a gap in the Summary of Results Checklist, the State should identify this item as yellow and proceed to fill out columns (3) to (8). Each activity should have an anticipated outcome in column (6) and supporting activities and a timeline in columns (4) through (7). FTA will work with each State to verify that the anticipated outcome complies with the MAP-21 statutory requirements and the supporting activities and timeline are reasonable. Lastly, States should provide a current status in column (8) and continue to update this status to manage performance against this goal. Once a grant is awarded, FTA will meet with States quarterly to check the status in column (8) with the timeline in column (7).
49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
(1) Provides the reference to the specific MAP-21 49 U.S.C. Section 5329(e) that must be addressed.
Provided by FTA |
(2) Indicates whether the State’s program complies with the requirement in column (1), and any issues that FTA found and provided in the Summary of Results Checklist on Oct. 1, 2013. To be completed by the State
|
(3) Identifies the high-level task to address the requirement in column (1)
To be completed by the State |
(4) Indicates the specific steps the State will take to complete the action plan task in column (3)
To be completed by the State |
(5) Indicate who is responsible for the action plan task in column (3)
To be completed by the State |
(6) Indicates the anticipated end state and accompanying deliverable(s) for the action plan task in column (3)
To be completed by the State |
(7) Indicates the time frame for completing the action plan task in column (4)
To be completed by State |
(8) Includes a status for the action plan task in column (3), based on the key provided below
To be completed and updated by the State on a quarterly basis |
SECTION 1 – Independence from RFGPTS: These provisions require the eligible State to designate an SSO agency that is a legal entity of the State and that is financially and legally independent from the rail fixed guideway public transportation system (RFGPTS) in its jurisdiction. SEE TABS 1 and 2 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
|
Cleared by FTA |
None Required |
None Required |
NA |
NA |
NA |
NA |
|
|
Identify and evaluate legal relationships |
|
SSO Program Manager; Supervisor, SSO Legal Counsel |
Letter Report |
60 days |
NS |
|
Review alternatives for addressing any identified legal conflicts of interest with rail transit agency |
|
See above. |
Alternatives Memo |
90 days |
NS |
|
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Prepare package documenting proposed approach and re-submit to FTA |
|
See above. |
Policy Statement; Letter to FTA |
180 days |
NS |
SECTION 1 – Independence from RFGPTS: These provisions require the eligible State to designate an SSO agency that is a legal entity of the State and that is financially and legally independent from the rail fixed guideway public transportation system (RFGPTS) in its jurisdiction. SEE TABS 1 and 2 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
|
|
Identify and evaluate financial relationships between the SSO agency and each rail transit agency |
|
SSO Program Manager; Supervisor, SSO Legal Counsel |
Letter Report |
60 days |
NS |
|
Review alternatives for addressing any identified financial conflicts of interest |
|
See above. |
Alternatives Memo |
90 days |
NS |
|
|
Prepare package documenting proposed approach and re-submit to FTA |
|
See above. |
Policy Statement; Letter to FTA |
180 days |
NS |
SECTION 1 – Independence from RFGPTS: These provisions require the eligible State to designate an SSO agency that is a legal entity of the State and that is financially and legally independent from the rail fixed guideway public transportation system (RFGPTS) in its jurisdiction. SEE TABS 1 and 2 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
|
Cleared by FTA |
None Required |
None Required |
NA |
NA |
NA |
NA |
|
Cleared by FTA |
None Required |
None Required |
NA |
NA |
NA |
NA |
Status: NA=Not Applicable; NS=Not Started; IP=In Progress; IB=In Progress, Behind Schedule; SC=Substantially Complete; C=Complete
SECTION 2 – Enforcement Authority: These provisions require the eligible State to obtain authority for its State Safety Oversight (SSO) program and designated SSO agency to oversee and enforce safety at each RFGPTS in its jurisdiction from engineering and construction through operations. SEE TABS 3 and 4 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
|
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Establish State’s approach to obtaining enforcement authority over all aspects of safety for RFGPTS in engineering, construction and operations
|
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SSO Program Manager; Supervisor, Legal Counsel |
Alternatives Memo
Report or Letter Documenting Proposed Mechanism to Confer Authority to the SSO Program
Call with FTA
Final Proposed Approach Documented and Submitted to FTA
|
60 days
90 days
120 days
180 days
|
NS |
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Coordinate with RFGPTS on selected approach for enforcement authority
Manage executive, legislative or judicial process required to obtain new enforcement authority for the SSO program
Close-out certification item with FTA |
|
SSO Program Manager; Supervisor, Legal Counsel |
Workshop Summary Report
State Requirement Memo
Draft and Final Order, Legislation, Code, or Other Document
Final Close-out Letter to FTA
|
240 days
300 days
360 days
600 days
|
NS |
SECTION 2 – Enforcement Authority: These provisions require the eligible State to obtain authority for its State Safety Oversight (SSO) program and designated SSO agency to oversee and enforce safety at each RFGPTS in its jurisdiction from engineering and construction through operations. SEE TABS 3 and 4 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
|
|
See above. |
See above. |
See above. |
See above. |
See above. |
See above. |
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|
See above. |
See above. |
See above. |
See above. |
See above. |
See above. |
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|
See above. |
See above. |
See above. |
See above. |
See above. |
See above. |
SECTION 3 – SSO Program Implementation Activities: These provisions require the eligible State to ensure that the designated SSO agency carries out an effective safety regulatory program. SEE TABS 5, 6 and 7 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
|
|
SSO agency builds capability to conduct independent investigations of accidents and hazards at RFGPTS |
|
SSO Program Manager; Supervisor; SSO staff or contractor support |
Investigation Procedure
Workshop with RFGPTS
Joint and Independent Investigations
Reports |
90 days 120 days
180 days 220 days |
NS |
|
SSO agency enhances tracking, verification and management of corrective action plans (CAPs) |
|
SSO Program Manager; Supervisor; SSO staff or contractor support |
CAP Management Procedure
|
120 days |
NS |
SECTION 3 – SSO Program Implementation Activities: These provisions require the eligible State to ensure that the designated SSO agency carries out an effective safety regulatory program. SEE TABS 5, 6 and 7 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
|
|
SSO agency enhances oversight of RFGPTS hazard management program
SSO works with RFGPTS on data collection and analysis |
|
SSO Program Manager; Supervisor; SSO staff or contractor support |
Hazard Management Procedure
DRAFT Safety Performance Agreement with RFGPTS
Meeting Minutes
Hazard Assessment and Risk Mitigation Plan |
120 days
180 days
200 days
240 days
|
NS |
SECTION 3 – SSO Program Implementation Activities: These provisions require the eligible State to ensure that the designated SSO agency carries out an effective safety regulatory program. SEE TABS 5, 6 and 7 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
|
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SSO agency develops enhanced approach to overseeing RFGPTS implementation of its agency safety plan |
|
SSO Program Manager; Supervisor; SSO staff or contractor support |
Approved RFGPTS Agency Safety Plan and Procedures
Oversight Procedure for RFGPTS Agency Safety Plan
Audit Checklists and Sampling Plan
Final Audit Report
Investigation Reports for Allegations of Non-Compliance
|
60 days
60 days
120 days
200 days
240 days
360 days
On-going |
NS |
SECTION 3 – SSO Program Implementation Activities: These provisions require the eligible State to ensure that the designated SSO agency carries out an effective safety regulatory program. SEE TABS 5, 6 and 7 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
|
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SSO agency amends existing reporting procedures to address 5329(e)(4)(A)(vii) requirements |
|
SSO Program Manager, Supervisor |
Report Procedure
Monthly CEO Briefing Package
Quarterly RFGPTS Board Briefing Package
|
90 days
On-going
On-going |
NS |
SECTION 4 – Staffing and Qualification of SSO Personnel and Contractors: These provisions require the eligible State to ensure that the designated SSO agency is staffed with qualified personnel. SEE TABS 8 and 9 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
|
|
Develop SSO work breakdown structure |
|
SSO Program Manager, Supervisor |
Work Breakdown Structure
Proposal for staffing, including State personnel and contractors
Letter to FTA
FTA acceptance of State work breakdown structure and staffing proposal
|
90 days
120 days
140 days
170 days |
NS |
|
Develop proposed staffing plan and budget |
|
SSO Program Manager, Supervisor |
SSO Program Staffing Plan
SSO Program Staffing Budget |
30 days
60 days |
NS |
SECTION 4 – Staffing and Qualification of SSO Personnel and Contractors: These provisions require the eligible State to ensure that the designated SSO agency is staffed with qualified personnel. SEE TABS 8 and 9 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
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Identify technical qualifications for SSO staff and contractors
Establish long-term plan for ensuring access to technical expertise |
|
SSO Program Manager, Supervisor |
Job description with technical qualifications
Solicitations with technical qualifications
Long-term plan including specific opportunities to technical training |
90 days
90 days |
NS |
|
|
Establish requirement for participation in FTA’s public transportation safety certification training program |
|
SSO Program Manager, Supervisor |
Excerpt language requiring FTA’s training program
Individual training plans |
30 days
90 days |
NS |
SECTION 5 – Grants and Waivers: These provisions specify requirements for the eligible State to participate in the MAP-21 SSO grant program and request waivers from specific financial and legal independence clauses (49 U.S.C. Section 5329(e)(4)(A)(i) and (iii)). SEE FTA’s FAQs ON THE SSO GRANT PROGRAM FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
|
|
SSO agency is designated as an FTA grantee |
|
SSO Program Manager, Supervisor, Governor |
Letter to FTA Region
Protocols for accessing grant funds |
Prior to award |
NS |
|
|
State documents 20 percent match for FY 13 and FY 14 SSO grant funding |
|
SSO Program Manager, Supervisor, Finance or Grant Manager |
Letter and certification |
Prior to award |
NS |
|
Cleared by FTA |
None Required |
None Required |
NA |
NA |
NA |
NA |
BLANK CWP TEMPLATE
This blank template can be completed by SSO personnel and contractors.
Instructions: The CWP template contains eight columns. Column (1) is provided by FTA based on the MAP-21 statute. States should fill in Column (2) with information from the Summary of Results Checklist provided by FTA on October 1, 2013. Requirements that were approved by FTA can be color-coded green, with no further action required in columns (3) to (8). If FTA identified a gap in the Summary of Results Checklist, the State should identify this item as yellow or red and proceed to fill out columns (3) to (8). Each activity should have an anticipated outcome in column (6) and supporting activities and a timeline in columns (4) through (7). FTA will work with each State to verify that the anticipated outcome complies with the MAP-21 statutory requirements and the supporting activities and timeline are reasonable. Lastly, States should provide a current status in column (8) and continue to update this status to manage performance against this goal. Once a grant is awarded, FTA will meet with States quarterly to check the status in column (8) with the timeline in column (7).
49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
(1) Provides the reference to the specific MAP-21 49 U.S.C. Section 5329(e) that must be addressed.
Provided by FTA |
(2) Indicates whether the State’s program complies with the requirement in column (1)
To be completed by the State based on the Summary of Results Checklist provided on October 1, 2013 |
(3) Identifies the high-level task to address the requirement in column (1)
To be completed by the State |
(4) Indicates the specific steps the State will take to complete the action plan task in column (3)
To be completed by the State |
(5) Indicate who is responsible for the action plan task in column (3)
To be completed by the State |
(6) Indicates the anticipated end state and accompanying deliverable(s) for the action plan task in column (3)
To be completed by the State |
(7) Indicates the time frame for completing the action plan task in column (4)
To be completed by State |
(8) Includes a status for the action plan task in column (3), based on the key provided below
To be completed and regularly updated by the State |
SECTION 1 – Independence from RFGPTS: These provisions require the eligible State to designate an SSO agency (SSOA) that is a legal entity of the State and that is financially and legally independent from the rail fixed guideway public transportation system (RFGPTS) in its jurisdiction. SEE TABS 1 and 2 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
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SECTION 2 – Enforcement Authority: These provisions require the eligible State to obtain authority for its SSO program and designated SSOA to oversee and enforce safety at each RFGPTS in its jurisdiction from engineering and construction through operations. SEE TABS 3 and 4 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
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SECTION 3 – SSO Program Implementation Activities: These provisions require the eligible State to ensure that the designated SSOA carries out an effective safety regulatory program. SEE TABS 5, 6 and 7 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
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SECTION 4 – Staffing and Qualification of SSO Personnel and Contractors: These provisions require the eligible State to ensure that the designated SSOA is staffed with qualified personnel. SEE TABS 8 and 9 FOR EXAMPLES. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
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SECTION 5 – Grants and Waivers: These provisions specify requirements for the eligible State to participate in the MAP-21 SSO grant program and request waivers from specific financial and legal independence clauses (49 U.S.C. Section 5329(e)(4)(A)(i) and (iii)). SEE FTA’S FAQs ON THE SSO GRANT PROGRAM FOR ADDITIONAL INFORMATION. |
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49 U.S.C. Section |
FTA Assessment |
Action Plan Task |
Action Plan Steps |
Responsibility |
Anticipated Outcome |
Timeline |
Status |
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File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
File Title | Certification Work Plan Template for State Safety Oversite Program |
Subject | Certification Work Plan Template for State Safety Oversite Program |
Author | Federal Tranisit Administration |
File Modified | 0000-00-00 |
File Created | 2021-01-24 |